Reported 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 Mast Capital Management, LLC
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 Mast Capital Management, LLC
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 |
|---|---|---|---|---|---|---|
| April 17, 2018 Filed Apr 17, 2018 21:05 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,000 | $9.17 | $9,172.40 |
DisclosureSEC source: 0000899243-18-010282 · 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: 5,042,001 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) 510 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 456 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited, (iii) 31 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iv) 3 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 $9.18 to $9.23, inclusive, on April 17, 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) 2,570,876 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,300,850 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,165 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,110 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 13, 2018 Filed Apr 17, 2018 21:05 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 500 | $9.25 | $4,625.00 |
DisclosureSEC source: 0000899243-18-010282 · 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: 5,043,001 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) 255 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 228 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited, (iii) 15 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iv) 2 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 $9.22 to $9.24, inclusive, on April 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) 2,571,386 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,301,306 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,196 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,113 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 11, 2018 Filed Apr 11, 2018 21:39 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,600 | $9.21 | $23,941.06 |
DisclosureSEC source: 0000899243-18-010006 · 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: 5,043,501 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 1,329 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P., (ii) 1,190 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited; and (iii) 81 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.20 to $9.235, inclusive, on April 11, 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) 2,571,641 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,301,534 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,211 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 10, 2018 Filed Apr 11, 2018 21:39 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 4,656 | $9.17 | $42,706.69 |
DisclosureSEC source: 0000899243-18-010006 · 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: 5,046,101 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i)2,457 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 2,199 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.11 to $9.19, inclusive, on April 10, 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) 2,572,970 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,302,724 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 09, 2018 Filed Apr 11, 2018 21:39 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,000 | $9.25 | $9,250.00 |
DisclosureSEC source: 0000899243-18-010006 · 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: 5,050,757 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) 527 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 473 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.25 to $9.25, inclusive, on April 09, 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) 2,575,427 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,304,923 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 06, 2018 Filed Apr 6, 2018 21:31 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 902 | $9.24 | $8,337.91 |
DisclosureSEC source: 0000899243-18-009671 · 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: 5,051,757 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 476 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 426 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.18 to $9.36, inclusive, on April 06, 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) 2,575,954 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,305,396 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 05, 2018 Filed Apr 6, 2018 21:31 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 864 | $9.35 | $8,079.26 |
DisclosureSEC source: 0000899243-18-009671 · 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: 5,052,659 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 456 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 408 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.14 to $9.405, inclusive, on April 05, 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) 2,576,430 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,305,822 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 04, 2018 Filed Apr 6, 2018 21:31 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 940 | $9.40 | $8,832.62 |
DisclosureSEC source: 0000899243-18-009671 · 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: 5,053,523 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) 496 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 444 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.32 to $9.45, inclusive, on April 04, 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) 2,576,886 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,306,230 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 03, 2018 Filed Apr 3, 2018 21:36 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 180 | $9.35 | $1,682.50 |
DisclosureSEC source: 0000899243-18-009293 · 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: 5,054,463 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 95 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 85 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.30 to $9.38, inclusive, on April 03, 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) 2,577,382 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,306,674 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 02, 2018 Filed Apr 3, 2018 21:36 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 900 | $9.24 | $8,313.12 |
DisclosureSEC source: 0000899243-18-009293 · 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: 5,054,643 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 474 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 426 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.11 to $9.40, inclusive, on April 02, 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) 2,577,477 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,306,759 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 |
| March 29, 2018 Filed Apr 3, 2018 21:36 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 698 | $9.34 | $6,522.25 |
DisclosureSEC source: 0000899243-18-009293 · 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: 5,055,543 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) 368 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 330 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.28 to $9.35, inclusive, on March 29, 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) 2,577,951 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,307,185 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 |
| March 28, 2018 Filed Mar 28, 2018 22:22 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 17,006 | $9.22 | $156,754.51 |
DisclosureSEC source: 0000899243-18-008746 · 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: 5,056,241 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 8,974 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 8,032 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.20 to $9.23, inclusive, on March 28, 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) 2,578,319 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,307,515 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 |
