Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forest Investments, Inc.GEC · Entity 144097 | President and COO | August 06, 2019 | August 07, 2019 |
| Great Elm Capital Corp.GECC · Entity 6877 | CCO and Secretary | September 21, 2026 | September 23, 2026 |
| Great Elm Group, Inc.GEG · Entity 7060 | President | September 21, 2026 | September 23, 2026 |
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.
Forest Investments, Inc.
Report date August 06, 2019 · Filed August 07, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 338,562 |
Reported balance
After 2019-08-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-08-06 · Grant · Acquired 25,381 · Balance 338,562 F1: Includes 246,304 shares of unvested restricted stock. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.52 · Expires 2024-08-06 | Direct | 57,143 |
Reported balance
After 2019-08-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-08-06 · Grant · Acquired 57,143 · Balance 57,143 F2: The Reporting Person was awarded stock options, 14,286 of which vest on August 6, 2020, and the remainder of which vests in equal monthly installments thereafter until August 6, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 246,304 shares of unvested restricted stock.
F2: The Reporting Person was awarded stock options, 14,286 of which vest on August 6, 2020, and the remainder of which vests in equal monthly installments thereafter until August 6, 2023.
Great Elm Capital Corp.
Report date September 21, 2026 · Filed September 23, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 57,229 |
Ending reported balance
After 2026-09-21 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2026-09-21 · Grant · Acquired 15,292 · Balance 59,889 F1: Mr. Kleinman is the Chief Compliance Officer and Secretary of Great Elm Capital Corp. ("GECC"). Mr. Kleinman received the exempt grant of an award of 15,292 shares of common stock of GECC as equity compensation for his position at GECC, 3,823 of which vested on the grant date, September 21, 2026, and the remainder of which will vest in equal annual installments on September 20th of each year until September 20, 2029, subject to continued service with GECM. Row 2 · 2026-09-21 · Grant · Acquired 791 · Balance 60,680 F2: 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. Kleinman in previous years that vested on the anniversary of those grant dates. Row 3 · 2026-09-21 · Tax withholding · Disposed 3,451 · Balance 57,229 F3: Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Kleinman is the Chief Compliance Officer and Secretary of Great Elm Capital Corp. ("GECC"). Mr. Kleinman received the exempt grant of an award of 15,292 shares of common stock of GECC as equity compensation for his position at GECC, 3,823 of which vested on the grant date, September 21, 2026, and the remainder of which will vest in equal annual installments on September 20th of each year until September 20, 2029, subject to continued service with GECM.
F2: 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. Kleinman in previous years that vested on the anniversary of those grant dates.
F3: Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3.
Great Elm Group, Inc.
Report date September 21, 2026 · Filed September 23, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 608,131 |
Ending reported balance
After 2026-09-21 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-09-21 · Grant · Acquired 40,104 · Balance 625,498 F1: Mr. Kleinman was awarded 40,104 shares of restricted stock, one-quarter of which vested on the grant date, September 21, 2026, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2029, contingent on continued employment by Great Elm Group, Inc. Row 2 · 2026-09-21 · Tax withholding · Disposed 17,367 · Balance 608,131 F2: Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2031-09-20 | Direct | 40,000 |
Reported balance
After 2026-09-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-09-21 · Grant · Acquired 40,000 · Balance 40,000 F3: Mr. Kleinman was awarded options to purchase 40,000 shares of common stock of Great Elm Group, Inc., 50% of which vested on the grant date, September 21, 2026, and the remainder of which will vest on September 20, 2027, contingent on continued employment by Great Elm Group, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Kleinman was awarded 40,104 shares of restricted stock, one-quarter of which vested on the grant date, September 21, 2026, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2029, contingent on continued employment by Great Elm Group, Inc.
F2: Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3.
F3: Mr. Kleinman was awarded options to purchase 40,000 shares of common stock of Great Elm Group, Inc., 50% of which vested on the grant date, September 21, 2026, and the remainder of which will vest on September 20, 2027, contingent on continued employment by Great Elm Group, Inc.
