organization · Reporting owner
Forest Investments, Inc.
Disclosed activity across 1 company
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Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Great Elm Capital Corp.
Report date December 29, 2020 · Filed December 31, 2020
Section 16 reporting ended · disclosed 2020-12-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-12-29 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-12-29 · Other · Disposed 5,425,644 · Balance 0 F1: On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2020-12-29 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-12-29 · Other · Disposed 429,150 · Balance 0 F1: On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock. F2: Represents shares of common stock held directly by Great Elm Opportunities Fund I, LP, a Delaware limited partnership. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock.
F2: Represents shares of common stock held directly by Great Elm Opportunities Fund I, LP, a Delaware limited partnership.
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 |
|---|---|---|---|---|---|---|
| December 29, 2020 Filed Dec 31, 2020 16:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 429,150 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-20-030058 · form4.xml · nonDerivative · entry 2 Forest Investments, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock. F1 · price: On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock. F1 · ownership.direct: On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock. F1 · ownership.nature: On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock. F2 · ownership.nature: Represents shares of common stock held directly by Great Elm Opportunities Fund I, LP, a Delaware limited partnership. Read SEC document |
| December 29, 2020 Filed Dec 31, 2020 16:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 5,425,644 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-20-030058 · form4.xml · nonDerivative · entry 1 Forest Investments, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock. F1 · price: On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock. F1 · ownership.direct: On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 18:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 9,089 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065079 · doc4.xml · nonDerivative · entry 2 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 429,150 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 18:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 97,294 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065079 · doc4.xml · nonDerivative · entry 1 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,425,644 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 18:06 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 12,652 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060309 · doc4.xml · nonDerivative · entry 2 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 420,061 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 18:06 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 160,492 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060309 · doc4.xml · nonDerivative · entry 1 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,328,350 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 21:52 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 6,858 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055761 · doc4.xml · nonDerivative · entry 2 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 407,409 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 21:52 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 59,089 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055761 · doc4.xml · nonDerivative · entry 1 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,167,858 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 01, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 863,337 | $2.95 | $2,546,844.15 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 13 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,108,769 F4 · shares: Reflects additional shares of Common Stock acquired by GEC in connection with the Issuer's rights offering pursuant to the over-subscription privilege. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherSubscription Rights · Derivative | 151,894 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · derivative · entry 15 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 0 Underlying: Common Stock · 151,894 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherSubscription Rights · Derivative | 2,103,194 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · derivative · entry 14 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,103,194 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 151,894 | $2.95 | $448,087.30 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 12 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 400,551 F3 · shares: On September 28, 2020, Great Elm Opportunities Fund I, LP ("GEOF") exercised certain of its primary subscription rights (each 1 subscription right entitling GEOF 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 28, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 2,103,194 | $2.95 | $6,204,422.30 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 11 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,245,432 F2 · shares: On September 28, 2020, Great Elm Capital Group, Inc. ("GEC") exercised in full its primary subscription rights (each 1 subscription right entitling GEC 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 Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 4,532 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 10 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 248,657 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| September 21, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 39,044 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 9 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,142,238 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 21, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 4,337 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 8 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 244,125 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 21, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 31,546 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 7 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,103,194 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 4,641 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 6 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 239,788 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 28,214 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 5 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,071,648 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| June 15, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 4,447 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 4 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 235,147 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| June 15, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 26,939 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 3 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,043,434 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| May 15, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 5,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 2 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 230,700 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| May 15, 2020 Filed Oct 1, 2020 17:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 49,828 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 1 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,016,495 F1 · kind: Shares acquired as a result of a stock dividend. 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.