| Company | Role | Class | Num Shares | Value | Price $ | Report Date | Ownership |
|---|---|---|---|---|---|---|---|
| Great Elm Capital Corp. | President and CEO, Director | Common Stock | 351,636 | $3,533,942 | $10.05 | 24 Sep 2021 | Direct |
| Great Elm Group, Inc. | Chief Executive Officer | Option (right to buy) | 125,000 | 16 Sep 2022 | Direct |
| Symbol | Company | Period | Transactions | Value $ | Form Type | Role | Filing Time |
|---|---|---|---|---|---|---|---|
| GEG | Great Elm Group, Inc. | 16 Sep 2022 | 1 | $0 | 4 | Chief Executive Officer | 20 Sep 2022, 21:22 |
| GECC | Great Elm Capital Corp. | 24 Sep 2021 | 1 | $0 | 4 | President and CEO, Director | 28 Sep 2021, 19:40 |