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 |
|---|---|---|---|---|---|---|
| September 21, 2026 Filed Sep 23, 2026 20:27 UTC | Great Elm Capital Corp. GECC · Entity 6877 | Tax withholdingCommon Stock | 3,451 | $5.37 | $18,531.87 |
DisclosureSEC source: 0000950103-26-014391 · dp253785_4-kleinmangecc.xml · nonDerivative · entry 3 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 57,229 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 21, 2026 Filed Sep 23, 2026 20:27 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 791 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-26-014391 · dp253785_4-kleinmangecc.xml · nonDerivative · entry 2 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,680 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. Kleinman in previous years that vested on the anniversary of those grant dates. Read SEC document |
| September 21, 2026 Filed Sep 23, 2026 20:27 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 15,292 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-26-014391 · dp253785_4-kleinmangecc.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,889 F1 · kind: Mr. Kleinman is the Chief Compliance Officer and Secretary of Great Elm Capital Corp. ("GECC"). Mr. Kleinman received the exempt grant of an award of 15,292 shares of common stock of GECC as equity compensation for his position at GECC, 3,823 of which vested on the grant date, September 21, 2026, and the remainder of which will vest in equal annual installments on September 20th of each year until September 20, 2029, subject to continued service with GECM. Read SEC document |
| September 21, 2026 Filed Sep 23, 2026 20:26 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantStock Options (right to buy) · Derivative | 40,000 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0000950103-26-014389 · dp253784_4-kleinmangeg.xml · derivative · entry 3 Kleinman Adam M · CIK 0001715823 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-09-20 F3 · shares: Mr. Kleinman was awarded options to purchase 40,000 shares of common stock of Great Elm Group, Inc., 50% of which vested on the grant date, September 21, 2026, and the remainder of which will vest on September 20, 2027, contingent on continued employment by Great Elm Group, Inc. F3 · derivative.exercise_date: Mr. Kleinman was awarded options to purchase 40,000 shares of common stock of Great Elm Group, Inc., 50% of which vested on the grant date, September 21, 2026, and the remainder of which will vest on September 20, 2027, contingent on continued employment by Great Elm Group, Inc. Read SEC document |
| September 21, 2026 Filed Sep 23, 2026 20:26 UTC | Great Elm Group, Inc. GEG · Entity 7060 | Tax withholdingCommon Stock | 17,367 | $2.15 | $37,339.05 |
DisclosureSEC source: 0000950103-26-014389 · dp253784_4-kleinmangeg.xml · nonDerivative · entry 2 Kleinman Adam M · CIK 0001715823 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 608,131 F2 · shares: 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 21, 2026 Filed Sep 23, 2026 20:26 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 40,104 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-26-014389 · dp253784_4-kleinmangeg.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 625,498 F1 · shares: Mr. Kleinman was awarded 40,104 shares of restricted stock, one-quarter of which vested on the grant date, September 21, 2026, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2029, contingent on continued employment by Great Elm Group, Inc. Read SEC document |
| September 23, 2025 Filed Sep 24, 2025 01:52 UTC | Great Elm Group, Inc. GEG · Entity 7060 | Tax withholdingCommon Stock | 18,313 | $2.80 | $51,276.40 |
DisclosureSEC source: 0000950103-25-012103 · dp234800_4-kleinmangeg.xml · nonDerivative · entry 2 Kleinman Adam M · CIK 0001715823 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 585,394 F2 · shares: 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 23, 2025 Filed Sep 24, 2025 01:53 UTC | Great Elm Capital Corp. GECC · Entity 6877 | Tax withholdingCommon Stock | 1,361 | $11.43 | $15,556.23 |
DisclosureSEC source: 0000950103-25-012104 · dp234796_4-kleinmangecc.xml · nonDerivative · entry 3 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 44,597 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 Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 22,977 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-25-012103 · dp234800_4-kleinmangeg.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 603,707 F1 · shares: Mr. Kleinman was awarded 22,977 shares of restricted stock, one-quarter of which vested on the grant date, September 19, 2025, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2028, contingent on continued employment by Great Elm Group, Inc. Read SEC document |
| September 19, 2025 Filed Sep 24, 2025 01:53 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 156 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-25-012104 · dp234796_4-kleinmangecc.xml · nonDerivative · entry 2 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,958 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. Kleinman in previous years that vested on the anniversary of those grant dates. Read SEC document |
| September 19, 2025 Filed Sep 24, 2025 01:53 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 5,458 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-25-012104 · dp234796_4-kleinmangecc.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,802 F1 · kind: Mr. Kleinman is the Chief Compliance Officer and Secretary of Great Elm Capital Corp. ("GECC"). Mr. Kleinman received the exempt grant of an award of 5,458 shares of common stock of GECC as equity compensation for his position at GECC, 1,365 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 GECM. Read SEC document |
| September 24, 2024 Filed Sep 25, 2024 01:51 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 2,093 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-041812 · form4.xml · nonDerivative · entry 2 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,419 F2 · kind: Represents shares of common stock of GECC acquired as a result of a stock dividend associated with the portion of the equity compensation awarded to Mr. Kleinman in previous years that vested on the anniversary of those grant dates. F3 · ownership.direct: Includes 1,574 shares of common stock of GECC acquired as a result of stock dividends associated with portions of equity compensation awarded to Mr. Kleinman in previous years that vested on the anniversary of those grant dates. Read SEC document |
