Form 4 for GECC Great Elm Capital Corp.
Accepted 2022-03-11 00:00:00 ET · period of report 2022-03-09 · accession 0001140361-22-009228 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| I | 2022-03-11 | 2022-03-09 | GECC | Drapkin Matthew A | Dir | P - Purchase | $14.70 | +1,000 | 48.2K | +2% | +$14.7K |
| 2022-03-11 | 2022-03-09 | GECC | Drapkin Matthew A | Dir | P - Purchase | $14.70 | +617 | 617 | New | +$9,070 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-03-09 | P | A | 1,000 | $14.70 | 48,195 | I | — | — | (F1) Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of separate managed accounts on behalf of an investment advisory client (the "Managed Accounts"). |
| 2 | Common | Common Stock | 2022-03-09 | P | A | 617 | $14.70 | 617 | D See Footnote | — | — | (F4) As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. (F5) (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. |