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 |
|---|---|---|---|---|---|---|
| February 25, 2019 Filed Feb 26, 2019 22:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 32,500 | $8.48 | $275,567.50 |
DisclosureSEC source: 0000899243-19-004900 · 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: 2,337,191 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) 30,502 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,998 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 $8.479 on February 25, 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) 2,193,497 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 143,694 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 22, 2019 Filed Feb 26, 2019 22:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 15,700 | $8.45 | $132,654.01 |
DisclosureSEC source: 0000899243-19-004900 · 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: 2,369,691 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) 14,735 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. 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 $8.4493 on February 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) 2,223,999 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 145,692 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 21, 2019 Filed Feb 21, 2019 22:40 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 6,400 | $8.39 | $53,690.24 |
DisclosureSEC source: 0000899243-19-004413 · 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: 2,385,391 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) 6,006 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 394 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 $8.3891 on February 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) 2,238,734 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 146,657 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 20, 2019 Filed Feb 21, 2019 22:40 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 11,600 | $8.32 | $96,512.00 |
DisclosureSEC source: 0000899243-19-004413 · 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: 2,391,791 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) 10,887 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 713 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 $8.382 on February 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) 2,244,740 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 147,051 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 19, 2019 Filed Feb 21, 2019 22:40 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 20,900 | $8.32 | $173,888.00 |
DisclosureSEC source: 0000899243-19-004413 · 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: 2,403,391 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) 19,615 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,285 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 $8.32 on February 19, 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) 2,255,627 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 147,764 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 15, 2019 Filed Feb 15, 2019 22:38 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 12,000 | $8.31 | $99,664.80 |
DisclosureSEC source: 0000899243-19-003863 · 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: 2,424,291 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) 11,262 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 738 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 $8.3054 on February 15, 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) 2,275,242 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 159,049 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 14, 2019 Filed Feb 15, 2019 22:38 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 16,400 | $8.28 | $135,870.72 |
DisclosureSEC source: 0000899243-19-003863 · 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: 2,436,291 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) 15,392 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,008 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 $8.2848 on February 14, 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) 2,321,041 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 152,050 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 13, 2019 Filed Feb 15, 2019 22:38 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 12,000 | $8.26 | $99,177.60 |
DisclosureSEC source: 0000899243-19-003863 · 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: 2,452,691 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) 11,262 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 738 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 $8.2648 on February 13, 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) 2,301,896 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 150,795 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 12, 2019 Filed Feb 13, 2019 00:14 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 8,400 | $8.16 | $68,565.84 |
DisclosureSEC source: 0000899243-19-003349 · 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: 2,464,691 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) 7,883 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 517 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 $8.1626 on February 12, 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) 2,313,158 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 151,533 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 11, 2019 Filed Feb 13, 2019 00:14 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 5,900 | $8.13 | $47,984.70 |
DisclosureSEC source: 0000899243-19-003349 · 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: 2,473,091 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) 5,537 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 363 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 $8.133 on February 11, 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) 2,321,041 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 152,050 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 08, 2019 Filed Feb 13, 2019 00:14 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 6,000 | $8.15 | $48,885.00 |
DisclosureSEC source: 0000899243-19-003349 · 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: 2,478,991 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) 5,631 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 369 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 $8.1475 on February 8, 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) 2,326,578 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 152,413 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 07, 2019 Filed Feb 7, 2019 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 9,000 | $8.14 | $73,234.80 |
DisclosureSEC source: 0000899243-19-002904 · 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: 2,484,991 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) 8,447 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 553 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 $8.1372 on February 7, 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) 2,332,209 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 152,782 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 06, 2019 Filed Feb 7, 2019 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 14,700 | $8.14 | $119,619.78 |
DisclosureSEC source: 0000899243-19-002904 · 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: 2,493,991 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) 13,796 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 904 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 $8.1374 on February 6, 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) 2,393,025 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 156,766 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 05, 2019 Filed Feb 7, 2019 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 16,100 | $8.08 | $130,021.99 |
DisclosureSEC source: 0000899243-19-002904 · 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: 2,508,691 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) 15,110 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 990 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 $8.0759 on February 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) 2,354,452 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 154,239 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 04, 2019 Filed Feb 4, 2019 22:30 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 25,000 | $8.01 | $200,320.00 |
