| Symbol | Company | Owner | Relationship | Date | Transaction | Cost | # Shares | Value ($) | Total Shares | Filing | |
|---|---|---|---|---|---|---|---|---|---|---|---|
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Mar 04, 2024 | Option Exercise | $10.82 | 1,239 | 13,406 | 1,516,932 | Mar 04, 2024, 09:19 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Feb 15, 2024 | Option Exercise | $10.69 | 2,389 | 25,538 | 1,518,171 | Feb 22, 2024, 08:02 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Nov 21, 2023 | Buy | $10.05 | 27,000 | 271,350 | 1,520,560 | Nov 21, 2023, 08:19 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Sep 20, 2023 | Option Exercise | $9.31 | 26,360 | 245,412 | 1,506,159 | Sep 22, 2023, 08:13 PM | |
| GECC | Great Elm Capital Corp. | COHEN RICHARD M | Director | Aug 15, 2023 | Buy | $9.47 | 2,612 | 24,748 | 2,612 | Aug 16, 2023, 08:45 PM | |
| GECC | Great Elm Capital Corp. | Kuperschmid Mark | Director | May 12, 2023 | Buy | $8.02 | 3,000 | 24,057 | 3,000 | May 16, 2023, 08:39 PM | |
| GECC | Great Elm Capital Corp. | Kuperschmid Mark | Director | May 12, 2023 | Buy | $8.01 | 2,000 | 16,020 | 13,972 | May 16, 2023, 08:39 PM | |
| GECC | Great Elm Capital Corp. | Kaplan Matthew D | CEO and President | Mar 10, 2023 | Buy | $9.29 | 1,100 | 10,219 | 12,000 | Mar 14, 2023, 08:51 PM | |
| GECC | Great Elm Capital Corp. | Kaplan Matthew D | CEO and President | Mar 08, 2023 | Buy | $9.46 | 2,201 | 20,821 | 9,221 | Mar 09, 2023, 09:28 PM | |
| GECC | Great Elm Capital Corp. | Kaplan Matthew D | CEO and President | Mar 09, 2023 | Buy | $9.41 | 1,679 | 15,799 | 10,900 | Mar 09, 2023, 09:28 PM | |
| GECC | Great Elm Capital Corp. | Kaplan Matthew D | CEO and President | Mar 07, 2023 | Buy | $9.13 | 5,020 | 45,833 | 7,020 | Mar 09, 2023, 09:28 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Aug 30, 2022 | Option Exercise | $12.19 | 50,000 | 609,500 | 1,791,716 | Jan 24, 2023, 06:10 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Sep 20, 2022 | Option Exercise | $10.18 | 9,947 | 101,260 | 1,781,769 | Jan 24, 2023, 06:10 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Sep 26, 2022 | Option Exercise | $8.66 | 10,116 | 87,605 | 1,771,653 | Jan 24, 2023, 06:10 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Dec 07, 2022 | Option Exercise | $10.00 | 200,000 | 2,000,000 | 1,571,653 | Jan 24, 2023, 06:10 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Dec 22, 2022 | Option Exercise | $8.31 | 1,866 | 15,506 | 1,569,787 | Jan 24, 2023, 06:10 PM | |
| GECC | Great Elm Capital Corp. | Drapkin Matthew A | Director | Jun 15, 2022 | Option Exercise | $12.50 | 20,000 | 250,000 | 21,308 | Jun 17, 2022, 05:26 PM | |
| GECC | Great Elm Capital Corp. | Drapkin Matthew A | Director | Jun 15, 2022 | Option Exercise | $12.50 | 604,000 | 7,550,000 | 369,140 | Jun 17, 2022, 05:26 PM | |
| GECC | Great Elm Capital Corp. | Kaplan Matthew D | CEO and President | Jun 15, 2022 | Option Exercise | $12.50 | 1,000 | 12,500 | 2,000 | Jun 17, 2022, 04:59 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Jun 15, 2022 | Option Exercise | $12.50 | 1,000,000 | 12,500,000 | 1,814,111 | Jun 17, 2022, 04:57 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | Jun 15, 2022 | Option Exercise | $12.50 | 400,090 | 5,001,125 | 400,100 | Jun 17, 2022, 04:57 PM | |
| GECC | Great Elm Capital Corp. | Kuperschmid Mark | Director | Jun 15, 2022 | Option Exercise | $12.50 | 5,986 | 74,825 | 11,972 | Jun 17, 2022, 04:53 PM | |
| GECC | Great Elm Capital Corp. | Kleinman Adam M | CCO and Secretary | Jun 15, 2022 | Option Exercise | $12.50 | 4,000 | 50,000 | 20,558 | Jun 17, 2022, 04:50 PM | |
