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

Reporting relationship: CCO and Secretary
Issuer ticker: GECC
Reported as of: 19 Sep 2025
Net transaction value: -$15,556
SEC form: 4
Accepted by SEC: 23 Sep 2025, 21:53:40 UTC
Prior SEC filing: 27 Sep 2024
Source filing: View source filing
Reporting owner signature: /s/ Adam M. Kleinman

Key filing fact

Adam M. Kleinman filed Form 4 for Great Elm Capital Corp. (GECC) on 23 Sep 2025.

Key facts

This page summarizes Adam M. Kleinman's Form 4 filing for Great Elm Capital Corp. (GECC).
3 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 23 Sep 2025, 21:53.

Change

Previous filing in this sequence was filed on 27 Sep 2024.
Current net transaction value: -$15,556.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001715823 Primary reporting owner

Kleinman Adam M

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

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

GECC transaction

Common Stock

Award

Transaction value: $0
Shares: +5,458
Change %: +14%
Price: $0.000000
Shares after: 45,802
Date: 19 Sep 2025
Ownership: Direct
Footnotes: F1

GECC transaction

Common Stock

Award

Transaction value: $0
Shares: +156
Change %: +0.34%
Price: $0.000000
Shares after: 45,958
Date: 19 Sep 2025
Ownership: Direct
Footnotes: F2

GECC transaction

Common Stock

Tax liability

Transaction value: $15,556
Shares: -1,361
Change %: -3%
Price: $11.43
Shares after: 44,597
Date: 23 Sep 2025
Ownership: Direct
Footnotes: F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote 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.

Footnote 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.

Footnote F3

Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3.