DisclosureSEC source: 0000899243-19-002480 · 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: 2,524,791 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) 23,463 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,537 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 $8.0128 on February 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) 2,369,562 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 155,229 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 01, 2019 Filed Feb 4, 2019 22:30 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 5,200 | $8.00 | $41,601.56 |
DisclosureSEC source: 0000899243-19-002480 · 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: 2,549,791 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) 4,880 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 320 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 $8.0003 on February 1, 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) 2,393,025 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 156,766 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 |
| January 31, 2019 Filed Feb 4, 2019 22:30 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 9,000 | $8.01 | $72,047.70 |
DisclosureSEC source: 0000899243-19-002480 · 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: 2,554,991 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) 8,447 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 553 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 $8.0053 on January 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) 2,397,905 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 157,086 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 |
| January 30, 2019 Filed Jan 30, 2019 23:09 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 9,750 | $8.00 | $78,047.78 |
DisclosureSEC source: 0000899243-19-002209 · 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: 2,563,991 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) 9,150 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 600 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 $8.0049 on January 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) 2,406,352 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 157,639 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 |
| January 29, 2019 Filed Jan 30, 2019 23:09 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 7,000 | $8.01 | $56,053.20 |
DisclosureSEC source: 0000899243-19-002209 · 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: 2,573,741 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) 6,570 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 430 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 $8.0076 on January 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) 2,415,502 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 158,239 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 |
| January 28, 2019 Filed Jan 30, 2019 23:09 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 15,100 | $7.99 | $120,621.82 |
DisclosureSEC source: 0000899243-19-002209 · 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: 25,807,417 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) 14,171 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 929 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 $7.9882 on January 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) 2,422,072 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 158,669 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 |
| January 25, 2019 Filed Jan 25, 2019 22:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 18,500 | $7.95 | $147,099.05 |
DisclosureSEC source: 0000899243-19-001964 · 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: 2,595,841 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) 17,362 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,138 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 $7.9513 on January 25, 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) 2,436,243 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 159,598 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 |
| January 24, 2019 Filed Jan 25, 2019 22:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 4,666 | $7.95 | $37,104.50 |
DisclosureSEC source: 0000899243-19-001964 · 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: 2,614,341 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) 4,379 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 287 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 $7.9521 on January 24, 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) 2,456,605 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 160,736 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 |
| January 23, 2019 Filed Jan 25, 2019 22:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 9,533 | $7.95 | $75,796.88 |
DisclosureSEC source: 0000899243-19-001964 · 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: 2,619,007 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) 8,947 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 586 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 $7.951 on January 23, 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) 2,457,984 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 161,023 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 |
| January 22, 2019 Filed Jan 22, 2019 22:33 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 6,525 | $7.96 | $51,908.33 |
DisclosureSEC source: 0000899243-19-001645 · 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: 2,628,540 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) 6,124 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 401 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 $7.9553 on January 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) 2,466,931 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 161,609 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 |
| January 18, 2019 Filed Jan 22, 2019 22:33 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 4,950 | $7.95 | $39,359.93 |
DisclosureSEC source: 0000899243-19-001645 · 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: 2,635,065 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) 4,646 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 304 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 $7.9515 on January 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) 2,473,055 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 162,010 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 |
| January 17, 2019 Filed Jan 22, 2019 22:33 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,950 | $7.95 | $23,452.50 |
DisclosureSEC source: 0000899243-19-001645 · 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: 2,640,015 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) 2,769 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 181 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 $7.95 on January 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) 2,477,701 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 162,314 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 |
| January 16, 2019 Filed Jan 16, 2019 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 3,750 | $7.96 | $29,853.00 |
DisclosureSEC source: 0000899243-19-001304 · 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: 2,642,965 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) 3,519 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 231 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 $7.9608 on January 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) 2,480,470 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 162,495 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 |
| January 15, 2019 Filed Jan 16, 2019 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,325 | $7.95 | $10,534.28 |
DisclosureSEC source: 0000899243-19-001304 · 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: 2,646,715 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) 1,243 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 82 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 $7.9504 on January 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) 2,483,989 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 162,726 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 |
