Form 4 for GECC Great Elm Capital Corp.

Accepted 2026-09-23 16:27:27 ET · period of report 2026-09-21 · accession 0000950103-26-014391 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
M	2026-09-23 16:27	2026-09-21	GECC	Kleinman Adam M	CCO, Sec	A - Grant	$0.00	+16.1K	60.7K	+36%	$0
	2026-09-23 16:27	2026-09-21	GECC	Kleinman Adam M	CCO, Sec	F - Tax	$5.37	-3,451	57.2K	-6%	-$18.5K

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2026-09-21	A	A	15,292	$0.00	59,889	D	—	—	(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.
2	Common	Common Stock	2026-09-21	A	A	791	$0.00	60,680	D	—	—	(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.
3	Common	Common Stock	2026-09-21	F	D	3,451	$5.37	57,229	D	—	—	(F3) Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3.