Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Great Elm Capital Corp.GECC · Entity 6877 | CEO and President | November 07, 2025 | November 10, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Great Elm Capital Corp.
Report date November 07, 2025 · Filed November 10, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 142,400 |
Reported balance
After 2025-11-07 transaction · row 1
1 source rowRow 1 · 2025-11-07 · Purchase · Acquired 19,650 · Balance 142,400 F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.55 to $7.74, inclusive. The Reporting Person undertakes to provide to Great Elm Capital Corp. ("GECC"), any security holder of GECC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in each transaction at each separate price within the ranges set forth herein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.55 to $7.74, inclusive. The Reporting Person undertakes to provide to Great Elm Capital Corp. ("GECC"), any security holder of GECC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in each transaction at each separate price within the ranges set forth herein.
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 |
|---|---|---|---|---|---|---|
| November 07, 2025 Filed Nov 10, 2025 21:13 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 19,650 | $7.64 | $150,126.00 |
DisclosureSEC source: 0000950103-25-014514 · dp237151_4-kaplan.xml · nonDerivative · entry 1 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 142,400 F1 · shares: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.55 to $7.74, inclusive. The Reporting Person undertakes to provide to Great Elm Capital Corp. ("GECC"), any security holder of GECC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in each transaction at each separate price within the ranges set forth herein. Read SEC document |
| September 23, 2025 Filed Sep 24, 2025 01:52 UTC | Great Elm Capital Corp. GECC · Entity 6877 | Tax withholdingCommon Stock | 8,211 | $11.43 | $93,851.73 |
DisclosureSEC source: 0000950103-25-012102 · dp234797_4-kaplangecc.xml · nonDerivative · entry 3 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 122,750 F3 · kind: Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3. Read SEC document |
| September 19, 2025 Filed Sep 24, 2025 01:52 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 1,055 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-25-012102 · dp234797_4-kaplangecc.xml · nonDerivative · entry 2 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 130,961 F2 · kind: Represents the exempt acquisition of shares of common stock of GECC as a result of a stock dividend associated with the portion of the equity compensation awarded to Mr. Kaplan in previous years that vested on the anniversary of those grant dates. Read SEC document |
| September 19, 2025 Filed Sep 24, 2025 01:52 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 37,117 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-25-012102 · dp234797_4-kaplangecc.xml · nonDerivative · entry 1 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 129,906 F1 · kind: Mr. Kaplan is the President and Chief Executive Officer of Great Elm Capital Corp. ("GECC"). Mr. Kaplan received an award of 37,117 shares of common stock of GECC as equity compensation for his position at GECC, 9,280 of which vested on the grant date, September 19, 2025, and the remainder of which will vest in equal annual installments on September 20th of each year until September 20, 2028, subject to continued service with GECC. Read SEC document |
| September 20, 2024 Filed Sep 25, 2024 01:51 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 42,121 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-041811 · form4.xml · nonDerivative · entry 1 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,789 F1 · kind: Mr. Kaplan is the President and Chief Executive Officer of Great Elm Capital Corp. ("GECC"). Mr. Kaplan received an award of 42,121 shares of common stock of GECC as equity compensation for his position at GECC, 10,530 of which vested on the grant date, September 20, 2024, and the remainder of which will vest in equal annual installments on each anniversary of the grant date until September 20, 2027, subject to continued service with GECC. Read SEC document |
| October 10, 2023 Filed Oct 11, 2023 23:14 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 38,668 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-047903 · form4.xml · nonDerivative · entry 1 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,668 F1 · kind: Mr. Kaplan is a Managing Director of Imperial Capital Asset Management, LLC ("ICAM"). Mr. Kaplan received an award of 38,668 fully vested shares of Great Elm Capital Corp.'s common stock, par value $0.01 per share, as equity compensation for his position at ICAM. Read SEC document |
| March 10, 2023 Filed Mar 15, 2023 00:51 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 1,100 | $9.29 | $10,219.00 |
DisclosureSEC source: 0001140361-23-011675 · form4.xml · nonDerivative · entry 1 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 F1 · shares: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.25 to $9.41, inclusive. The Reporting Person undertakes to provide to Great Elm Capital Corp. ("GECC"), any security holder of GECC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in each transaction at each separate price within the ranges set forth herein. Read SEC document |
| March 09, 2023 Filed Mar 10, 2023 02:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 1,679 | $9.41 | $15,799.39 |
DisclosureSEC source: 0001140361-23-010985 · form4.xml · nonDerivative · entry 3 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,900 F3 · shares: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.30 to $9.48, inclusive. The Reporting Person undertakes to provide to GECC, any security holder of GECC, or the staff of the SEC, upon request, full information regarding the number of shares purchased in each transaction at each separate price within the ranges set forth herein. Read SEC document |
| March 08, 2023 Filed Mar 10, 2023 02:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 2,201 | $9.46 | $20,821.46 |
DisclosureSEC source: 0001140361-23-010985 · form4.xml · nonDerivative · entry 2 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,221 F2 · shares: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.35 to $9.50, inclusive. The Reporting Person undertakes to provide to GECC, any security holder of GECC, or the staff of the SEC, upon request, full information regarding the number of shares purchased in each transaction at each separate price within the ranges set forth herein. Read SEC document |
| March 07, 2023 Filed Mar 10, 2023 02:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 5,020 | $9.13 | $45,832.60 |
DisclosureSEC source: 0001140361-23-010985 · form4.xml · nonDerivative · entry 1 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,020 F1 · shares: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.11 to $9.15, inclusive. The Reporting Person undertakes to provide to Great Elm Capital Corp. ("GECC"), any security holder of GECC, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased in each transaction at each separate price within the ranges set forth herein. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 20:59 UTC | Great Elm Capital Corp. GECC · Entity 6877 | Exercise / conversionSubscription Rights · Derivative | 1,000 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0001140361-22-023498 · form4.xml · derivative · entry 2 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,000 shares Expires 2022-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 20:59 UTC | Great Elm Capital Corp. GECC · Entity 6877 | Exercise / conversionCommon Stock | 1,000 | $12.50 | $12,500.00 |
DisclosureSEC source: 0001140361-22-023498 · form4.xml · nonDerivative · entry 1 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: On June 15, 2022, the Reporting Person exercised in full his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the May 23, 2022 record date for the rights offering. Read SEC document |
| March 08, 2022 Filed Mar 11, 2022 02:22 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 1,000 | $14.00 | $14,000.00 |
DisclosureSEC source: 0001140361-22-008984 · form4.xml · nonDerivative · entry 1 Kaplan Matthew D · CIK 0001916576 · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 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.