Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Great Elm Capital Corp.GECC · Entity 6877 | Director | January 21, 2021 | January 26, 2021 |
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.
Great Elm Capital Corp.
Report date January 21, 2021 · Filed January 26, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 36,559 |
Reported balance
After 2021-01-21 transaction · row 1
1 source rowRow 1 · 2021-01-21 · Grant · Acquired 614 · Balance 36,559 F1: Shares acquired as a result of a stock dividend. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired as a result of a stock dividend.
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 |
|---|---|---|---|---|---|---|
| January 21, 2021 Filed Jan 26, 2021 21:58 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 614 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-005398 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,559 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:39 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 644 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065091 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,945 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:25 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 825 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060316 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,301 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:20 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 363 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055755 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,476 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:40 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherSubscription Rights · Derivative | 16,937 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052699 · doc4.xml · derivative · entry 2 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,937 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:40 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 16,937 | $2.95 | $49,964.15 |
DisclosureSEC source: 0001209191-20-052699 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,113 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 23:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 239 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051728 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,176 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 21, 2020 Filed Aug 26, 2020 00:18 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 254 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-048312 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,937 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 22:29 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 227 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042965 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,683 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| June 15, 2020 Filed Jun 18, 2020 00:07 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 216 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037460 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,456 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| May 15, 2020 Filed May 20, 2020 01:25 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 240 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030781 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,240 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 23:45 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 5,000 | $7.80 | $39,000.00 |
DisclosureSEC source: 0000899243-19-027806 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Read SEC document |
| November 20, 2018 Filed Nov 21, 2018 21:19 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 6,000 | $8.12 | $48,720.00 |
DisclosureSEC source: 0000899243-18-029551 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.05 to $8.14, 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 13, 2017 Filed Nov 15, 2017 21:49 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 5,000 | $9.40 | $47,000.00 |
DisclosureSEC source: 0000899243-17-026360 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.38 to $9.40, inclusive. The reporting person undertakes to provide to Great Elm Capital Corp., any security holder of Great Elm Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) on this Form 4. 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.