Mga Batayang Estadistika
| LEI | 549300JTA9ODXNIVFC33 |
| CIK | 1675033 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Great Elm Capital Corp.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| September 5, 2025 |
$50,000,000 GREAT ELM CAPITAL CORP. 7.75% NOTES DUE 2030 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) File No. 333-283503 PROSPECTUS SUPPLEMENT (To Prospectus dated January 13, 2025) $50,000,000 GREAT ELM CAPITAL CORP. 7.75% NOTES DUE 2030 We are an externally managed non-diversified closed-end management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, as |
|
| September 4, 2025 |
GREAT ELM CAPITAL CORP. 7.75% Notes Due 2030 Pricing Term Sheet September 4, 2025 FWP Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated September 4, 2025 Relating to Preliminary Prospectus Supplement dated September 4, 2025 and Prospectus dated January 13, 2025 Registration No. |
|
| September 4, 2025 |
PRELIMINARY PROSPECTUS SUPPLEMENT SUBJECT TO COMPLETION, DATED SEPTEMBER 4, 2025 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) File No. 333-283503 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are part of an effective registration statement filed with the Securities and Exchange Commission. This preliminary prospectus |
|
| August 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 29, 2025 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland (State or Other Jurisdiction of Incorporation) 814-01211 (Commission File Numbe |
|
| August 29, 2025 |
Exhibit 99.1 NOTICE OF REDEMPTION TO THE HOLDERS OF THE 8.75% Notes due 2028 of Great Elm Capital Corp. (CUSIP No. 390320 802)* Redemption Date: September 30, 2025 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture, dated as of September 18, 2017 (the “Base Indenture”), by and between Great Elm Capital Corp., a Maryland corporation (the “Company”), and Equiniti Trust Company, LLC (f |
|
| August 29, 2025 |
Exhibit 99.2 CONDITIONAL NOTICE OF REDEMPTION TO THE HOLDERS OF THE 8.75% Notes due 2028 of Great Elm Capital Corp. (CUSIP No. 390320 802)* Redemption Date: September 30, 2025 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture, dated as of September 18, 2017 (the “Base Indenture”), by and between Great Elm Capital Corp., a Maryland corporation (the “Company”), and Equiniti Trust Com |
|
| August 27, 2025 |
Great Elm Capital Corp. (“GECC”) Raises $15.0 Million of Equity Exhibit 99.1 Great Elm Capital Corp. (“GECC”) Raises $15.0 Million of Equity PALM BEACH GARDENS, Florida., August 27, 2025 – Great Elm Capital Corp. (the “Company” or “GECC”), (NASDAQ: GECC), a business development company, has issued approximately 1.3 million shares, representing 9.9% of the Company’s outstanding common stock, at $11.65 per share for gross proceeds of $15.0 million to an affiliat |
|
| August 27, 2025 |
United states SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 27, 2025 GREAT ELM CAPITAL CORP. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| August 13, 2025 |
Great Elm Capital Corp. Announces AMENDED AND UPSIZED REVOLVING CREDIT FACILITY Exhibit 99.1 Great Elm Capital Corp. Announces AMENDED AND UPSIZED REVOLVING CREDIT FACILITY PALM BEACH GARDENS, Florida, August 13, 2025 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC”) (NASDAQ: GECC), a business development company, today announced it has entered into an amendment to its revolving credit facility (the “Revolving Credit Facility”) with City National Bank (“CNB”) t |
|
| August 13, 2025 |
FIFTH AMENDMENT TO LOAN, GUARANTEE AND SECURITY AGREEMENT Exhibit 10.1 EXECUTION VERSION FIFTH AMENDMENT TO LOAN, GUARANTEE AND SECURITY AGREEMENT This FIFTH AMENDMENT TO LOAN, GUARANTEE AND SECURITY AGREEMENT (this “Amendment”), dated as of August 13, 2025, is by and between GREAT ELM CAPITAL CORP., a Maryland corporation (“Borrower”) and CITY NATIONAL BANK (“CNB”), as lender (in such capacity, together with its successors and assigns in such capacity, |
|
| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2025 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland (State or Other Jurisdiction of Incorporation) 814-01211 (Commission File Numbe |
|
| August 5, 2025 |