| March 27, 2018 Filed Mar 28, 2018 22:22 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,100 | $9.19 | $10,105.04 |
DisclosureSEC source: 0000899243-18-008746 · 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: 5,073,247 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 580 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 520 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.11 to $9.30, inclusive, on March 27, 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) 2,587,293 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,315,547 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 |
| March 26, 2018 Filed Mar 28, 2018 22:22 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 500 | $9.17 | $4,584.00 |
DisclosureSEC source: 0000899243-18-008746 · 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: 5,074,347 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) 264 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 236 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.16 to $9.17, inclusive, on March 26, 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) 2,587,873 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,316,067 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 |
| March 23, 2018 Filed Mar 23, 2018 21:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 500 | $9.22 | $4,611.00 |
DisclosureSEC source: 0000899243-18-008442 · 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: 5,074,847 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 264 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 236 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.11 to $9.27, inclusive, on March 23, 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) 2,588,137 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,316,303 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 |
| March 22, 2018 Filed Mar 23, 2018 21:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,700 | $8.98 | $24,240.60 |
DisclosureSEC source: 0000899243-18-008442 · 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: 5,075,347 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 1,424 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 1,276 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.90 to $9.14, inclusive, on March 22, 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) 2,588,401 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,316,539 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 |
| March 21, 2018 Filed Mar 23, 2018 21:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 3,945 | $9.18 | $36,229.70 |
DisclosureSEC source: 0000899243-18-008442 · 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: 5,078,047 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) 2,081 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 1,864 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.05 to $9.32, inclusive, on March 21, 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) 2,589,825 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,317,815 shares held by Mast Credit Opportunities I Master Fund Limited; (iii) 156,292 shares held by Mast Admiral Master Fund, L.P. and (iv) 14,115 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 |
| November 01, 2017 Filed Nov 3, 2017 21:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 200 | $10.13 | $2,025.00 |
DisclosureSEC source: 0000899243-17-025389 · 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: 5,081,992 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) 106 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 94 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions, at prices ranging from $10.07 to $10.18, inclusive, on November 1, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,606,021 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,319,679 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 30, 2017 Filed Oct 31, 2017 22:54 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 200 | $10.10 | $2,020.00 |
DisclosureSEC source: 0000899243-17-025036 · 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: 5,082,192 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 106 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 94 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.00 to $10.20, inclusive, on October 30, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,606,127 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,319,773 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 27, 2017 Filed Oct 31, 2017 22:54 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 201 | $10.28 | $2,066.22 |
DisclosureSEC source: 0000899243-17-025036 · 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: 5,082,392 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) 106 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 95 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions, at prices ranging from $10.21 to $10.29, inclusive, on October 27, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,606,233 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,319,867 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 26, 2017 Filed Oct 26, 2017 21:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 200 | $10.22 | $2,043.00 |
DisclosureSEC source: 0000899243-17-024766 · 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: 5,082,593 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 106 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 94 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.20 to $10.23, inclusive, on October 26, 2017. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,606,339 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,319,962 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 25, 2017 Filed Oct 26, 2017 21:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 200 | $10.24 | $2,048.00 |
DisclosureSEC source: 0000899243-17-024766 · 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: 5,082,793 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 106 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 94 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.20 to $10.28, inclusive, on October 25, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,606,445 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,320,056 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 24, 2017 Filed Oct 26, 2017 21:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 200 | $10.24 | $2,048.00 |
DisclosureSEC source: 0000899243-17-024766 · 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: 5,082,993 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) 106 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 94 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions, all at price of $10.24, on October 24, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,606,551 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,320,150 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 20, 2017 Filed Oct 23, 2017 14:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 1,569 | $10.25 | $16,088.84 |
DisclosureSEC source: 0000899243-17-024545 · 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: 5,083,193 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) 830 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 739 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.20 to $10.26, inclusive, on October 20, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,606,657 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,320,244 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 19, 2017 Filed Oct 19, 2017 21:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,500 | $10.17 | $25,428.50 |
DisclosureSEC source: 0000899243-17-024510 · 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: 5,084,762 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 1,323 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 1,177 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.10 to $10.26, inclusive, on October 19, 2017. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,607,487 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,320,983 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 18, 2017 Filed Oct 19, 2017 21:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 16,702 | $10.14 | $169,383.33 |
