Adam M. Kleinman - 20 Sep 2024 Form 4/A - Amendment Insider Report for Great Elm Capital Corp. (GECC)

Role
CCO and Secretary
Signature
/s/ Adam M. Kleinman
Issuer symbol
GECC
Transactions as of
20 Sep 2024
Net transactions value
$0
Form type
4/A - Amendment
Filing time
27 Sep 2024, 19:30:14 UTC
Date Of Original Report
24 Sep 2024
Previous filing
27 Sep 2023
Next filing
23 Sep 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GECC Common Stock Other $0 +6,194 +19% $0.000000 38,251 20 Sep 2024 Direct F1, F2
transaction GECC Common Stock Other $0 +2,093 +5.5% $0.000000 40,344 24 Sep 2024 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Mr. Kleinman is the Chief Compliance Officer and Secretary of Great Elm Capital Corp. ("GECC"). Mr. Kleinman received an award of 6,194 shares of common stock of GECC as equity compensation for his position at GECC, 1,548 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.
F2 This amendment is being filed to correct the number of shares beneficially owned after the reported transactions.
F3 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 Mr. Kleinman in previous years that vested on the anniversary of those grant dates.