Home > Insider Trading > Filing (0000899243-19-002480)

Filing Details

Accession Number:: 0000899243-19-002480
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-02-04 17:30:32
Reporting Period:: 2019-01-31

Accepted Time:: 2019-02-04 17:30:32
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2019-01-31	9,000	$8.01	2,554,991	No	4	S	Indirect	See footnotes
Common Stock	Disposition	2019-02-01	5,200	$8.00	2,549,791	No	4	S	Indirect	See footnotes
Common Stock	Disposition	2019-02-04	25,000	$8.01	2,524,791	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) 8,447 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 553 shares of Common Stock sold by Mast Admiral Master Fund, 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 $8.0053 on January 31, 2019
Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,397,905 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 157,086 shares held by Mast Admiral Master Fund, 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) 4,880 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 320 shares of Common Stock sold by Mast Admiral Master Fund, 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 $8.0003 on February 1, 2019
Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,393,025 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 156,766 shares held by Mast Admiral Master Fund, 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) 23,463 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,537 shares of Common Stock sold by Mast Admiral Master Fund, 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 $8.0128 on February 4, 2019
Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,369,562 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 155,229 shares held by Mast Admiral Master Fund, L.P.