| January 14, 2019 Filed Jan 16, 2019 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 200 | $7.95 | $1,590.00 |
DisclosureSEC source: 0000899243-19-001304 · 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: 2,648,040 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) 188 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 12 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 $7.95 on January 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) 2,485,232 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 162,808 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 |
| January 11, 2019 Filed Jan 11, 2019 22:19 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,100 | $7.95 | $16,698.15 |
DisclosureSEC source: 0000899243-19-001050 · 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: 2,648,240 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) 1,971 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 129 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 $7.9515 on January 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) 2,485,420 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 162,820 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 |
| January 10, 2019 Filed Jan 11, 2019 22:19 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 3,700 | $7.96 | $29,436.83 |
DisclosureSEC source: 0000899243-19-001050 · 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: 2,650,340 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) 3,472 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 228 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 $7.9559 on January 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) 2,487,391 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 162,949 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 |
| January 09, 2019 Filed Jan 11, 2019 22:19 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,300 | $7.95 | $10,336.04 |
DisclosureSEC source: 0000899243-19-001050 · 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: 2,654,040 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) 1,220 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 80 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 $7.9508 on January 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) 2,490,863 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 163,177 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 |
| January 08, 2019 Filed Jan 9, 2019 01:21 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,450 | $7.95 | $11,528.52 |
DisclosureSEC source: 0000899243-19-000802 · 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: 2,655,340 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) 1,361 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 89 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 $7.9507 on January 8, 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) 2,492,083 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 163,257 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 |
| January 07, 2019 Filed Jan 9, 2019 01:21 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,690 | $7.96 | $13,445.47 |
DisclosureSEC source: 0000899243-19-000802 · 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: 2,656,790 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) 1,586 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 104 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 $7.9559 on January 7, 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) 2,493,444 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 163,346 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 |
| January 04, 2019 Filed Jan 9, 2019 01:21 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 40,750 | $7.90 | $321,973.90 |
DisclosureSEC source: 0000899243-19-000802 · 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: 2,658,480 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) 38,245 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 2,505 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 $7.9012 on January 4, 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) 2,495,030 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 163,450 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 |
| January 03, 2019 Filed Jan 4, 2019 21:20 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 475 | $7.98 | $3,790.50 |
DisclosureSEC source: 0000899243-19-000532 · 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: 2,699,230 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) 446 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 29 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 $7.980 on January 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) 2,533,275 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 165,955 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 |
| January 02, 2019 Filed Jan 4, 2019 21:20 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 750 | $8.00 | $6,000.00 |
DisclosureSEC source: 0000899243-19-000532 · 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: 2,699,705 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) 704 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 46 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 $8.00 on January 2, 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) 2,533,721 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 165,984 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 |
| December 31, 2018 Filed Jan 2, 2019 20:03 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 250 | $8.00 | $2,000.00 |
DisclosureSEC source: 0000899243-19-000098 · 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: 2,700,455 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) 235 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 15 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 $8.00 on December 31, 2018. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,534,425 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 166,030 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 |
| December 28, 2018 Filed Jan 2, 2019 20:03 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,375 | $8.01 | $11,009.08 |
DisclosureSEC source: 0000899243-19-000098 · 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: 2,700,705 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) 1,290 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 85 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 $8.0066 on December 28, 2018. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,534,660 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 166,045 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 |
| December 13, 2018 Filed Dec 17, 2018 20:53 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 862 | $8.16 | $7,034.18 |
DisclosureSEC source: 0000899243-18-031196 · 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: 2,702,080 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) 809 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 49 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iii) 4 shares of Common Stock sold by Mast Select Opportunities, 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 $8.1603 on September 13, 2018 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,535,950 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 154,043 shares held by Mast Admiral Master Fund, L.P. and (iii) 12,087 shares held by Mast Select Opportunities, 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 |
| December 11, 2018 Filed Dec 13, 2018 00:11 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,000 | $8.19 | $16,381.80 |
DisclosureSEC source: 0000899243-18-030744 · 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: 2,704,774 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) 1,876 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 114 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iii) 10 shares of Common Stock sold by Mast Select Opportunities, 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 $8.1909 on September 12, 2018. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,536,759 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 154,092 shares held by Mast Admiral Master Fund, L.P. and (iii) 13,923 shares held by Mast Select Opportunities, 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 |
