Form 4 for GECC Great Elm Capital Corp.
Accepted 2026-09-23 16:30:15 ET · period of report 2026-09-21 · accession 0000950103-26-014393 · 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 16:30 | 2026-09-21 | GECC | Davis Keri | CFO | A - Grant | $0.00 | +9,018 | 30.9K | +41% | $0 |
| 2026-09-23 16:30 | 2026-09-21 | GECC | Davis Keri | CFO | F - Tax | $5.37 | -2,972 | 27.9K | -10% | -$16.0K |
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2026-09-21 | A | A | 7,646 | $0.00 | 29,539 | D | — | — | (F1) Ms. Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of Great Elm Capital Corp. ("GECC"). Ms. Davis received an award of 7,646 shares of common stock of GECC as equity compensation for her position at GECM, 1,911 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 | 1,372 | $0.00 | 30,911 | D | — | — | (F2) 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 Ms. Davis in previous years that vested on the anniversary of those grant dates. |
| 3 | Common | Common Stock | 2026-09-21 | F | D | 2,972 | $5.37 | 27,939 | 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. |