organization · Reporting owner
Mast Capital Management, LLC
Disclosed activity across 2 companies
Sign in to followReported relationships
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 (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Forest Investments, Inc.
Report date November 03, 2016 · Filed June 02, 2017 · Amendment
Jointly reported with Steinberg David J.
Section 16 reporting ended · disclosed 2017-05-16. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 220,923 |
Reported balance
After 2016-11-03 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2016-11-03 · Purchase · Acquired 220,923 · Balance 220,923 F1: Represents restricted shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.) (the "Issuer") held directly by Mr. Steinberg. Such restricted shares are subject to performance-based vesting and time-based vesting. Under the time-based vesting, 20% will vest on November 3, 2017 and thereafter 5% will vest on each February 3, May 3, August 3, and November 3, until fully vested. |
| Common StockSEC Table I · non-derivative | Direct | 285,507 |
Reported balance
After 2016-12-30 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2016-12-30 · Purchase · Acquired 64,584 · Balance 285,507 F2: Represents shares of Common Stock held directly by Mr. Steinberg. Amended share count represents 2,243 additional shares purchased as a result of a finalized backstop purchase obligation in connection with a rights offering. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,108,178 |
Reported balance
After 2016-12-30 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2016-12-30 · Other · Acquired 1,195,586 · Balance 2,108,178 F3: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager. F4: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,947,735 |
Reported balance
After 2016-12-30 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2016-12-30 · Other · Acquired 1,104,596 · Balance 1,947,735 F4: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F6: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager. |
| Warrant to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2026-11-03 | Direct | 54,733 |
Reported balance
After 2016-12-09 transaction · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · 2016-12-09 · Purchase · Acquired 54,733 · Balance 54,733 F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F7: Represents a warrant for Common Stock held directly by MAST Capital. The warrant is exercisable from the earlier of (i) the date when certain performance-based metrics are met and (ii) November 3, 2021. The number of shares of Common Stock underlying the Warrant shall be reduced on a proportionate basis, based on the actual achievement of such metric. |
| Subscription Right (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.29 · Expires 2016-12-23 | IndirectSee footnotes | 0 |
Reported balance
After 2016-12-30 transaction · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · 2016-12-30 · Other · Disposed 1,195,586 · Balance 0 F3: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager. F4: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. |
| Subscription Right (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.29 · Expires 2016-12-23 | IndirectSee footnotes | 0 |
Reported balance
After 2016-12-30 transaction · row 7
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 7 · 2016-12-30 · Other · Disposed 1,104,596 · Balance 0 F4: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F6: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.) (the "Issuer") held directly by Mr. Steinberg. Such restricted shares are subject to performance-based vesting and time-based vesting. Under the time-based vesting, 20% will vest on November 3, 2017 and thereafter 5% will vest on each February 3, May 3, August 3, and November 3, until fully vested.
F2: Represents shares of Common Stock held directly by Mr. Steinberg. Amended share count represents 2,243 additional shares purchased as a result of a finalized backstop purchase obligation in connection with a rights offering.
F3: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager.
F4: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein.
F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.
F6: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager.
F7: Represents a warrant for Common Stock held directly by MAST Capital. The warrant is exercisable from the earlier of (i) the date when certain performance-based metrics are met and (ii) November 3, 2021. The number of shares of Common Stock underlying the Warrant shall be reduced on a proportionate basis, based on the actual achievement of such metric.
Great Elm Capital Corp.
Report date June 05, 2019 · Filed June 07, 2019
Jointly reported with Steinberg David J.
Section 16 reporting ended · disclosed 2019-06-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,015,508 |
Reported balance
After 2019-06-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-06-05 · Sale · Disposed 55,100 · Balance 1,015,508 F1: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 55,100 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.48to $8.4934, inclusive, on June 5, 2019 F3: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 943,961 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 55,100 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.48to $8.4934, inclusive, on June 5, 2019
F3: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 943,961 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P.
F4: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein.
