Adam M. Kleinman - Jun 15, 2022 Form 4 Insider Report for Great Elm Capital Corp. (GECC)

Role
CCO and Secretary
Signature
/s/ Adam M. Kleinman
Stock symbol
GECC
Transactions as of
Jun 15, 2022
Transactions value $
$50,000
Form type
4
Date filed
6/17/2022, 04:50 PM
Previous filing
Sep 28, 2021
Next filing
Sep 20, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GECC Common Stock Options Exercise $50K +4K +24.16% $12.50 20.6K Jun 15, 2022 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GECC Subscription Rights Options Exercise $0 -4K -100% $0.00* 0 Jun 15, 2022 Common Stock 4K $12.50 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On June 15, 2022, the Reporting Person exercised certain of his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the May 23, 2022 record date for the rights offering.