Exhibit 99.1 Great Elm Capital Corp. Announces SECOND Quarter 2025 Financial Results Company to Host Conference Call and Webcast at 8:30 AM ET on August 5, 2025 PALM BEACH GARDENS, Florida, August 4, 2025 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC”) (NASDAQ: GECC), a business development company, today announced its financial results for the second quarter ended June 30, 2025. |
|
| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2025 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| August 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of regis |
|
| May 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2025 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fi |
|
| May 6, 2025 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-283503 PROSPECTUS SUPPLEMENT (To Prospectus Dated January 13, 2025) GREAT ELM CAPITAL CORP. Up to $100,000,000 Common Stock We are an externally managed non-diversified closed-end management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, as amended (the “In |
|
| May 6, 2025 |
Exhibit 1.1 GREAT ELM CAPITAL CORP. (a Maryland corporation) EQUITY DISTRIBUTION AGREEMENT May 6, 2025 Lucid Capital Markets, LLC 570 Lexington Avenue, 40th Floor New York, New York 10022 Ladies and Gentlemen: Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, LLC, a Delaware limited liability company (the “Adviser”), each confirms its agreement (thi |
|
| May 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2025 GREAT ELM CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-01211 81-2621577 (State or other jurisdiction of incorporation) (Commission Fil |
|
| May 5, 2025 |
Exhibit 99.1 Great Elm Capital Corp. Announces FIRST Quarter 2025 Financial Results Company to Host Conference Call and Webcast at 8:30 AM ET on May 6, 2025 PALM BEACH GARDENS, Florida, May 5, 2025 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC”) (NASDAQ: GECC), a business development company, today announced its financial results for the first quarter ended March 31, 2025. First Q |
|
| May 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of r |
|
| May 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2025 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fil |
|
| April 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ |
|
| April 11, 2025 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as perm |
|
| March 10, 2025 |
Description of Registered Securities Exhibit 4.11 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES AND EXCHANGE ACT OF 1934 As of March 10, 2025, Great Elm Capital Corp. has four classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): our (1) common stock, (2) 5.875% Notes due 2026, (3) 8.75% Notes due 2028, (4) 8.50% Note |
|
| March 10, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2025 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| March 10, 2025 |
Great Elm Specialty Finance, LLC Delaware Exhibit 21.1 Subsidiaries Great Elm Specialty Finance, LLC Delaware |
|
| March 10, 2025 |
Audited Financial Statements of CLO Formation JV, LLC Exhibit 99.1 CLO Formation JV, LLC Financial Statements and Independent Auditor’s Report As of December 31, 2024 and for the period April 23, 2024 (commencement of operations) through December 31, 2024 Exhibit 99.1 CLO Formation JV, LLC Table of Contents As of December 31, 2024 and for the period April 23, 2024 (commencement of operations) through December 31, 2024 Independent Auditor's Report 1 F |
|
| March 10, 2025 |
Exhibit 99.1 Great Elm Capital Corp. Announces FOURTH Quarter AND FULL YEAR 2024 Financial Results Company to Host Conference Call and Webcast at 8:30 AM ET on March 11, 2025 PALM BEACH GARDENS, Florida, March 10, 2025 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC”) (NASDAQ: GECC), a business development company, today announced its financial results for the fourth quarter and ful |
|
| March 10, 2025 |
Insider Trading Policy for GECC Exhibit 19.1 GREAT ELM CAPITAL CORP. Statement of Policy on Insider Trading Introduction It is illegal for any person, either personally or on behalf of others, to trade in securities on the basis of material, non-public information. It is also illegal to communicate (or “tip”) material, non-public information to others who may trade in securities on the basis of that information. These illegal ac |
|
