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Filing Details

Accession Number:: 0000899243-18-030744
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-12-12 19:11:40
Reporting Period:: 2018-12-10

Accepted Time:: 2018-12-12 19:11:40
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1675033	Great Elm Capital Corp.	GECC	()	DE

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1429074	Mast Capital Management, Llc	31 St. James Avenue 6Th Floor Boston MA 02116		No	No	Yes	No
1429076	J. David Steinberg	31 St. James Avenue 6Th Floor Boston MA 02116		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2018-12-10	2,800	$8.15	2,707,074	No	4	S	Indirect	See footnotes
Common Stock	Disposition	2018-12-11	300	$8.15	2,706,774	No	4	S	Indirect	See footnotes
Common Stock	Disposition	2018-12-11	2,000	$8.19	2,704,774	No	4	S	Indirect	See footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	See footnotes
No	4	S	Indirect	See footnotes
No	4	S	Indirect	See footnotes

Footnotes

Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 2,626 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 160 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iii) 10 shares of Common Stock sold by Mast Select Opportunities, L.P.
The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.1539 on September 10, 2018.
Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,538,916 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 154,223 shares held by Mast Admiral Master Fund, L.P. and (iii) 13,935 shares held by Mast Select Opportunities, L.P.
As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein.
Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein.
Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 281 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 17 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iii) 2 shares of Common Stock sold by Mast Select Opportunities, L.P.
The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.15 on September 11, 2018.
Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,538,635 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 154,206 shares held by Mast Admiral Master Fund, L.P. and (iii) 13,933 shares held by Mast Select Opportunities, L.P.
Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 1,876 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. (ii) 114 shares of Common Stock sold by Mast Admiral Master Fund, L.P. and (iii) 10 shares of Common Stock sold by Mast Select Opportunities, L.P.
The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.1909 on September 12, 2018.
Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,536,759 shares held by Mast Select Opportunities Master Fund, L.P; (ii) 154,092 shares held by Mast Admiral Master Fund, L.P. and (iii) 13,923 shares held by Mast Select Opportunities, L.P.