| September 24, 2024 Filed Sep 27, 2024 23:30 UTC Amendment | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 2,093 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-042241 · form4.xml · nonDerivative · entry 2 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,344 F3 · kind: Represents shares of common stock of GECC acquired as a result of a stock dividend associated with the portion of the equity compensation awarded to Mr. Kleinman in previous years that vested on the anniversary of those grant dates. Read SEC document |
| September 20, 2024 Filed Sep 25, 2024 01:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 32,552 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-041807 · form4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 580,730 F1 · ownership.direct: Mr. Kleinman was awarded 32,552 shares of restricted stock, one-quarter of which vested on the grant date, September 20, 2024, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2027, contingent on continued employment by Great Elm Group, Inc. Read SEC document |
| September 20, 2024 Filed Sep 25, 2024 01:51 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 6,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-041812 · form4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,326 F1 · kind: Mr. Kleinman is the Chief Compliance Officer and Secretary of Great Elm Capital Corp. ("GECC"). Mr. Kleinman received an award of 6,194 shares of common stock of GECC as equity compensation for his position at GECC, 1,548 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 GECM. Read SEC document |
| September 20, 2024 Filed Sep 27, 2024 23:30 UTC Amendment | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 6,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-042241 · form4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,251 F1 · kind: Mr. Kleinman is the Chief Compliance Officer and Secretary of Great Elm Capital Corp. ("GECC"). Mr. Kleinman received an award of 6,194 shares of common stock of GECC as equity compensation for his position at GECC, 1,548 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 GECM. F2 · balance_after: This amendment is being filed to correct the number of shares beneficially owned after the reported transactions. Read SEC document |
| September 25, 2023 Filed Sep 27, 2023 20:16 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 60,386 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-045524 · form4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 548,178 F1 · ownership.direct: Mr. Kleinman was awarded 60,386 shares of restricted stock, one-quarter of which vested on the grant date, September 25, 2023, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2026, contingent on continued employment by Great Elm Group, Inc. Read SEC document |
| September 20, 2022 Filed Sep 21, 2022 01:22 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-034142 · form4.xml · nonDerivative · entry 2 Kleinman Adam M · CIK 0001715823 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 487,792 F2 · ownership.direct: Mr. Kleinman was awarded 100,000 shares of restricted stock, which vest on September 20, 2024, contingent on continued employment by Great Elm Group, Inc. Read SEC document |
| September 20, 2022 Filed Sep 21, 2022 01:22 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 49,230 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-034142 · form4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 387,792 F1 · ownership.direct: Mr. Kleinman was awarded 49,230 shares of restricted stock, one-quarter of which vested on the grant date, September 20, 2022, and the remainder of which vest in equal annual installments on each anniversary of the grant date until September 20, 2025, contingent on continued employment by Great Elm Group, Inc. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 20:50 UTC | Great Elm Capital Corp. GECC · Entity 6877 | Exercise / conversionSubscription Rights · Derivative | 4,000 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0001140361-22-023492 · form4.xml · derivative · entry 2 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,000 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 20:50 UTC | Great Elm Capital Corp. GECC · Entity 6877 | Exercise / conversionCommon Stock | 4,000 | $12.50 | $50,000.00 |
DisclosureSEC source: 0001140361-22-023492 · form4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · CCO and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,558 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 certain of 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 |
| September 24, 2021 Filed Sep 28, 2021 23:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 79,411 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-032835 · form4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,907.4271 F1 · kind: Adam M. Kleinman is the President & Chief Operating Officer of Great Elm Group, Inc. ("GEG"). Mr. Kleinman received an award of 79,411 shares of common stock of Great Elm Capital Corp. that were owned by GEG, as compensation for his position at GEG. 19,853 of the shares vested on the grant date, September 24, 2021, and the remainder will vest in equal annual installments on each anniversary of the grant date until September 24, 2024, subject to continued service with GEG. Read SEC document |
| January 21, 2021 Filed Jan 26, 2021 21:46 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 1,794.9875 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-005385 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,496.4271 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:21 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 1,645.7961 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065075 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,701.4396 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 22:59 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 2,290.8928 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060301 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,055.6435 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:05 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 1,010.638 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055747 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,764.7507 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:27 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherSubscription Rights · Derivative | 36,042 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052688 · doc4.xml · derivative · entry 2 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 36,042 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:27 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 36,042 | $2.95 | $106,323.90 |
DisclosureSEC source: 0001209191-20-052688 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,754.1127 F1 · shares: On September 28, 2020, 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 September 4, 2020 record date for the rights offering. Read SEC document |