F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| June 05, 2019 Filed Jun 7, 2019 14:40 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 55,100 | $8.48 | $467,314.12 |
DisclosureSEC source: 0000899243-19-015948 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,015,508 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 55,100 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.48to $8.4934, inclusive, on June 5, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 943,961 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| June 04, 2019 Filed Jun 4, 2019 21:15 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 5,700 | $8.47 | $48,304.08 |
DisclosureSEC source: 0000899243-19-015494 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,070,608 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 5,700 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.4744 on June 4, 2019. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 999,061 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| June 03, 2019 Filed Jun 4, 2019 21:15 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 7,400 | $8.47 | $62,641.00 |
DisclosureSEC source: 0000899243-19-015494 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,076,308 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 7,400 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.465 on June 3, 2019. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,004,761 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 31, 2019 Filed Jun 4, 2019 21:15 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 58,200 | $8.60 | $500,467.62 |
DisclosureSEC source: 0000899243-19-015494 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,083,708 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 58,200 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.5937to $8.60, inclusive, on May 31, 2019. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,012,161 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 30, 2019 Filed May 30, 2019 21:05 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 7,000 | $8.86 | $62,031.20 |
DisclosureSEC source: 0000899243-19-015190 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,141,908 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 7,000 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.8616 on May 30, 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,070,361 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 29, 2019 Filed May 30, 2019 21:05 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 5,300 | $8.90 | $47,170.00 |
DisclosureSEC source: 0000899243-19-015190 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,148,908 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 5,300 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.90 on May 29, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,077,361 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 30, 2019 21:05 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 8,800 | $8.88 | $78,154.56 |
DisclosureSEC source: 0000899243-19-015190 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,154,208 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 8,800 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.8812 on May 28, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,082,661 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 24, 2019 Filed May 24, 2019 23:04 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 10,500 | $8.85 | $92,909.25 |
DisclosureSEC source: 0000899243-19-014762 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,163,008 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 10,500 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.7812 on May 24, 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,091,461 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 23, 2019 Filed May 24, 2019 23:04 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 258,100 | $8.60 | $2,220,382.68 |
DisclosureSEC source: 0000899243-19-014762 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,173,508 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 242,962 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 15,138 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.60 to $8.6891, inclusive, on May 23, 2019. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,101,961 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 22, 2019 Filed May 24, 2019 23:04 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 5,400 | $8.77 | $47,380.68 |
DisclosureSEC source: 0000899243-19-014762 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,431,608 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 5,400 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.7742 on May 22, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,344,923 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 86,685 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 21, 2019 Filed May 21, 2019 22:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 6,900 | $8.85 | $61,054.65 |
DisclosureSEC source: 0000899243-19-014289 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,437,008 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 6,900 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.8485 on May 21, 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,350,323 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 86,685 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 20, 2019 Filed May 21, 2019 22:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 6,200 | $8.83 | $54,760.26 |
DisclosureSEC source: 0000899243-19-014289 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,443,908 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 6,200 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.8323 on May 20, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,357,223 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 86,685 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 17, 2019 Filed May 21, 2019 22:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 5,400 | $8.72 | $47,099.34 |
DisclosureSEC source: 0000899243-19-014289 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,450,108 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 5,400 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.7221 on May 17, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,363,423 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 86,685 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 16, 2019 Filed May 16, 2019 21:24 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 134,700 | $8.69 | $1,171,122.21 |
DisclosureSEC source: 0000899243-19-013772 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,455,508 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 126,677 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 8,023 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.6211 to $8.70, inclusive, on May 16, 2019. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,368,823 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 86,685 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 15, 2019 Filed May 16, 2019 21:24 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 9,400 | $8.56 | $80,445.20 |
DisclosureSEC source: 0000899243-19-013772 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,590,208 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 8,840 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 560 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.5580 on May 15, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,495,500 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 94,708 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 14, 2019 Filed May 16, 2019 21:24 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 4,900 | $8.55 | $41,875.40 |
DisclosureSEC source: 0000899243-19-013772 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,599,608 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 4,608 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 292 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.5460 on May 14, 2019. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,504,340 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 95,268 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 13, 2019 Filed May 13, 2019 21:59 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 5,000 | $8.41 | $42,035.50 |
DisclosureSEC source: 0000899243-19-013284 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,604,508 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 4,702 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 298 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.4071 on May 13, 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,508,948 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 95,560 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 10, 2019 Filed May 13, 2019 21:59 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,100 | $8.43 | $17,708.67 |
DisclosureSEC source: 0000899243-19-013284 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,609,508 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 1,975 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 125 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.4327 on May 10, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,513,650 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 95,858 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 09, 2019 Filed May 13, 2019 21:59 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,700 | $8.39 | $14,262.83 |