DisclosureSEC source: 0000899243-17-024510 · 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: 5,087,262 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 8,836 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 7,866 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.10 to $10.25, inclusive, on October 18, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,608,810 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,322,160 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 17, 2017 Filed Oct 19, 2017 21:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 29,954 | $10.09 | $302,247.84 |
DisclosureSEC source: 0000899243-17-024510 · 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: 5,103,964 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) 15,848 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 14,106 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.07 to $10.17, inclusive, on October 17, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,617,646 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,330,026 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 16, 2017 Filed Oct 16, 2017 20:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 8,738 | $10.16 | $88,737.89 |
DisclosureSEC source: 0000899243-17-024240 · 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: 5,133,918 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 4,623 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 4,115 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.15 to $10.21, inclusive, on October 16, 2017. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,633,494 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,344,132 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 13, 2017 Filed Oct 16, 2017 20:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 28,506 | $10.10 | $288,047.43 |
DisclosureSEC source: 0000899243-17-024240 · 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: 5,142,656 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 15,082 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 13,424 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.10 to $10.145, inclusive, on October 13, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,638,117 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,348,247 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 12, 2017 Filed Oct 16, 2017 20:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 13,300 | $10.12 | $134,549.45 |
DisclosureSEC source: 0000899243-17-024240 · 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: 51,711,623 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) 7,037 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 6,263 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.10 to $10.18, inclusive, on October 12, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,653,199 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,361,671 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 11, 2017 Filed Oct 11, 2017 21:29 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 6,192 | $10.15 | $62,871.71 |
DisclosureSEC source: 0000899243-17-024044 · 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: 5,184,462 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 3,276 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 2,916 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.10 to $10.26, inclusive, on October 11, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,660,236 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,367,934 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 10, 2017 Filed Oct 11, 2017 21:29 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 5,700 | $10.15 | $57,868.11 |
DisclosureSEC source: 0000899243-17-024044 · 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: 5,190,654 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 3,016 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 2,684 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.10 to $10.20, inclusive, on October 10, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,663,512 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,370,850 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 09, 2017 Filed Oct 10, 2017 12:08 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 2,500 | $10.21 | $25,524.75 |
DisclosureSEC source: 0000899243-17-023812 · 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: 5,196,354 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 1,323 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 1,177 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.18 to $10.24, inclusive, on October 9, 2017. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,666,528 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,373,534 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 06, 2017 Filed Oct 10, 2017 12:08 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 13,445 | $10.32 | $138,686.52 |
DisclosureSEC source: 0000899243-17-023812 · 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: 5,198,854 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 7,113 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 6,332 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.31 to $10.345, inclusive, on October 6, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,667,851 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,374,711 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 05, 2017 Filed Oct 10, 2017 12:08 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 13,722 | $10.33 | $141,808.64 |
DisclosureSEC source: 0000899243-17-023812 · 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: 5,212,299 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) 7,260 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 6,462 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.32 to $10.35, inclusive, on October 5, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,674,964 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,381,043 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 04, 2017 Filed Oct 4, 2017 22:33 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 4,340 | $10.36 | $44,974.99 |
DisclosureSEC source: 0000899243-17-023586 · 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: 5,226,021 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 2,296 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 2,044 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.35 to $10.405, inclusive, on October 4, 2017. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,682,224 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,387,505 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 03, 2017 Filed Oct 4, 2017 22:33 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 7,242 | $10.40 | $75,342.87 |
DisclosureSEC source: 0000899243-17-023586 · 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: 5,230,361 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 3,831 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 3,411 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.45, inclusive, on October 3, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,684,520 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,389,549 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| October 02, 2017 Filed Oct 4, 2017 22:33 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 7,023 | $10.43 | $73,271.66 |
DisclosureSEC source: 0000899243-17-023586 · 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: 5,237,603 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 3,716 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 3,307 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.43 to $10.47, inclusive, on October 2, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,688,351 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,392,960 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| September 29, 2017 Filed Sep 29, 2017 21:47 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 15,000 | $10.47 | $157,036.50 |