| September 21, 2020 Filed Sep 23, 2020 23:30 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 669.1203 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051717 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,712.1127 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 21, 2020 Filed Aug 26, 2020 00:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 640.4276 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-048302 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,042.9924 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 22:03 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 685.2978 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042945 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,402.5648 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 23:51 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 656.6113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037444 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,717.267 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| May 15, 2020 Filed May 19, 2020 21:40 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 841.6557 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030619 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,060.6557 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 23:48 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 7,500 | $7.90 | $59,250.00 |
DisclosureSEC source: 0000899243-19-027809 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,219 Read SEC document |
| August 30, 2019 Filed Sep 3, 2019 20:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 369 | $8.25 | $3,044.25 |
DisclosureSEC source: 0000899243-19-022668 · doc4.xml · nonDerivative · entry 2 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,719 Read SEC document |
| August 29, 2019 Filed Sep 3, 2019 20:28 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 350 | $8.17 | $2,859.50 |
DisclosureSEC source: 0000899243-19-022668 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,350 Read SEC document |
| August 06, 2019 Filed Aug 7, 2019 16:07 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantStock Option (Right to Buy) · Derivative | 57,143 | $0.00 Strike: $4.52 | $0.00 |
DisclosureSEC source: 0000899243-19-021246 · doc4.xml · derivative · entry 2 Kleinman Adam M · CIK 0001715823 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,143 Underlying: Common Stock · 57,143 shares Expires 2024-08-06 F2 · derivative.exercise_date: The Reporting Person was awarded stock options, 14,286 of which vest on August 6, 2020, and the remainder of which vests in equal monthly installments thereafter until August 6, 2023. Read SEC document |
| August 06, 2019 Filed Aug 7, 2019 16:07 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 25,381 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-021246 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,562 F1 · balance_after: Includes 246,304 shares of unvested restricted stock. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 20:37 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 10,000 | $8.50 | $85,000.00 |
DisclosureSEC source: 0000899243-19-015778 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Read SEC document |
| November 20, 2018 Filed Nov 21, 2018 21:20 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 6,000 | $8.05 | $48,300.00 |
DisclosureSEC source: 0000899243-18-029552 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| November 15, 2018 Filed Nov 20, 2018 00:57 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 9,000 | $8.06 | $72,540.00 |
DisclosureSEC source: 0000899243-18-029379 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.03 to $8.09, 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 sold at each separate price within this range. Read SEC document |
| May 25, 2018 Filed May 25, 2018 19:09 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 20,000 | $3.80 | $76,000.00 |
DisclosureSEC source: 0000899243-18-014172 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 313,181 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 16:05 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 10,000 | $3.75 | $37,500.00 |
DisclosureSEC source: 0000899243-17-027282 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 293,181 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 13, 2017 Filed Nov 15, 2017 16:54 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 20,000 | $3.65 | $73,000.00 |
DisclosureSEC source: 0000899243-17-026364 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 283,181 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 10, 2017 Filed Nov 13, 2017 17:04 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 20,000 | $3.65 | $73,000.00 |
DisclosureSEC source: 0000899243-17-026065 · doc4.xml · nonDerivative · entry 2 Kleinman Adam M · CIK 0001715823 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,181 F2 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 17:04 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 10,000 | $3.65 | $36,500.00 |
DisclosureSEC source: 0000899243-17-026065 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,181 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.65 to $3.70, inclusive. The reporting person undertakes to provide to Great Elm Capital Group, Inc., any security holder of Great Elm Capital Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) on this Form 4. F2 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| September 18, 2017 Filed Sep 25, 2017 15:06 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantOption (right to buy) · Derivative | 194,175 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0000899243-17-022517 · doc4.xml · derivative · entry 2 Kleinman Adam M · CIK 0001715823 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,175 Underlying: Common Stock · 194,175 shares Expires 2022-09-18 F2 · derivative.exercise_date: The Reporting Person was awarded stock options that vest commencing on March 18, 2018 and vest in full on September 18, 2018, contingent upon his continued service. Read SEC document |
| September 18, 2017 Filed Sep 25, 2017 15:06 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantOption (right to buy) · Derivative | 213,000 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0000899243-17-022517 · doc4.xml · derivative · entry 1 Kleinman Adam M · CIK 0001715823 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,000 Underlying: Common Stock · 213,000 shares Expires 2027-09-18 F1 · derivative.exercise_date: The Reporting Person was awarded stock options that vest commencing on September 18, 2018 and vest in full on September 18, 2022, contingent upon his continued service. 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.