Adam M. Kleinman - 19 Sep 2025 Form 4 Insider Report for Great Elm Capital Corp. (GECC)

Role
CCO and Secretary
Signature
/s/ Adam M. Kleinman
Issuer symbol
GECC
Transactions as of
19 Sep 2025
Net transactions value
-$15,556
Form type
4
Filing time
23 Sep 2025, 21:53:40 UTC
Previous filing
27 Sep 2024
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Kleinman Adam M CCO and Secretary C/O GREAT ELM CAPITAL CORP., 3801 PGA BOULEVARD, SUITE 603, PALM BEACH GARDENS /s/ Adam M. Kleinman 23 Sep 2025 0001715823

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GECC Common Stock Award $0 +5,458 +14% $0.000000 45,802 19 Sep 2025 Direct F1
transaction GECC Common Stock Award $0 +156 +0.34% $0.000000 45,958 19 Sep 2025 Direct F2
transaction GECC Common Stock Tax liability $15,556 -1,361 -3% $11.43 44,597 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. Kleinman is the Chief Compliance Officer and Secretary of Great Elm Capital Corp. ("GECC"). Mr. Kleinman received the exempt grant of an award of 5,458 shares of common stock of GECC as equity compensation for his position at GECC, 1,365 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 GECM.
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.
F3 Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3.