| March 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934O For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of registrant as speci |
|
| December 17, 2024 |
Exhibit 99.1 Great Elm Capital Corp. (“GECC”) Declares $0.05 Per Common Share Special Cash Distribution and Approves First Quarter 2025 Distribution of $0.37 Per Common Share PALM BEACH GARDENS, Fl., December 16, 2024 – Great Elm Capital Corp. (the “Company” or “GECC”), (NASDAQ: GECC), a business development company, today is pleased to declare a special cash distribution of $0.05 per common share |
|
| December 17, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissi |
|
| December 13, 2024 |
SC 13D/A 1 d910587dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Great Elm Capital Corp. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 390320703 (CUSIP Number) Northern Right Capital Management, L.P. Attn: Matthew A. Drapkin 9 Old Kings Hwy S. 4th |
|
| December 13, 2024 |
GECC / Great Elm Capital Corp. / Great Elm Group, Inc. - SC 13D/A Activist Investment SC 13D/A 1 ef20039957sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Amendment No. 12) UNDER THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 390320703 (CUSIP Number) Jason W. Reese Great Elm Group, Inc. 3801 PGA Boulevard, Suite 603 Palm Beac |
|
| December 12, 2024 |
Great Elm Capital Corp. (“GECC”) Raises $13.2 Million of Equity at Net Asset Value Exhibit 99.1 Great Elm Capital Corp. (“GECC”) Raises $13.2 Million of Equity at Net Asset Value PALM BEACH GARDENS, Florida., December 12, 2024 – Great Elm Capital Corp. (the “Company” or “GECC”), (NASDAQ: GECC), a business development company, announced it issued approximately 1.1 million shares of the Company’s common stock at a current net asset value of $12.06 per share, for an aggregate gross |
|
| December 12, 2024 |
Exhibit 10.1 Share PURCHASE AGREEMENT SHARE PURCHASE AGREEMENT (this “Agreement”), dated as of December 11, 2024, by and between Great Elm Capital Corp., a Maryland corporation (the “Company”), and Summit Grove Partners, LLC, a Delaware limited liability company (the “Purchaser”). WHEREAS: A. The Company and the Purchaser are executing and delivering this Agreement in reliance upon the exemption f |
|
| December 12, 2024 |
GECC / Great Elm Capital Corp. / Summit Grove Partners, LLC - FORM SC 13G Passive Investment SC 13G 1 dp221920sc13g.htm FORM SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Great Elm Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 390320703 (CUSIP Number) December 11, 2024 (Date of Event Which Requires Filing of this Statement) Check |
|
| December 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 11, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissi |
|
| October 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissio |
|
| October 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of |
|
| October 31, 2024 |
Exhibit 99.1 Great Elm Capital Corp. Announces Third Quarter 2024 Financial Results Company to Host Conference Call and Webcast at 8:30 AM ET Today PALM BEACH GARDENS, Florida, October 31, 2024 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC”) (NASDAQ: GECC), a business development company, today announced its financial results for the third quarter ended September 30, 2024. Third Q |
|
| October 28, 2024 |
GREAT ELM CAPITAL CORP. 8.50% NOTES DUE 2029 Filed Pursuant to Rule 424(b)(1) File No. 333-277557 Explanatory Note: The sole purpose of this filing is to add inline XBRL tagging to the Registrant’s Prospectus dated April 9, 2024, filed on April 11, 2024 with the Securities and Exchange Commission pursuant to Rule 424(b)(1) under the Securities Act of 1933 (the “Prospectus”). This filing does not make any changes to the Prospectus. This filin |
|
| October 28, 2024 |
$40,000,000 GREAT ELM CAPITAL CORP. 8.75% NOTES DUE 2028 TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(1) File No. 333-272790 Explanatory Note: The sole purpose of this filing is to add inline XBRL tagging to the Registrant’s Prospectus dated August 8, 2023, filed on August 9, 2023 with the Securities and Exchange Commission pursuant to Rule 424(b)(1) under the Securities Act of 1933 (the “Prospectus”). This filing does not make any changes to the Pro |
|
| October 25, 2024 |