| December 11, 2018 Filed Dec 13, 2018 00:11 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 300 | $8.15 | $2,445.00 |
DisclosureSEC source: 0000899243-18-030744 · 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: 2,706,774 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) 281 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 17 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iii) 2 shares of Common Stock sold by Mast Select Opportunities, 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 $8.15 on September 11, 2018. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,538,635 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 154,206 shares held by Mast Admiral Master Fund, L.P. and (iii) 13,933 shares held by Mast Select Opportunities, 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 |
| December 10, 2018 Filed Dec 13, 2018 00:11 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,800 | $8.15 | $22,830.92 |
DisclosureSEC source: 0000899243-18-030744 · 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: 2,707,074 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) 2,626 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 160 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iii) 10 shares of Common Stock sold by Mast Select Opportunities, 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 $8.1539 on September 10, 2018. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,538,916 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 154,223 shares held by Mast Admiral Master Fund, L.P. and (iii) 13,935 shares held by Mast Select Opportunities, 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 |
| December 07, 2018 Filed Dec 10, 2018 22:10 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,000 | $8.25 | $16,491.00 |
DisclosureSEC source: 0000899243-18-030559 · 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: 2,709,874 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) 1,876 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 114 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iii) 10 shares of Common Stock sold by Mast Select Opportunities, 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 a price of $8.2455, inclusive, on December 7, 2018. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,541,542 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 154,383 shares held by Mast Admiral Master Fund, L.P. and (iii) 13,949 shares held by Mast Select Opportunities, 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 |
| October 22, 2018 Filed Oct 24, 2018 22:58 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,276,279 | $7.55 | $17,185,906.45 |
DisclosureSEC source: 0000899243-18-027403 · 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: 2,711,874 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) 0 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 2,276,279 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited, (iii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iv) 0 shares of Common Stock sold by Mast Select Opportunities, 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 a price of $7.55, inclusive, on October 22, 2018 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,543,418 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 0 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 154,497 shares held by Mast Admiral Master Fund, L.P. and (iv) 13,959 shares held by Mast Select Opportunities, 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 |
| September 12, 2018 Filed Sep 14, 2018 19:50 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 45,448 | $9.68 | $439,813.93 |
DisclosureSEC source: 0000899243-18-024517 · 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: 4,988,153 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) 23,174 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 20,739 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited, (iii) 1,408 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iv) 127 shares of Common Stock sold by Mast Select Opportunities, 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 $9.50 to $910.035, inclusive, on September 12, 2018 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,543,418 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,276,279 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 154,497 shares held by Mast Admiral Master Fund, L.P. and (iv) 13,959 shares held by Mast Select Opportunities, 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 27, 2018 Filed Apr 27, 2018 20:57 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,000 | $9.24 | $18,471.60 |
DisclosureSEC source: 0000899243-18-010885 · 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: 5,033,601 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 1,020 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P., (ii) 912 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited, (iii) 62 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iv) 6 shares of Common Stock sold by Mast Select Opportunities, 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 $9.22 to $9.25, inclusive, on April 27, 2018. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,566,592 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,297,018 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 155,905 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,086 shares held by Mast Select Opportunities, 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 26, 2018 Filed Apr 27, 2018 20:57 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,500 | $9.27 | $23,169.00 |
DisclosureSEC source: 0000899243-18-010885 · 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: 5,035,601 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 1,275 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 1,141 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited, (iii) 77 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iv) 7 shares of Common Stock sold by Mast Select Opportunities, 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 $9.24 to $9.27, inclusive, on April 26, 2018. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,567,612 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,297,930 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 155,967 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,092 shares held by Mast Select Opportunities, 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, 2018 Filed Apr 27, 2018 20:57 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,000 | $9.23 | $18,461.80 |
DisclosureSEC source: 0000899243-18-010885 · 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: 5,038,101 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) 1,020 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 912 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited, (iii) 62 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iv) 6 shares of Common Stock sold by Mast Select Opportunities, 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 $9.20 to $9.24, inclusive, on April 25, 2018 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,568,887 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,299,071 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,044 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,099 shares held by Mast Select Opportunities, 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, 2018 Filed Apr 20, 2018 19:54 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,900 | $9.20 | $17,476.01 |
DisclosureSEC source: 0000899243-18-010487 · 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: 5,040,101 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) 969 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 867 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited, (iii) 59 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iv) 5 shares of Common Stock sold by Mast Select Opportunities, 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 $9.18 to $9.22, inclusive, on April 18, 2018 F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,569,907 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,299,983 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,106 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,105 shares held by Mast Select Opportunities, 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.