| Date Filed | Type | Description |
| 10/11/2023 |
4
| Form 4 - Statement of changes in beneficial ownership of securities: |
| 08/18/2023 |
40-APP
| Form 40-APP - Application for exemption and other relief filed under the Investment Company Act of 1940: |
| 08/16/2023 |
4
| COHEN RICHARD M (Director) has filed a Form 4 on Great Elm Capital Corp.|
Txns:
| Bought 2,612 shares
@ $9.4749, valued at
$24.7k
|
|
| 08/16/2023 |
CERT
| Form CERT - Certification by an exchange approving securities for listing: |
| 08/16/2023 |
8-A12B
| Form 8-A12B - Registration of securities [Section 12(b)]: |
| 08/16/2023 |
8-K
| Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance S... |
| 08/09/2023 |
424B1
| Form 424B1 - Prospectus [Rule 424(b)(1)]: |
| 08/09/2023 |
EFFECT
| Form EFFECT - Notice of Effectiveness: |
| 08/08/2023 |
497AD
| Form 497AD - Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]: |
| 08/08/2023 |
FWP
| Form FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses: |
| 08/08/2023 |
8-K
| Quarterly results |
| 08/08/2023 |
N-23C-2
| Form N-23C-2 - Notice by closed-end investment companies of intent to purchase their own securities: |
| 08/07/2023 |
497AD
| Form 497AD - Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]: |
| 08/07/2023 |
N-2/A
| Form N-2/A - Registration statement for closed-end investment companies: [Amend] |
| 08/03/2023 |
8-K
| Quarterly results |
| 08/03/2023 |
10-Q
| Quarterly Report for the period ended June 30, 2023 |
| 07/31/2023 |
40-17G
| Form 40-17G - Fidelity Bond [Rule 17G-1(g)]: |
| 07/24/2023 |
N-2/A
| Form N-2/A - Registration statement for closed-end investment companies: [Amend] |
| 06/16/2023 |
SC 13G/A
| Lenders Funding LLC /California reports a 0% stake in Great Elm Capital Corp. |
| 06/01/2023 |
8-K
| Submission of Matters to a Vote of Security Holders Interactive Data |
| 05/23/2023 |
4
| Great Elm Group, Inc. (10% Owner) has filed a Form 4 on Great Elm Capital Corp.|
Txns:
| Disposed of 37,268 shares
@ $0 |
|
| 05/16/2023 |
4
| Kuperschmid Mark (Director) has filed a Form 4 on Great Elm Capital Corp.|
Txns:
| Bought 2,000 shares
@ $8.01, valued at
$16k
Bought 300 shares
@ $8.01, valued at
$2.4k
Bought 2,700 shares
@ $8.0199, valued at
$21.7k
|
|
| 05/04/2023 |
8-K
| Quarterly results |
| 05/04/2023 |
10-Q
| Quarterly Report for the period ended March 31, 2023 |
| 04/21/2023 |
DEFA14A
| Form DEFA14A - Additional definitive proxy soliciting materials and Rule 14(a)(12) material: |
| 04/21/2023 |
DEF 14A
| Form DEF 14A - Other definitive proxy statements: |
| 03/31/2023 |
4
| Davis Keri (CFO) has filed a Form 4 on Great Elm Capital Corp.|
Txns:
| Acquired 5,894 shares
@ $0
Acquired 23 shares
@ $0 |
|
| 03/27/2023 |
SC 13G/A
| Form SC 13G/A - Statement of acquisition of beneficial ownership by individuals: [Amend] |
| 03/14/2023 |
4
| Kaplan Matthew D (CEO and President) has filed a Form 4 on Great Elm Capital Corp.|
Txns:
| Bought 1,100 shares
@ $9.29, valued at
$10.2k
|
|
| 03/09/2023 |
4
| Kaplan Matthew D (CEO and President) has filed a Form 4 on Great Elm Capital Corp.|
Txns:
| Bought 5,020 shares
@ $9.13, valued at
$45.8k
Bought 2,201 shares
@ $9.46, valued at
$20.8k
Bought 1,679 shares
@ $9.41, valued at
$15.8k
|
|
| 03/02/2023 |
8-K
| Quarterly results |
| 03/02/2023 |
10-K
| Annual Report for the period ended December 31, 2022 |
| 01/24/2023 |
4
| Great Elm Group, Inc. (10% Owner) has filed a Form 4 on Great Elm Capital Corp.|
Txns:
| Disposed of 50,000 shares
@ $12.19, valued at
$609.5k
Disposed of 9,947 shares
@ $10.18, valued at
$101.3k
Disposed of 10,116 shares
@ $8.66, valued at
$87.6k
Disposed of 200,000 shares
@ $10, valued at
$2M
Disposed of 1,866 shares
@ $8.31, valued at
$15.5k
|
|
| 01/03/2023 |
4
| Great Elm Group, Inc. (10% Owner) has filed a Form 4 on Great Elm Capital Corp.|
Txns:
| Disposed of 372,495 shares
@ $0
Disposed of 73,176 shares
@ $0 |
|
|