Exhibit (s) The prospectus supplement to which this exhibit is attached is a final prospectus for the related offering. The maximum aggregate offering price of that offering is $22,000,000. 333-261274 N-2 424B5 EX-FILING FEES |
|
| October 25, 2024 |
$22,000,000 GREAT ELM CAPITAL CORP. 8.50% NOTES DUE 2029 Filed Pursuant to Rule 424(b)(5) File No. 333-261274 Explanatory Note: The sole purpose of this filing is to add inline XBRL tagging to the Registrant’s Prospectus Supplement dated July 9, 2024, filed on July 11, 2024 with the Securities and Exchange Commission pursuant to Rule 424(b)(5) under the Securities Act of 1933 (the “Prospectus Supplement”). This filing does not make any changes to the Pr |
|
| September 25, 2024 |
GECC / Great Elm Capital Corp. / Great Elm Group, Inc. - SC 13D/A Activist Investment SC 13D/A 1 ef20036254sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Amendment No. 11) UNDER THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 390320703 (CUSIP Number) Jason W. Reese Great Elm Group, Inc. 3801 PGA Boulevard, Suite 603 Palm Beac |
|
| September 24, 2024 |
8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Exact name of registrant as specified in its charter) Maryland 81-2621577 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identific |
|
| September 19, 2024 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commiss |
|
| September 19, 2024 |
Exhibit 4.1 SEVENTH SUPPLEMENTAL INDENTURE between GREAT ELM CAPITAL CORP. and EQUINITI TRUST COMPANY, LLC, as Trustee Dated as of September 19, 2024 SEVENTH SUPPLEMENTAL INDENTURE THIS SEVENTH SUPPLEMENTAL INDENTURE (this “Seventh Supplemental Indenture”), dated as of September 19, 2024 is between Great Elm Capital Corp., a Maryland corporation (the “Company”), and Equiniti Trust Company, LLC (fo |
|
| September 16, 2024 |
$36,000,000 GREAT ELM CAPITAL CORP. 8.125% NOTES DUE 2029 Filed Pursuant to Rule 424(b)(1) File No. 333-281177 PROSPECTUS $36,000,000 GREAT ELM CAPITAL CORP. 8.125% NOTES DUE 2029 We are an externally managed non-diversified closed-end management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, as amended (the “Investment Company Act”). We seek to generate current inco |
|
| September 13, 2024 |
GREAT ELM CAPITAL CORP. 8.125% Notes Due 2029 Pricing Term Sheet September 12, 2024 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated September 12, 2024 Relating to Preliminary Prospectus dated September 9, 2024 Registration No. |
|
| September 13, 2024 |
$36,000,000 GREAT ELM CAPITAL CORP. 8.125% NOTES DUE 2029 Table of Contents Filed Pursuant to Rule 424(b)(1) File No. 333-281177 PROSPECTUS $36,000,000 GREAT ELM CAPITAL CORP. 8.125% NOTES DUE 2029 We are an externally managed non-diversified closed-end management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, as amended (the “Investment Company Act”). We seek to gen |
|
| September 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commiss |
|
| September 13, 2024 |
Exhibit 99.1 CONDITIONAL NOTICE OF REDEMPTION TO THE HOLDERS OF THE 6.75% Notes due 2025 of Great Elm Capital Corp. (CUSIP No. 390320 406)* Redemption Date: October 12, 2024 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture, dated as of September 18, 2017 (the “Base Indenture”), by and between Great Elm Capital Corp., a Maryland corporation (the “Company”), and Equiniti Trust Compa |
|
| September 12, 2024 |
Consent of Davis Polk & Wardwell LLP (included in Exhibit (l)(1)) Exhibit (l)(1) Davis Polk & Wardwell LLP 450 Lexington Avenue New York, NY 10017 davispolk. |
|
| September 12, 2024 |
Consent of Venable LLP (included in Exhibit (l)(2)) Exhibit (l)(2) 750 E. PRATT STREET SUITE 900 BALTIMORE, MD 21202 T 410.244.7400 F 410.244.7742 www.Venable.com September 12, 2024 Great Elm Capital Corp. 3801 PGA Boulevard, Suite 603 Palm Beach Gardens, Florida 33410 Re: Rule 462(b) Registration Statement (the “Registration Statement”) Relating to Registration Statement on Form N-2 (1933 Act File No. 333-281177) (the “Initial Registration Stateme |
|
| September 12, 2024 |
Calculation of Filing Fee Table Exhibit (s) Calculation of Filing Fee Table Form N-2 (Form Type) Great Elm Capital Corp. |
|
| September 12, 2024 |
