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 | 17,202 |
Reported balance
After 2021-01-21 transaction · row 1
1 source rowRow 1 · 2021-01-21 · Grant · Acquired 330 · Balance 17,202 F1: Shares acquired as a result of a stock dividend. |
| Common StockSEC Table I · non-derivative | IndirectBy John E. Stuart GST Trust | 5,073 |
Reported balance
After 2021-01-21 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-01-21 · Grant · Acquired 97 · Balance 5,073 F1: Shares acquired as a result of a stock dividend. |
| Common StockSEC Table I · non-derivative | IndirectBy Mary E. Stuart 2011 Grantor Trust | 2,383 |
Reported balance
After 2021-01-21 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2021-01-21 · Grant · Acquired 40 · Balance 2,383 F1: Shares acquired as a result of a stock dividend. |
| Common StockSEC Table I · non-derivative | IndirectBy Michele G. Stuart | 1,034 |
Reported balance
After 2021-01-21 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2021-01-21 · Grant · Acquired 18 · Balance 1,034 F1: Shares acquired as a result of a stock dividend. |
| Common StockSEC Table I · non-derivative | IndirectBy Full Circle Investments LLC | 53 |
Reported balance
Holding disclosure · report date 2021-01-21 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 53 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired as a result of a stock dividend.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Full Circle Capital Corp
Report date November 03, 2016 · Filed November 04, 2016
Section 16 reporting ended · disclosed 2016-11-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Full Circle Advisors, LLC | 0 |
Reported balance
After 2016-11-02 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-11-02 · Other · Disposed 1,453,692 · Balance 0 F1: These shares, which were owned by Full Circle Advisors, LLC and may have been deemed to be beneficially owned by the reporting person by virtue of his position as managing member thereof, were transferred by Full Circle Advisors, LLC in partial repayment of a loan obligation of Full Circle Advisors, LLC. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-11-03 transaction · row 2
1 source rowRow 2 · 2016-11-03 · Disposition to issuer · Disposed 41,830 · Balance 0 F2: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock. |
| Common StockSEC Table I · non-derivative | IndirectBy Michele G. Stuart | 0 |
Reported balance
After 2016-11-03 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2016-11-03 · Disposition to issuer · Disposed 4,000 · Balance 0 F2: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock. |
| Common StockSEC Table I · non-derivative | IndirectBy John E. Stuart GST Trust | 0 |
Reported balance
After 2016-11-03 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2016-11-03 · Disposition to issuer · Disposed 19,351 · Balance 0 F2: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock. |
| Common StockSEC Table I · non-derivative | IndirectBy Mary E. Stuart 2001 Grantor Trust | 0 |
Reported balance
After 2016-11-03 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2016-11-03 · Disposition to issuer · Disposed 9,258 · Balance 0 F2: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock. |
| Common StockSEC Table I · non-derivative | IndirectBy Full Circle Investments, LLC | 0 |
Reported balance
After 2016-11-03 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2016-11-03 · Disposition to issuer · Disposed 237 · Balance 0 F2: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock. F3: Amount represents 237 shares owned by Full Circle Investments LLC, of which Mr. Stuart is a managing member thereof. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares, which were owned by Full Circle Advisors, LLC and may have been deemed to be beneficially owned by the reporting person by virtue of his position as managing member thereof, were transferred by Full Circle Advisors, LLC in partial repayment of a loan obligation of Full Circle Advisors, LLC.
F2: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock.
F3: Amount represents 237 shares owned by Full Circle Investments LLC, of which Mr. Stuart is a managing member thereof.
