Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Great Elm Capital Corp.GECC · Entity 6877 | CFO | September 21, 2026 | September 23, 2026 |
| Great Elm Group, Inc.GEG · Entity 7060 | Chief Financial Officer | 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.
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 | 27,939 |
Ending reported balance
After 2026-09-21 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2026-09-21 · Grant · Acquired 7,646 · Balance 29,539 F1: Ms. Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of Great Elm Capital Corp. ("GECC"). Ms. Davis received an award of 7,646 shares of common stock of GECC as equity compensation for her position at GECM, 1,911 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 1,372 · Balance 30,911 F2: 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 Ms. Davis in previous years that vested on the anniversary of those grant dates. Row 3 · 2026-09-21 · Tax withholding · Disposed 2,972 · Balance 27,939 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: Ms. Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of Great Elm Capital Corp. ("GECC"). Ms. Davis received an award of 7,646 shares of common stock of GECC as equity compensation for her position at GECM, 1,911 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 shares of common stock of GECC acquired as a result of a stock dividend associated with the portion of the equity compensation awarded to Ms. Davis 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 | 55,846 |
Ending reported balance
After 2026-09-21 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-09-21 · Grant · Acquired 20,052 · Balance 63,488 F1: Ms. Davis was awarded 20,052 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 7,642 · Balance 55,846 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 | 20,000 |
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 20,000 · Balance 20,000 F3: Mr. Davis was awarded options to purchase 20,000 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: Ms. Davis was awarded 20,052 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. Davis was awarded options to purchase 20,000 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 20:30 UTC | Great Elm Capital Corp. GECC · Entity 6877 | Tax withholdingCommon Stock | 2,972 | $5.37 | $15,959.64 |
DisclosureSEC source: 0000950103-26-014393 · dp253787_4-davisgecc.xml · nonDerivative · entry 3 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,939 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 20:30 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 1,372 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-26-014393 · dp253787_4-davisgecc.xml · nonDerivative · entry 2 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,911 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 Ms. Davis in previous years that vested on the anniversary of those grant dates. Read SEC document |
| September 21, 2026 Filed Sep 23, 2026 20:30 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 7,646 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-26-014393 · dp253787_4-davisgecc.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,539 F1 · kind: Ms. Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of Great Elm Capital Corp. ("GECC"). Ms. Davis received an award of 7,646 shares of common stock of GECC as equity compensation for her position at GECM, 1,911 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 20:28 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantStock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0000950103-26-014392 · dp253786_4-davisgeg.xml · derivative · entry 3 Davis Keri · CIK 0001770670 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2031-09-20 F3 · shares: Mr. Davis was awarded options to purchase 20,000 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. Davis was awarded options to purchase 20,000 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 20:28 UTC | Great Elm Group, Inc. GEG · Entity 7060 | Tax withholdingCommon Stock | 7,642 | $2.15 | $16,430.30 |
DisclosureSEC source: 0000950103-26-014392 · dp253786_4-davisgeg.xml · nonDerivative · entry 2 Davis Keri · CIK 0001770670 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,846 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 20:28 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 20,052 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-26-014392 · dp253786_4-davisgeg.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 63,488 F1 · shares: Ms. Davis was awarded 20,052 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 01:53 UTC | Great Elm Group, Inc. GEG · Entity 7060 | Tax withholdingCommon Stock | 5,418 | $2.80 | $15,170.40 |
DisclosureSEC source: 0000950103-25-012106 · dp234799_4-davisgeg.xml · nonDerivative · entry 2 Davis Keri · CIK 0001770670 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,436 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 | 2,725 | $11.43 | $31,146.75 |
DisclosureSEC source: 0000950103-25-012105 · dp234798_4-davisgecc.xml · nonDerivative · entry 3 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,893 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 01:53 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 9,191 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-25-012106 · dp234799_4-davisgeg.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 48,854 F1 · shares: Ms. Davis was awarded 9,191 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 | 1,406 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-25-012105 · dp234798_4-davisgecc.xml · nonDerivative · entry 2 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,618 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 Ms. Davis 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 | 3,820 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-25-012105 · dp234798_4-davisgecc.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,212 F1 · kind: Ms. Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of Great Elm Capital Corp. ("GECC"). Ms. Davis received an award of 3,820 shares of common stock of GECC as equity compensation for her position at GECM, 955 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 | 781 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-041810 · form4.xml · nonDerivative · entry 2 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,313 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 Ms. Davis in previous years that vested on the anniversary of those grant dates. Read SEC document |
| September 24, 2024 Filed Sep 27, 2024 23:26 UTC Amendment | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 213 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-042239 · form4.xml · nonDerivative · entry 2 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,392 F1 · kind: Represents shares of common stock of Great Elm Capital Corp. acquired as a result of a stock dividend associated with the portion of the equity compensation awarded to Ms. Davis in previous years that vested on the anniversary of those grant dates. F2 · shares: This amendment is being filed to correct information pertaining to the date of the acquisition and the amount of securities acquired as a result of a stock dividend associated with the portion of the equity compensation awarded to Ms. Davis in previous years that vested on the anniversary of those grant dates. Read SEC document |