| GECC | Great Elm Capital Corp. | Drapkin Matthew A | Director | May 25, 2022 | Buy | $12.41 | 7,336 | 91,066 | 136,399 | May 27, 2022, 04:17 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Group, Inc. | 10% Owner | May 11, 2022 | Option Exercise | $12.50 | 100,000 | 1,250,000 | 814,111 | May 12, 2022, 09:54 PM | |
| GECC | Great Elm Capital Corp. | Drapkin Matthew A | Director | Mar 09, 2022 | Buy | $14.70 | 1,000 | 14,700 | 1,617 | Mar 11, 2022, 09:41 PM | |
| GECC | Great Elm Capital Corp. | Drapkin Matthew A | Director | Mar 09, 2022 | Buy | $14.70 | 617 | 9,070 | 617 | Mar 11, 2022, 07:32 PM | |
| GECC | Great Elm Capital Corp. | Drapkin Matthew A | Director | Mar 09, 2022 | Buy | $14.70 | 1,000 | 14,700 | 48,195 | Mar 11, 2022, 07:32 PM | |
| GECC | Great Elm Capital Corp. | Kaplan Matthew D | CEO and President | Mar 08, 2022 | Buy | $14.00 | 1,000 | 14,000 | 1,000 | Mar 10, 2022, 09:22 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Capital Group, Inc. | 10% Owner | Sep 28, 2020 | Option Exercise | $2.95 | 2,103,194 | 6,204,422 | 4,245,432 | Oct 01, 2020, 05:48 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Capital Group, Inc. | 10% Owner | Sep 28, 2020 | Option Exercise | $2.95 | 151,894 | 448,087 | 400,551 | Oct 01, 2020, 05:48 PM | |
| GECC | Great Elm Capital Corp. | Great Elm Capital Group, Inc. | 10% Owner | Oct 01, 2020 | Option Exercise | $2.95 | 863,337 | 2,546,844 | 5,108,769 | Oct 01, 2020, 05:48 PM | |
| GECC | Great Elm Capital Corp. | STUART JOHN EDWARD | Director | Sep 28, 2020 | Option Exercise | $2.95 | 5,773 | 17,030 | 15,871 | Oct 01, 2020, 05:45 PM | |
| GECC | Great Elm Capital Corp. | Speller Michael C | Director | Sep 28, 2020 | Option Exercise | $2.95 | 16,937 | 49,964 | 34,113 | Oct 01, 2020, 05:40 PM | |
| GECC | Great Elm Capital Corp. | Kuperschmid Mark | Director | Sep 28, 2020 | Option Exercise | $2.95 | 12,000 | 35,400 | 33,417 | Oct 01, 2020, 05:38 PM | |
| GECC | Great Elm Capital Corp. | Horsey Randall Revell | Director | Sep 28, 2020 | Option Exercise | $2.95 | 10,000 | 29,500 | 23,092 | Oct 01, 2020, 05:36 PM | |
| GECC | Great Elm Capital Corp. | Reed Peter A | President and CEO | Sep 28, 2020 | Option Exercise | $2.95 | 92,448 | 272,722 | 186,612 | Oct 01, 2020, 05:34 PM | |
| GECC | Great Elm Capital Corp. | Reed Peter A | President and CEO | Oct 01, 2020 | Option Exercise | $2.95 | 56,239 | 165,905 | 242,851 | Oct 01, 2020, 05:34 PM | |
| GECC | Great Elm Capital Corp. | Davis Keri | CFO and Treasurer | Sep 28, 2020 | Option Exercise | $2.95 | 651 | 1,920 | 1,314 | Oct 01, 2020, 05:31 PM | |
| GECC | Great Elm Capital Corp. | Davis Keri | CFO and Treasurer | Oct 01, 2020 | Option Exercise | $2.95 | 800 | 2,360 | 2,114 | Oct 01, 2020, 05:31 PM | |
| GECC | Great Elm Capital Corp. | Kleinman Adam M | Chief Compliance Officer | Sep 28, 2020 | Option Exercise | $2.95 | 36,042 | 106,324 | 72,754 | Oct 01, 2020, 05:27 PM | |
| GECC | Great Elm Capital Corp. | Kleinman Adam M | Chief Compliance Officer | Nov 20, 2019 | Buy | $7.90 | 7,500 | 59,250 | 33,219 | Nov 21, 2019, 06:48 PM | |
| GECC | Great Elm Capital Corp. | Davis Keri | See Remarks | Nov 20, 2019 | Buy | $7.94 | 600 | 4,764 | 600 | Nov 21, 2019, 06:45 PM | |
| GECC | Great Elm Capital Corp. | Speller Michael C | Director | Nov 20, 2019 | Buy | $7.80 | 5,000 | 39,000 | 16,000 | Nov 21, 2019, 06:45 PM | |
| GECC | Great Elm Capital Corp. | Kleinman Adam M | Chief Compliance Officer | Aug 29, 2019 | Buy | $8.17 | 350 | 2,860 | 25,350 | Sep 03, 2019, 04:28 PM | |
| GECC | Great Elm Capital Corp. | Kleinman Adam M | Chief Compliance Officer | Aug 30, 2019 | Buy | $8.25 | 369 | 3,044 | 25,719 | Sep 03, 2019, 04:28 PM | |