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 22:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 18 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-005401 · doc4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 1,034 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| January 21, 2021 Filed Jan 26, 2021 22:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 40 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-005401 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,383 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| January 21, 2021 Filed Jan 26, 2021 22:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 97 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-005401 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 5,073 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| January 21, 2021 Filed Jan 26, 2021 22:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 330 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-005401 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,202 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:41 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 19 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065093 · doc4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 1,016 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:41 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 42 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065093 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,343 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:41 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 96 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065093 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,976 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:41 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 324 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065093 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,872 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 24 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060323 · doc4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 997 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 53 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060323 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,301 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 128 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060323 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,880 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 432 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060323 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,548 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:25 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 20 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055757 · doc4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 973 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:25 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 46 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055757 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,248 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:25 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 111 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055757 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,752 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:25 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 245 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055757 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,116 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:45 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherSubscription Rights · Derivative | 5,773 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052705 · doc4.xml · derivative · entry 6 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,773 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:45 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 5,773 | $2.95 | $17,030.35 |
DisclosureSEC source: 0001209191-20-052705 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,871 F1 · shares: On September 28, 2020, the Reporting Person exercised certain of 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 23:49 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 14 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051730 · doc4.xml · nonDerivative · entry 4 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 953 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| September 21, 2020 Filed Sep 23, 2020 23:49 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 30 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051730 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,202 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| September 21, 2020 Filed Sep 23, 2020 23:49 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 72 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051730 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,641 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| September 21, 2020 Filed Sep 23, 2020 23:49 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 160 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051730 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,098 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 21, 2020 Filed Aug 26, 2020 00:32 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 14 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-048314 · doc4.xml · nonDerivative · entry 4 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 939 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 21, 2020 Filed Aug 26, 2020 00:32 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 32 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-048314 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,172 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 21, 2020 Filed Aug 26, 2020 00:32 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 74 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-048314 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,569 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 21, 2020 Filed Aug 26, 2020 00:32 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 161 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-048314 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,938 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 22:34 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 13 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042968 · doc4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 925 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 22:34 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 29 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042968 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,140 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 22:34 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 72 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042968 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,495 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 22:34 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042968 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,736 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Jul 24, 2020 00:38 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 41 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-043556 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,777 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| June 15, 2020 Filed Jun 18, 2020 00:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 12 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037453 · doc4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 912 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| June 15, 2020 Filed Jun 18, 2020 00:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 27 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037453 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,111 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| June 15, 2020 Filed Jun 18, 2020 00:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 69 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037453 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,423 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| June 15, 2020 Filed Jun 18, 2020 00:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 152 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037453 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,617 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| May 15, 2020 Filed May 20, 2020 01:00 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 13 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030772 · doc4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 900 Read SEC document |
| May 15, 2020 Filed May 20, 2020 01:00 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 30 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030772 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,084 Read SEC document |
| May 15, 2020 Filed May 20, 2020 01:00 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 83 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030772 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,354 Read SEC document |
| May 15, 2020 Filed May 20, 2020 01:00 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 185 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030772 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,465 Read SEC document |
| November 03, 2016 Filed Nov 4, 2016 07:02 UTC | Full Circle Capital Corp FULL · Entity 181287 | Disposition to issuerCommon Stock | 237 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-16-131531 · v451958_4.xml · nonDerivative · entry 6 STUART JOHN EDWARD · CIK 0001498701 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Full Circle Investments, LLC Disclosed balance after: 0 F2 · price: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock. F3 · ownership.nature: Amount represents 237 shares owned by Full Circle Investments LLC, of which Mr. Stuart is a managing member thereof. Read SEC document |
| November 03, 2016 Filed Nov 4, 2016 07:02 UTC | Full Circle Capital Corp FULL · Entity 181287 | Disposition to issuerCommon Stock | 9,258 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-16-131531 · v451958_4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2001 Grantor Trust Disclosed balance after: 0 F2 · price: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock. Read SEC document |
| November 03, 2016 Filed Nov 4, 2016 07:02 UTC | Full Circle Capital Corp FULL · Entity 181287 | Disposition to issuerCommon Stock | 19,351 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-16-131531 · v451958_4.xml · nonDerivative · entry 4 STUART JOHN EDWARD · CIK 0001498701 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 0 F2 · price: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock. Read SEC document |
| November 03, 2016 Filed Nov 4, 2016 07:02 UTC | Full Circle Capital Corp FULL · Entity 181287 | Disposition to issuerCommon Stock | 4,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-16-131531 · v451958_4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 0 F2 · price: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock. Read SEC document |
| November 03, 2016 Filed Nov 4, 2016 07:02 UTC | Full Circle Capital Corp FULL · Entity 181287 | Disposition to issuerCommon Stock | 41,830 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-16-131531 · v451958_4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock. Read SEC document |
| November 02, 2016 Filed Nov 4, 2016 07:02 UTC | Full Circle Capital Corp FULL · Entity 181287 | OtherCommon Stock | 1,453,692 | $2.69 | $3,910,431.48 |
DisclosureSEC source: 0001144204-16-131531 · v451958_4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Full Circle Advisors, LLC Disclosed balance after: 0 F1 · kind: These shares, which were owned by Full Circle Advisors, LLC and may have been deemed to be beneficially owned by the reporting person by virtue of his position as managing member thereof, were transferred by Full Circle Advisors, LLC in partial repayment of a loan obligation of Full Circle Advisors, LLC. F1 · ownership.nature: These shares, which were owned by Full Circle Advisors, LLC and may have been deemed to be beneficially owned by the reporting person by virtue of his position as managing member thereof, were transferred by Full Circle Advisors, LLC in partial repayment of a loan obligation of Full Circle Advisors, LLC. 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.