| September 20, 2024 Filed Sep 25, 2024 01:38 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 27,344 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-041808 · form4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,663 F1 · ownership.direct: Ms. Davis was awarded 27,344 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 | 3,717 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-041810 · form4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,532 F1 · kind: Ms. Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of Great Elm Capital Corp. ("GECC"). Ms. Davis received an award of 3,717 shares of common stock of GECC as equity compensation for her position at GECM, 929 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 23:26 UTC Amendment | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 647 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-042239 · form4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,179 F1 · kind: Represents shares of common stock of Great Elm Capital Corp. acquired as a result of a stock dividend associated with the portion of the equity compensation awarded to Ms. Davis in previous years that vested on the anniversary of those grant dates. F2 · shares: This amendment is being filed to correct information pertaining to the date of the acquisition and the amount of securities acquired as a result of a stock dividend associated with the portion of the equity compensation awarded to Ms. Davis in previous years that vested on the anniversary of those grant dates. Read SEC document |
| September 25, 2023 Filed Sep 27, 2023 20:18 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 12,319 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-045532 · form4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,319 F1 · ownership.direct: Ms. Davis was awarded 12,319 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, 2023 Filed Sep 23, 2023 00:02 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 196 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-045003 · form4.xml · nonDerivative · entry 2 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,815 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 Ms. Davis on September 20, 2022 that vested on the one-year anniversary of that date. Read SEC document |
| September 20, 2023 Filed Sep 23, 2023 00:02 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 5,585 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-045003 · form4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,619 F1 · kind: Ms. Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of Great Elm Capital Corp. ("GECC"). Ms. Davis received an award of 5,585 shares of common stock of GECC as equity compensation for her position at GECM, 1,396 of which vested on the grant date, September 20, 2023, and the remainder of which will vest in equal annual installments on each anniversary of the grant date until September 20, 2026, subject to continued service with GECM. Read SEC document |
| September 24, 2022 Filed Apr 1, 2023 00:03 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-015504 · form4.xml · nonDerivative · entry 2 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,034 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 Ms. Davis on September 24, 2021 that vested on the one-year anniversary of that date. Read SEC document |
| September 20, 2022 Filed Apr 1, 2023 00:03 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 5,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-015504 · form4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,011 F1 · kind: Ms. Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of Great Elm Capital Corp. ("GECC"). Ms. Davis received an award of 5,894 shares of common stock of GECC as equity compensation for her position at GECM, 1,474 of which vested on the grant date, September 20, 2022, and the remainder of which will vest in equal annual installments on each anniversary of the grant date until September 20, 2025, subject to continued service with GECM. Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 23:31 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 5,147 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-032829 · form4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,699.0675 F1 · kind: Ms. Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of Great Elm Capital Corp. ("GECC"). Ms. Davis received an award of 5,147 shares of common stock of GECC as equity compensation for her positon at GECM, 1,287 of which 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 GECM. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 02:04 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 11,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-003986 · form4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,552.0675 F1 · ownership.direct: Keri Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of GECC. Ms. Davis received 11,254 shares of common stock of GECC as equity compensation for her position at GECM that fully vested on the grant date, February 5, 2021. Read SEC document |
| January 21, 2021 Filed Jan 26, 2021 21:44 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 51.887 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-005382 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,298.0675 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:16 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 47.5741 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065073 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,246.1805 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 22:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 66.2239 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060297 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,198.6064 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:02 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 18.2912 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055744 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,132.3825 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 01, 2020 Filed Oct 1, 2020 21:31 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 800 | $2.95 | $2,360.00 |
DisclosureSEC source: 0001209191-20-052690 · doc4.xml · nonDerivative · entry 2 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,114.0913 F2 · shares: Reflects additional shares of Common Stock acquired by the Reporting Person in connection with the Issuer's rights offering pursuant to the over-subscription privilege. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:31 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherSubscription Rights · Derivative | 651 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052690 · doc4.xml · derivative · entry 3 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 651 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:31 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 651 | $2.95 | $1,920.45 |
DisclosureSEC source: 0001209191-20-052690 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,314.0913 F1 · shares: On September 28, 2020, the Reporting Person exercised in full her primary subscription rights (each 1 subscription right entitling her 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 23:24 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 12.0848 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051714 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 663.0913 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| August 21, 2020 Filed Aug 25, 2020 23:57 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 11.5666 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-048300 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 651.0065 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 21:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 12.3787 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042935 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 639.4399 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 23:36 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 11.8593 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037433 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 627.0612 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| May 15, 2020 Filed May 19, 2020 21:30 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 15.2019 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030608 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 615.2019 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 23:45 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 600 | $7.94 | $4,764.00 |
DisclosureSEC source: 0000899243-19-027807 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600 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.