13D Filing: MAST Capital and Great Elm Capital Corp. (GECC)

NAME OF
REPORTING PERSONS

MAST Capital Management, LLC

CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP

(a)  ☐        (b)  ☐

SEC USE ONLY

SOURCE OF FUNDS

AF/OO

CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

☐

CITIZENSHIP OR PLACE OF
ORGANIZATION

Delaware

NUMBER OF

SHARES

 BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

SOLE VOTING POWER

0

SHARED VOTING POWER

5,327,406

SOLE DISPOSITIVE POWER

0

SHARED DISPOSITIVE POWER

5,327,406

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

5,327,406

CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (11) EXCLUDES CERTAIN SHARES

☐

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)

46.3%

TYPE OF REPORTING PERSON

IA, OO