Matthew D. Kaplan - 19 Sep 2025 Form 4 Insider Report for Great Elm Capital Corp. (GECC)

Role
CEO and President
Signature
/s/ Adam M. Kleinman, attorney-in-fact
Issuer symbol
GECC
Transactions as of
19 Sep 2025
Net transactions value
-$93,852
Form type
4
Filing time
23 Sep 2025, 21:52:38 UTC
Previous filing
24 Sep 2024
Next filing
10 Nov 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Kaplan Matthew D CEO and President C/O GREAT ELM CAPITAL CORP., 3801 PGA BOULEVARD, SUITE 603, PALM BEACH GARDENS /s/ Adam M. Kleinman, attorney-in-fact 23 Sep 2025 0001916576

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GECC Common Stock Award $0 +37,117 +40% $0.000000 129,906 19 Sep 2025 Direct F1
transaction GECC Common Stock Award $0 +1,055 +0.81% $0.000000 130,961 19 Sep 2025 Direct F2
transaction GECC Common Stock Tax liability $93,852 -8,211 -6.3% $11.43 122,750 23 Sep 2025 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Mr. Kaplan is the President and Chief Executive Officer of Great Elm Capital Corp. ("GECC"). Mr. Kaplan received an award of 37,117 shares of common stock of GECC as equity compensation for his position at GECC, 9,280 of which vested on the grant date, September 19, 2025, and the remainder of which will vest in equal annual installments on September 20th of each year until September 20, 2028, subject to continued service with GECC.
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. Kaplan in previous years that vested on the anniversary of those grant dates.
F3 Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3.