Filing Details

1	NAMES OF REPORTING PERSONS
	Great Elm Strategic Partnership I, LLC
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
	(a)☐
	(b)☐
3	SEC USE ONLY
4	CITIZENSHIP OR PLACE OF ORGANIZATION
	Delaware
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH		5	SOLE VOTING POWER
			1,850,424
		6	SHARED VOTING POWER
			0
		7	SOLE DISPOSITIVE POWER
			1,850,424
		8	SHARED DISPOSITIVE POWER
			0
9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	1,850,424
10	CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
	☐
11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
	19.6%(1)
12	TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
	CO

Item 1(a). Name of Issuer: Great Elm Capital Corp.

 

Item 1(b). Address of Issuer’s Principal Executive Officers: 800 South Street, Suite 230, Waltham, MA 02453.

 

Item 2(a). Name of Person Filing: Great Elm Strategic Partnership I, LLC.

 

Item 2(b). Address or Principal Business Office or, if None, Residence: 800 South Street, Suite 230, Waltham, MA 02453.

 

Item 2(c). Citizenship: Delaware.

 

Item 2(d). Title of Class of Securities: Common Stock, par value $0.01 per share.

 

Item 2(e). CUSIP No.: 390320703.

 

Item 3. If this Statement is Filed Pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), Check Whether the Person Filing is a:

 

(a)    ☐    Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

 

(b)    ☐    Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);

 

(c)    ☐    Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

 

(d)    ☐    Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

(e)    ☐    An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);

 

(f)    ☐    An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);

 

(g)   ☐    A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

(h)   ☐    A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)    ☐   A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

 

(j)    ☐   A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);

 

(k)    ☐   Group, in accordance with § 240.13d-1(b)(1)(ii)(K).

 

If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

 

Item 4. Ownership.

 

(a) Amount beneficially owned: 1,850,424.

 

(b) Percent of class: 19.6%.

 

(c) Number of shares as to which the person has:

 

 

Item 5. Ownership of 5 Percent or Less of a Class.

 

Not applicable.

 

Item 6. Ownership of More than 5 Percent on Behalf of Another Person.

 

Not applicable.

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.

 

Not applicable.

 

Item 8. Identification and Classification of Members of the Group.

 

Not applicable.

 

Item 9. Notice of Dissolution of Group.

 

Not applicable.

 

Item 10. Certifications.

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

EXHIBIT INDEX

 

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