| GECC | Great Elm Capital Corp. | Horsey Randall Revell | Director | Aug 27, 2019 | Buy | $8.32 | 2,000 | 16,640 | 12,000 | Aug 29, 2019, 07:59 PM | |
| GECC | Great Elm Capital Corp. | Reed Peter A | President and CEO | Aug 26, 2019 | Buy | $8.25 | 3,000 | 24,750 | 85,214 | Aug 28, 2019, 04:11 PM | |
| GECC | Great Elm Capital Corp. | Reed Peter A | President and CEO | Aug 19, 2019 | Buy | $8.25 | 2,219 | 18,307 | 82,214 | Aug 21, 2019, 04:59 PM | |
| GECC | Great Elm Capital Corp. | Reed Peter A | President and CEO | Jun 06, 2019 | Buy | $8.50 | 3,143 | 26,716 | 79,995 | Jun 07, 2019, 05:25 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Jun 05, 2019 | Sale | $8.48 | 55,100 | 467,314 | 1,015,508 | Jun 07, 2019, 10:40 AM | |
| GECC | Great Elm Capital Corp. | Kleinman Adam M | Chief Compliance Officer | Jun 04, 2019 | Buy | $8.50 | 10,000 | 85,000 | 25,000 | Jun 06, 2019, 04:37 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | May 31, 2019 | Sale | $8.60 | 58,200 | 500,468 | 1,083,708 | Jun 04, 2019, 05:15 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Jun 03, 2019 | Sale | $8.47 | 7,400 | 62,641 | 1,076,308 | Jun 04, 2019, 05:15 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Jun 04, 2019 | Sale | $8.47 | 5,700 | 48,304 | 1,070,608 | Jun 04, 2019, 05:15 PM | |
| GECC | Great Elm Capital Corp. | Reed Peter A | President and CEO | May 31, 2019 | Buy | $8.58 | 2,000 | 17,160 | 76,852 | Jun 04, 2019, 04:18 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | May 29, 2019 | Sale | $8.90 | 5,300 | 47,170 | 1,148,908 | May 30, 2019, 05:05 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | May 30, 2019 | Sale | $8.86 | 7,000 | 62,031 | 1,141,908 | May 30, 2019, 05:05 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | May 28, 2019 | Sale | $8.88 | 8,800 | 78,155 | 1,154,208 | May 30, 2019, 05:05 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | May 22, 2019 | Sale | $8.77 | 5,400 | 47,381 | 1,431,608 | May 24, 2019, 07:04 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | May 23, 2019 | Sale | $8.60 | 258,100 | 2,220,383 | 1,173,508 | May 24, 2019, 07:04 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | May 24, 2019 | Sale | $8.85 | 10,500 | 92,909 | 1,163,008 | May 24, 2019, 07:04 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | May 21, 2019 | Sale | $8.85 | 6,900 | 61,055 | 1,437,008 | May 21, 2019, 06:44 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | May 17, 2019 | Sale | $8.72 | 5,400 | 47,099 | 1,450,108 | May 21, 2019, 06:44 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | May 20, 2019 | Sale | $8.83 | 6,200 | 54,760 | 1,443,908 | May 21, 2019, 06:44 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | May 14, 2019 | Sale | $8.55 | 4,900 | 41,875 | 1,599,608 | May 16, 2019, 05:24 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | May 15, 2019 | Sale | $8.56 | 9,400 | 80,445 | 1,590,208 | May 16, 2019, 05:24 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | May 16, 2019 | Sale | $8.69 | 134,700 | 1,171,122 | 1,455,508 | May 16, 2019, 05:24 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | May 09, 2019 | Sale | $8.39 | 1,700 | 14,263 | 1,611,608 | May 13, 2019, 05:59 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | May 10, 2019 | Sale | $8.43 | 2,100 | 17,709 | 1,609,508 | May 13, 2019, 05:59 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | May 13, 2019 | Sale | $8.41 | 5,000 | 42,035 | 1,604,508 | May 13, 2019, 05:59 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Apr 25, 2019 | Sale | $8.36 | 13,300 | 111,209 | 1,613,308 | Apr 29, 2019, 02:42 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Apr 23, 2019 | Sale | $8.39 | 16,200 | 135,920 | 1,647,108 | Apr 