Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forest Investments, Inc.GEC · Entity 144097 | Director · Chief Executive Officer | August 06, 2019 | August 07, 2019 |
| Great Elm Capital Corp.GECC · Entity 6877 | Director · President and CEO | September 24, 2021 | September 28, 2021 |
| Great Elm Group, Inc.GEG · Entity 7060 | Chief Executive Officer | September 16, 2022 | September 21, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Forest Investments, Inc.
Report date August 06, 2019 · Filed August 07, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 784,270 |
Reported balance
After 2019-08-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-08-06 · Grant · Acquired 25,381 · Balance 784,270 F1: Includes 246,304 shares of unvested restricted stock. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.52 · Expires 2024-08-06 | Direct | 57,143 |
Reported balance
After 2019-08-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-08-06 · Grant · Acquired 57,143 · Balance 57,143 F2: The Reporting Person was awarded stock options, 14,286 of which vest on August 6, 2020, and the remainder of which vests in equal monthly installments thereafter until August 6, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 246,304 shares of unvested restricted stock.
F2: The Reporting Person was awarded stock options, 14,286 of which vest on August 6, 2020, and the remainder of which vests in equal monthly installments thereafter until August 6, 2023.
Great Elm Capital Corp.
Report date September 24, 2021 · Filed September 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 351,636 |
Reported balance
After 2021-09-24 transaction · row 1
1 source rowRow 1 · 2021-09-24 · Other · Acquired 87,132 · Balance 351,636 F1: Peter A. Reed is the Chief Executive Officer of Great Elm Group, Inc. ("GEG"). Mr. Reed received an award of 87,132 shares of common stock of Great Elm Capital Corp. that were owned by GEG, as compensation for his position at GEG. 21,783 of the shares vested on the grant date, September 24, 2021, and the remainder will vest in equal annual installments on each anniversary of the grant date until September 24, 2024, subject to continued service with GEG. |
Filing footnotes · ownership attribution and instrument terms
F1: Peter A. Reed is the Chief Executive Officer of Great Elm Group, Inc. ("GEG"). Mr. Reed received an award of 87,132 shares of common stock of Great Elm Capital Corp. that were owned by GEG, as compensation for his position at GEG. 21,783 of the shares vested on the grant date, September 24, 2021, and the remainder will vest in equal annual installments on each anniversary of the grant date until September 24, 2024, subject to continued service with GEG.
Great Elm Group, Inc.
Report date September 16, 2022 · Filed September 21, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.60 · Expires 2027-09-18 | Direct | 125,000 |
Reported balance
After 2022-09-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-09-16 · Grant · Acquired 125,000 · Balance 125,000 F1: On September 16, 2022, Great Elm Group, Inc. ("GEG") amended the award agreement for certain options previously granted to Mr. Reed to extend the term of options to purchase 125,000 shares of GEG's common stock until September 18, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 16, 2022, Great Elm Group, Inc. ("GEG") amended the award agreement for certain options previously granted to Mr. Reed to extend the term of options to purchase 125,000 shares of GEG's common stock until September 18, 2027.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 16, 2022 Filed Sep 21, 2022 01:22 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantOption (right to buy) · Derivative | 125,000 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001140361-22-034143 · form4.xml · derivative · entry 1 Reed Peter A · CIK 0001643733 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2027-09-18 F1 · derivative.exercise_date: On September 16, 2022, Great Elm Group, Inc. ("GEG") amended the award agreement for certain options previously granted to Mr. Reed to extend the term of options to purchase 125,000 shares of GEG's common stock until September 18, 2027. Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 23:40 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 87,132 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-032833 · form4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,636 F1 · kind: Peter A. Reed is the Chief Executive Officer of Great Elm Group, Inc. ("GEG"). Mr. Reed received an award of 87,132 shares of common stock of Great Elm Capital Corp. that were owned by GEG, as compensation for his position at GEG. 21,783 of the shares vested on the grant date, September 24, 2021, and the remainder will vest in equal annual installments on each anniversary of the grant date until September 24, 2024, subject to continued service with GEG. Read SEC document |
| January 21, 2021 Filed Jan 26, 2021 21:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 5,969 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-005387 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,504 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:24 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 5,473 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065077 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,535 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:02 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 7,619 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060305 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,062 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:10 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 2,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055749 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,443 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 01, 2020 Filed Oct 1, 2020 21:34 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 56,239 | $2.95 | $165,905.05 |
DisclosureSEC source: 0001209191-20-052692 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,851 F2 · shares: Reflects additional shares of Common Stock acquired by the Reporting Person in connection with the Issuer's rights offering pursuant to the over-subscription privilege. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:34 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherSubscription Rights · Derivative | 92,448 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052692 · doc4.xml · derivative · entry 3 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 92,448 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:34 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 92,448 | $2.95 | $272,721.60 |