DisclosureSEC source: 0000899243-19-013284 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,611,608 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 1,599 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 101 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3899 on May 9, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,515,625 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 95,983 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| April 25, 2019 Filed Apr 29, 2019 18:42 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 13,300 | $8.36 | $111,209.28 |
DisclosureSEC source: 0000899243-19-011310 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,613,308 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 12,508 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 792 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3616 on April 25, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,517,224 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 96,084 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| April 24, 2019 Filed Apr 24, 2019 21:17 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 20,500 | $8.41 | $172,419.35 |
DisclosureSEC source: 0000899243-19-011057 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,626,608 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 19,279 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii)1,221 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.4107 on April 24, 2019., F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,529,732 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 96,876 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| April 23, 2019 Filed Apr 24, 2019 21:17 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 16,200 | $8.39 | $135,919.62 |
DisclosureSEC source: 0000899243-19-011057 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,647,108 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 15,235 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 965 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3901 on April 23, 2019. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,574,873 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 100,510 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| April 22, 2019 Filed Apr 24, 2019 21:17 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 11,300 | $8.34 | $94,282.68 |
DisclosureSEC source: 0000899243-19-011057 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,663,308 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 10,627 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 673 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.33436 on April 22, 2019. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,564,246 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 99,062 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| April 18, 2019 Filed Apr 18, 2019 23:21 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 13,000 | $8.36 | $108,655.30 |
DisclosureSEC source: 0000899243-19-010919 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,674,608 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 15,047 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 953 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.2 to $8.2576, inclusive, on April 18, 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,609,762 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 99,735 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| April 17, 2019 Filed Apr 18, 2019 23:21 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 7,400 | $8.36 | $61,846.24 |
DisclosureSEC source: 0000899243-19-010919 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,687,608 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 12,225 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 775 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3576 on April 17, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,574,873 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 100,510 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| April 16, 2019 Filed Apr 18, 2019 23:21 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 16,700 | $8.34 | $139,264.64 |
DisclosureSEC source: 0000899243-19-010919 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,695,008 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 15,705 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 995 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3392 on April 16, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,594,057 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 100,951 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| April 01, 2019 Filed Apr 1, 2019 18:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 102,900 | $8.20 | $843,944.64 |
DisclosureSEC source: 0000899243-19-009370 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,711,708 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 15,047 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 953 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.2 to $8.2576, inclusive, on April 1, 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,609,762 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 101,946 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 29, 2019 Filed Apr 1, 2019 18:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 5,900 | $8.27 | $48,785.92 |
DisclosureSEC source: 0000899243-19-009370 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,814,608 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 5,549 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 351 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.2688 on March 29, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,706,533 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 108,075 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 28, 2019 Filed Apr 1, 2019 18:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 6,400 | $8.29 | $53,080.32 |
DisclosureSEC source: 0000899243-19-009370 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,820,508 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 6,018 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 382 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.2938 on March 28, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,712,082 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 108,426 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 26, 2019 Filed Mar 27, 2019 21:42 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 16,000 | $8.35 | $133,664.00 |
DisclosureSEC source: 0000899243-19-009036 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,826,908 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 15,047 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 953 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3540 on March 26, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,941,172 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 122,936 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 25, 2019 Filed Mar 27, 2019 21:42 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 205,200 | $8.22 | $1,687,092.84 |
DisclosureSEC source: 0000899243-19-009036 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,842,908 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 192,978 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 12,222 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in a multiple transactions at price of $8.2217 on March 25, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,733,147 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 109,761 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 22, 2019 Filed Mar 23, 2019 00:09 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 16,000 | $8.24 | $131,825.60 |
DisclosureSEC source: 0000899243-19-008821 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,048,108 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 15,047 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 953 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.2391 on March 22 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,926,125 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 121,983 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 21, 2019 Filed Mar 23, 2019 00:09 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 4,300 | $8.31 | $35,728.27 |
DisclosureSEC source: 0000899243-19-008821 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,064,108 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 4,044 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 256 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3089 on March 21, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,941,172 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 122,936 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 20, 2019 Filed Mar 23, 2019 00:09 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 3,700 | $8.32 | $30,772.16 |
DisclosureSEC source: 0000899243-19-008821 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,068,408 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 3,480 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 220 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3168 on March 20, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,945,216 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 123,192 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 19, 2019 Filed Mar 19, 2019 21:12 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 9,500 | $8.28 | $78,675.20 |