24, 2019, 05:17 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Apr 24, 2019 | Sale | $8.41 | 20,500 | 172,419 | 1,626,608 | Apr 24, 2019, 05:17 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Apr 22, 2019 | Sale | $8.34 | 11,300 | 94,283 | 1,663,308 | Apr 24, 2019, 05:17 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Apr 16, 2019 | Sale | $8.34 | 16,700 | 139,265 | 1,695,008 | Apr 18, 2019, 07:21 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Apr 17, 2019 | Sale | $8.36 | 7,400 | 61,846 | 1,687,608 | Apr 18, 2019, 07:21 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Apr 18, 2019 | Sale | $8.36 | 13,000 | 108,655 | 1,674,608 | Apr 18, 2019, 07:21 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Apr 01, 2019 | Sale | $8.20 | 102,900 | 843,945 | 1,711,708 | Apr 01, 2019, 02:55 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 28, 2019 | Sale | $8.29 | 6,400 | 53,080 | 1,820,508 | Apr 01, 2019, 02:55 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 29, 2019 | Sale | $8.27 | 5,900 | 48,786 | 1,814,608 | Apr 01, 2019, 02:55 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 25, 2019 | Sale | $8.22 | 205,200 | 1,687,093 | 1,842,908 | Mar 27, 2019, 05:42 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 26, 2019 | Sale | $8.35 | 16,000 | 133,664 | 1,826,908 | Mar 27, 2019, 05:42 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 22, 2019 | Sale | $8.24 | 16,000 | 131,826 | 2,048,108 | Mar 22, 2019, 08:09 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 20, 2019 | Sale | $8.32 | 3,700 | 30,772 | 2,068,408 | Mar 22, 2019, 08:09 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 21, 2019 | Sale | $8.31 | 4,300 | 35,728 | 2,064,108 | Mar 22, 2019, 08:09 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Mar 15, 2019 | Sale | $8.15 | 18,009 | 146,831 | 2,086,408 | Mar 19, 2019, 05:12 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Mar 18, 2019 | Sale | $8.17 | 4,800 | 39,214 | 2,081,608 | Mar 19, 2019, 05:12 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Mar 19, 2019 | Sale | $8.28 | 9,500 | 78,675 | 2,072,108 | Mar 19, 2019, 05:12 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Mar 12, 2019 | Sale | $8.21 | 17,700 | 145,294 | 2,150,717 | Mar 14, 2019, 05:11 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Mar 13, 2019 | Sale | $8.14 | 35,900 | 292,140 | 2,114,817 | Mar 14, 2019, 05:11 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Mar 14, 2019 | Sale | $8.10 | 10,400 | 84,214 | 2,104,417 | Mar 14, 2019, 05:11 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 08, 2019 | Sale | $8.09 | 8,400 | 67,943 | 2,178,217 | Mar 11, 2019, 06:16 PM | |
| GECC | Great Elm Capital Corp. | Steinberg David J. | 10% Owner | Mar 11, 2019 | Sale | $8.16 | 9,800 | 79,968 | 2,168,417 | Mar 11, 2019, 06:16 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 07, 2019 | Sale | $8.17 | 17,600 | 143,780 | 2,186,617 | Mar 11, 2019, 06:16 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 04, 2019 | Sale | $8.29 | 16,700 | 138,450 | 2,225,017 | Mar 06, 2019, 08:12 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 05, 2019 | Sale | $8.16 | 14,500 | 118,339 | 2,210,517 | Mar 06, 2019, 08:12 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 06, 2019 | Sale | $8.20 | 6,300 | 51,679 | 2,204,217 | Mar 06, 2019, 08:12 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Feb 28, 2019 | Sale | $8.33 | 11,400 | 94,964 | 2,281,717 | Mar 01, 2019, 05:55 PM | |
| GECC | Great Elm Capital Corp. | Mast Capital Management, LLC | 10% Owner | Mar 01, 2019 | Sale | $8.42 | 40,000 | 336,724 | 2,241,717 | Mar 01, 2019, 05:55 PM |
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