DisclosureSEC source: 0000899243-17-022978 · 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: 5,244,626 F9 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 7,936 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 7,064 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.45 to $10.50, inclusive, on September 29, 2017. F11 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,692,067 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,396,267 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| September 28, 2017 Filed Sep 29, 2017 21:47 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 54,504 | $10.45 | $569,643.11 |
DisclosureSEC source: 0000899243-17-022978 · 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: 5,259,626 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 28,836 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 25,668 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.45 to $10.465, inclusive, on September 28, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,700,003 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,403,331 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| September 27, 2017 Filed Sep 29, 2017 21:47 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 13,276 | $10.55 | $140,117.56 |
DisclosureSEC source: 0000899243-17-022978 · 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: 5,314,130 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) 7,024 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 6,252 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.54 to $10.57, inclusive, on September 27, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,728,839 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,428,999 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| September 26, 2017 Filed Sep 27, 2017 16:30 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 6,432 | $10.55 | $67,883.97 |
DisclosureSEC source: 0000899243-17-022623 · 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: 5,327,406 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 3,403 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 3,029 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.55 to $10.60, inclusive, on September 26, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,735,863 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,435,251 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| September 25, 2017 Filed Sep 27, 2017 16:30 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 10,791 | $10.60 | $114,384.60 |
DisclosureSEC source: 0000899243-17-022623 · 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: 5,333,838 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) 5,709 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 5,082 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions all at a price of $10.60 on September 25, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,739,266 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,438,280 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| September 21, 2017 Filed Sep 22, 2017 12:51 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 42,348 | $10.62 | $449,689.18 |
DisclosureSEC source: 0000899243-17-022427 · 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: 5,344,629 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 22,405 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 19,943 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.50 to $10.67, inclusive, on September 21, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,744,975 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,443,362 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| September 20, 2017 Filed Sep 22, 2017 12:51 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 17,328 | $10.73 | $185,941.57 |
DisclosureSEC source: 0000899243-17-022427 · 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: 5,386,977 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 9,168 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; and (ii) 8,160 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.72 to $10.77, inclusive, on September 20, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,767,380 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,463,305 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| September 19, 2017 Filed Oct 4, 2017 14:42 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 11,216 | $10.66 | $119,574.90 |
DisclosureSEC source: 0000899243-17-023450 · 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: 5,404,305 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 5,762 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; (ii) 5,130 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited; and (iii) 324 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.66 to $10.68, inclusive, on September 19, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,776,548 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,471,465 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,292 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 |
| September 18, 2017 Filed Oct 4, 2017 14:42 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 25,000 | $10.75 | $268,850.00 |
DisclosureSEC source: 0000899243-17-023450 · 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: 5,415,521 F1 · shares: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 12,844 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; (ii) 11,433 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited; and (iii) 723 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.75 to $10.84, inclusive, on September 18, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,782,310 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,476,595 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 156,616 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 |
| September 15, 2017 Filed Sep 18, 2017 13:49 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 12,461 | $10.77 | $134,259.80 |
DisclosureSEC source: 0000899243-17-022187 · 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: 5,440,521 F6 · shares: Represents shares of Common Stock sold by the following Mast Accounts: (i) 6,402 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; (ii) 5,699 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited; and (iii) 360 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.75 to $10.90, inclusive, on September 15, 2017. F8 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,795,154 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,488,028 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 157,339 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 |
| September 14, 2017 Filed Sep 18, 2017 13:49 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 300 | $10.86 | $3,258.51 |
DisclosureSEC source: 0000899243-17-022187 · 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: 5,452,982 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) 154 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; (ii) 137 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited; and (iii) 9 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.85 to $10.885, inclusive, on September 14, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,801,556 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,493,727 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 157,699 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 |
| September 08, 2017 Filed Sep 12, 2017 19:00 UTC | Great Elm Capital Corp. GECC · Entity 6877 | SaleCommon Stock | 600 | $10.93 | $6,559.50 |
DisclosureSEC source: 0000899243-17-021887 · 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: 5,453,282 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) 308 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P.; (ii) 275 shares of Common Stock sold by Mast Credit Opportunities I Master Fund Limited; and (iii) 17 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.835 to $10.96, inclusive, on September 8, 2017. F3 · balance_after: Represents shares of Common Stock held directly by the MAST Accounts, for which MAST Capital is the investment manager, including: (i) 2,801,710 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 2,493,864 shares held by Mast Credit Opportunities I Master Fund Limited; and (iii) 157,708 shares held by Mast Admiral Master Fund, L.P. F4 · ownership.nature: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.