Changes in Beneficial Ownership · 4
Great Elm Capital Corp.
GECCNASDAQEQUITYCurrent
Changes in Beneficial Ownership
Structured filing — 4
dp253785_4-kleinmangecc.xml
Filing details
- Report period
- 2026-09-21
- Issuer
- Great Elm Capital Corp.
- Issuer CIK
- 0001675033
- Trading symbol
- GECC
Reporting owner 1
- Name
- Kleinman Adam M
- Reporting owner CIK
- 0001715823
- Relationship
- Officer
- Officer title
- CCO and Secretary
- Address
- C/O GREAT ELM CAPITAL CORP., 3801 PGA BOULEVARD, SUITE 603, PALM BEACH GARDENS, FL, 33410
Non-derivative transactions
| Security | Transaction date | Code | Amount | A / D | Price (USD) | Owned after | Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | 2026-09-21 | A · Form 4[F1] | 15,292 | A | 0 | 59,889 | D |
| Common Stock | 2026-09-21 | A · Form 4[F2] | 791 | A | 0 | 60,680 | D |
| Common Stock | 2026-09-21 | F · Form 4[F3] | 3,451 | D | 5.37 | 57,229 | D |
Table key
- A · Form 4
- Acquisition by grant, award or otherwise under Rule 16b-3(d)
- A
- Acquired
- D
- Direct
- F · Form 4
- Securities delivered or withheld for exercise price or tax liability under Rule 16b-3
Footnotes
- 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.↩ 1
- 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.↩ 1
- F3
- Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3.↩ 1
Signature 1
- Signed
- /s/ Adam M. Kleinman
- Date
- 2026-09-23
Company context
GECC is an externally managed business development company that seeks to generate current income and capital appreciation by investing in debt and income generating equity securities, including investments in specialty finance businesses and CLOs. For additional information, please visit http://www.greatelmcc.com.