DisclosureSEC source: 0001209191-20-052692 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,612 F1 · shares: On September 28, 2020, the Reporting Person exercised in full his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering. Read SEC document |
| September 21, 2020 Filed Sep 23, 2020 23:34 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 1,716 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051719 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,164 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 21, 2020 Filed Aug 26, 2020 00:08 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 1,640 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-048304 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,448 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 22:09 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 1,755 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042948 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,808 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 23:46 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 1,682 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037437 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,053 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| May 15, 2020 Filed May 19, 2020 21:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 2,157 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030625 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,371 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 26, 2019 Filed Aug 28, 2019 20:11 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 3,000 | $8.25 | $24,750.00 |
DisclosureSEC source: 0000899243-19-022554 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,214 Read SEC document |
| August 19, 2019 Filed Aug 21, 2019 20:59 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 2,219 | $8.25 | $18,306.75 |
DisclosureSEC source: 0000899243-19-022214 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,214 Read SEC document |
| August 06, 2019 Filed Aug 7, 2019 16:08 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantStock Option (Right to Buy) · Derivative | 57,143 | $0.00 Strike: $4.52 | $0.00 |
DisclosureSEC source: 0000899243-19-021248 · doc4.xml · derivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,143 Underlying: Common Stock · 57,143 shares Expires 2024-08-06 F2 · derivative.exercise_date: The Reporting Person was awarded stock options, 14,286 of which vest on August 6, 2020, and the remainder of which vests in equal monthly installments thereafter until August 6, 2023. Read SEC document |
| August 06, 2019 Filed Aug 7, 2019 16:08 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 25,381 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-021248 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 784,270 F1 · balance_after: Includes 246,304 shares of unvested restricted stock. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 21:25 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 3,143 | $8.50 | $26,715.50 |
DisclosureSEC source: 0000899243-19-016057 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,995 Read SEC document |
| May 31, 2019 Filed Jun 4, 2019 20:18 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 2,000 | $8.58 | $17,160.00 |
DisclosureSEC source: 0000899243-19-015473 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,852 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.55 to $8.60, inclusive. The reporting person undertakes to provide to Great Elm Capital Corp.("GECC"), any security holder of GECC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 18:59 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 359 | $3.40 | $1,220.60 |
DisclosureSEC source: 0000899243-19-006268 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 758,889 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| February 27, 2019 Filed Feb 28, 2019 18:09 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 5,000 | $3.45 | $17,250.00 |
DisclosureSEC source: 0000899243-19-005299 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 758,530 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 18:09 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 2,102 | $3.45 | $7,251.90 |
DisclosureSEC source: 0000899243-19-005299 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 753,530 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| February 25, 2019 Filed Feb 26, 2019 18:17 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 3,768 | $3.45 | $12,999.60 |
DisclosureSEC source: 0000899243-19-004908 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 751,428 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| February 22, 2019 Filed Feb 26, 2019 18:17 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 3,700 | $3.50 | $12,950.00 |
DisclosureSEC source: 0000899243-19-004908 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 747,660 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| February 21, 2019 Filed Feb 21, 2019 18:07 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 213 | $3.43 | $730.59 |
DisclosureSEC source: 0000899243-19-004440 · doc4.xml · nonDerivative · entry 3 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 743,960 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.40 to $3.45, inclusive. The reporting person undertakes to provide to Great Elm Group, Inc. ("GEC"), any security holder of GEC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein. F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 18:07 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 900 | $3.40 | $3,060.00 |
DisclosureSEC source: 0000899243-19-004440 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 743,747 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 18:07 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 110 | $3.40 | $374.00 |
DisclosureSEC source: 0000899243-19-004440 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 742,847 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| February 14, 2019 Filed Feb 15, 2019 17:29 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 3,637 | $3.35 | $12,183.95 |
DisclosureSEC source: 0000899243-19-003859 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 742,737 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 17:29 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 360 | $3.30 | $1,188.00 |
DisclosureSEC source: 0000899243-19-003859 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 739,100 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| December 18, 2018 Filed Dec 21, 2018 01:19 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 2,145 | $7.90 | $16,945.50 |