DisclosureSEC source: 0000899243-19-008353 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,072,108 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 8,934 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 566 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.2816 on March 19 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,948,696 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 123,412 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 18, 2019 Filed Mar 19, 2019 21:12 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 4,800 | $8.17 | $39,214.08 |
DisclosureSEC source: 0000899243-19-008353 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,081,608 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 4,514 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 286 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.1696 on March 18, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,957,630 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 123,978 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:12 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 18,009 | $8.15 | $146,830.98 |
DisclosureSEC source: 0000899243-19-008353 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,086,408 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 16,936 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,073 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.1532 on March 15, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,962,144 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 124,264 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 14, 2019 Filed Mar 14, 2019 21:11 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 10,400 | $8.10 | $84,214.00 |
DisclosureSEC source: 0000899243-19-007736 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,104,417 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 9,781 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 619 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.0975 on March 14 2019. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,979,080 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 125,337 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 13, 2019 Filed Mar 14, 2019 21:11 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 35,900 | $8.14 | $292,139.84 |
DisclosureSEC source: 0000899243-19-007736 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,114,817 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 33,762 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 2,138 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.1376 on March 13, 2019. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,988,861 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 125,956 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 12, 2019 Filed Mar 14, 2019 21:11 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 17,700 | $8.21 | $145,293.99 |
DisclosureSEC source: 0000899243-19-007736 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,150,717 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 16,646 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,054 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.2087 on March 12, 2019. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,022,623 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 128,094 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 11, 2019 Filed Mar 11, 2019 22:16 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 9,800 | $8.16 | $79,968.00 |
DisclosureSEC source: 0000899243-19-007064 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,168,417 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 9,216 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 584 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.16 on March 11 2019. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,039,269 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 129,148 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 08, 2019 Filed Mar 11, 2019 22:16 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 8,400 | $8.09 | $67,942.56 |
DisclosureSEC source: 0000899243-19-007064 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,178,217 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 7,900 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 500 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.0884 on March 8, 2019. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,048,485 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 129,732 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 22:16 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 17,600 | $8.17 | $143,779.68 |
DisclosureSEC source: 0000899243-19-007064 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,186,617 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 16,552 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,048 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.1693 on March 7, 2019. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,056,385 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 130,232 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 06, 2019 Filed Mar 7, 2019 01:12 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 6,300 | $8.20 | $51,678.90 |
DisclosureSEC source: 0000899243-19-006536 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,204,217 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 5,925 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 375 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.2030 on March 6, 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,072,937 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 131,280 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 05, 2019 Filed Mar 7, 2019 01:12 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 14,500 | $8.16 | $118,338.85 |
DisclosureSEC source: 0000899243-19-006536 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,210,517 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 13,636 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 864 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.1613 on March 5, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,145,821 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 135,896 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 04, 2019 Filed Mar 7, 2019 01:12 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 16,700 | $8.29 | $138,449.68 |
DisclosureSEC source: 0000899243-19-006536 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,225,017 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 15,705 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 905 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.2904 on March 4 27, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,092,498 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 132,519 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| March 01, 2019 Filed Mar 1, 2019 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 40,000 | $8.42 | $336,724.00 |
DisclosureSEC source: 0000899243-19-005491 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,241,717 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 37,618 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 2,382 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.4181 on March 1, 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,108,203 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 133,514 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 11,400 | $8.33 | $94,964.28 |
DisclosureSEC source: 0000899243-19-005491 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,281,717 F6 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 10,699 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 701 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3302 on February 28, 2019 F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,145,821 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 135,896 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 10,000 | $8.38 | $83,794.00 |
DisclosureSEC source: 0000899243-19-005491 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,293,117 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 9,385 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 615 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3794 on February 27, 2019 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,156,520 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 136,597 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| February 26, 2019 Filed Feb 26, 2019 22:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 29,400 | $8.50 | $249,999.96 |
DisclosureSEC source: 0000899243-19-004900 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,307,791 F9 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 27,592 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,808 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.5034 on February 26, 2019 F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,165,905 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 141,886 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. 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.