DisclosureSEC source: 0000899243-18-031499 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,852 F1 · kind: The reporting person received 2,145 shares of common stock as a payment-in-kind distribution based on the GECC closing price on December 18, 2018 in lieu of a cash distribution for his investment in MAST Select Opportunites, L.P. F1 · price: The reporting person received 2,145 shares of common stock as a payment-in-kind distribution based on the GECC closing price on December 18, 2018 in lieu of a cash distribution for his investment in MAST Select Opportunites, L.P. Read SEC document |
| December 10, 2018 Filed Dec 11, 2018 18:51 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 7,216 | $3.63 | $26,194.08 |
DisclosureSEC source: 0000899243-18-030681 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 738,740 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.55 to $3.65, inclusive. The reporting person undertakes to provide to Great Elm Capital Group, Inc. ("GEC"), any security holder of GEC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein. F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| December 07, 2018 Filed Dec 11, 2018 18:51 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 101 | $3.65 | $368.65 |
DisclosureSEC source: 0000899243-18-030681 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 731,524 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| December 06, 2018 Filed Dec 7, 2018 18:20 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 665 | $3.65 | $2,427.25 |
DisclosureSEC source: 0000899243-18-030432 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 731,423 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| December 04, 2018 Filed Dec 7, 2018 18:20 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 901 | $3.65 | $3,288.65 |
DisclosureSEC source: 0000899243-18-030432 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 730,758 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 16:26 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 244 | $3.65 | $890.60 |
DisclosureSEC source: 0000899243-18-030045 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 729,857 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 30, 2018 Filed Dec 4, 2018 16:26 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 2,653 | $3.65 | $9,683.45 |
DisclosureSEC source: 0000899243-18-030045 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 729,613 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 30, 2018 Filed Dec 4, 2018 21:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 3,000 | $8.40 | $25,200.00 |
DisclosureSEC source: 0000899243-18-030048 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,707 Read SEC document |
| November 27, 2018 Filed Nov 29, 2018 23:57 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 1,832 | $8.39 | $15,370.48 |
DisclosureSEC source: 0000899243-18-029826 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,707 F1 · kind: The reporting person received 1,832 shares of common stock as a payment-in-kind distribution based on the GECC closing price on November 27, 2018 in lieu of a cash distribution for his investment in MAST Select Opportunites, L.P. F1 · price: The reporting person received 1,832 shares of common stock as a payment-in-kind distribution based on the GECC closing price on November 27, 2018 in lieu of a cash distribution for his investment in MAST Select Opportunites, L.P. Read SEC document |
| November 26, 2018 Filed Nov 28, 2018 00:26 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 2,368 | $8.25 | $19,536.00 |
DisclosureSEC source: 0000899243-18-029704 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,875 Read SEC document |
| November 19, 2018 Filed Nov 20, 2018 00:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 20,000 | $8.05 | $161,000.00 |
DisclosureSEC source: 0000899243-18-029378 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,507 Read SEC document |
| November 15, 2018 Filed Nov 19, 2018 19:49 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 2,118 | $3.35 | $7,095.30 |
DisclosureSEC source: 0000899243-18-029374 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 726,960 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 15, 2018 Filed Nov 20, 2018 00:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 41,500 | $8.10 | $336,150.00 |
DisclosureSEC source: 0000899243-18-029378 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,507 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.08 to $8.13, inclusive. The reporting person undertakes to provide to Great Elm Capital Corp.("GECC"), any security holder of GECC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range. Read SEC document |
| November 14, 2018 Filed Nov 15, 2018 15:48 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 10,107 | $3.49 | $35,273.43 |
DisclosureSEC source: 0000899243-18-029002 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 724,842 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 13, 2018 Filed Nov 15, 2018 15:48 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 15,925 | $3.47 | $55,259.75 |
DisclosureSEC source: 0000899243-18-029002 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 714,735 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| May 29, 2018 Filed May 30, 2018 16:40 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 7,800 | $3.80 | $29,640.00 |
DisclosureSEC source: 0000899243-18-014452 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 698,810 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| May 25, 2018 Filed May 25, 2018 19:08 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 2,170 | $3.75 | $8,137.50 |
DisclosureSEC source: 0000899243-18-014171 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 691,010 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| May 24, 2018 Filed May 25, 2018 19:08 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 75,000 | $3.80 | $285,000.00 |
DisclosureSEC source: 0000899243-18-014171 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 688,840 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 27, 2017 Filed Nov 29, 2017 21:07 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 200 | $10.10 | $2,020.00 |
DisclosureSEC source: 0000899243-17-027542 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,007 Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 16:05 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 41,315 | $3.80 | $156,831.74 |
DisclosureSEC source: 0000899243-17-027423 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 613,840 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.