As filed with the Securities and Exchange Commission on September 12, 2024 As filed with the Securities and Exchange Commission on September 12, 2024 Securities Act File No. |
|
| September 12, 2024 |
Consent of Deloitte & Touche LLP, Registered Independent Accounting Firm Exhibit (n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated February 29, 2024, relating to the financial statements and financial highlights of Great Elm Capital Corp. |
|
| August 22, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland (State or Other Jurisdiction of Incorporation) 814-01211 (Commission File Numbe |
|
| August 22, 2024 |
Exhibit 10.1 [**] = CERTAIN INFORMATION IN THIS DOCUMENT HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE OF INFORMATION THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. SECOND AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CLO FORMATION JV, LLC DATED AS OF AUGUST 20, 2024 TABLE OF CONTENTS Article I Definitions 1 Section 1.01 Definiti |
|
| August 15, 2024 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* Great Elm Capital Corp. (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 390320109 (CUSIP Number) August 15, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig |
|
| August 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of regis |
|
| August 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| August 1, 2024 |
Exhibit 99.1 Great Elm Capital Corp. Announces SECOND Quarter 2024 Financial Results Company to Host Conference Call and Webcast at 5:00 PM ET Today PALM BEACH GARDENS, Florida, August 1, 2024 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC”) (NASDAQ: GECC), a business development company, today announced its financial results for the second quarter ended June 30, 2024. Second Quart |
|
| July 11, 2024 |
GREAT ELM CAPITAL CORP. 3,169,363 Shares of Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-278803 PROSPECTUS GREAT ELM CAPITAL CORP. 3,169,363 Shares of Common Stock We are an externally managed non-diversified closed-end management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, as amended (the “Investment Company Act”). We seek to generate current incom |
|
| July 10, 2024 |
Great Elm Capital Corp. (“GECC”) Issues $22 Million of Additional GECCI Notes Exhibit 99.1 Great Elm Capital Corp. (“GECC”) Issues $22 Million of Additional GECCI Notes PALM BEACH GARDENS, Florida., July 9, 2024 – Great Elm Capital Corp. (the “Company” or “GECC”), (NASDAQ: GECC), a business development company, today announced it issued $22 million of additional 8.50% notes due 2029 (the “GECCI Notes”) in a registered direct offering to an institutional investor. “We are pl |
|
| July 10, 2024 |
$22,000,000 GREAT ELM CAPITAL CORP. 8.50% NOTES DUE 2029 Filed Pursuant to Rule 424(b)(5) File No. 333-261274 PROSPECTUS SUPPLEMENT (to Prospectus dated January 12, 2022) $22,000,000 GREAT ELM CAPITAL CORP. 8.50% NOTES DUE 2029 We are an externally managed non-diversified closed-end management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, as amended (the “Investmen |
|
| July 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 9, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland (State or Other Jurisdiction of Incorporation) 814-01211 (Commission File Number) |
|
| July 10, 2024 |
Exhibit (s) The prospectus supplement to which this exhibit is attached is a final prospectus for the related offering. The maximum aggregate offering price of that offering is $22,000,000. |
|
| July 10, 2024 |
Exhibit 10.1 Purchase Agreement THIS PURCHASE AGREEMENT (this “Agreement”) is entered into as of July 9, 2024, by and among Great Elm Capital Corp., a Maryland corporation (the “Company”), Great Elm Capital Management, LLC, a Delaware limited liability company (the “Adviser”), and the purchasers identified on Appendix A hereto (each, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, the |
|
| July 10, 2024 |
Global Note (8.50% Note Due 2029). Exhibit 4.1 This Security is a Global Note within the meaning of the Indenture hereinafter referred to and is registered in the name of The Depository Trust Company or a nominee thereof. This Security may not be exchanged in whole or in part for a Security registered, and no transfer of this Security in whole or in part may be registered, in the name of any Person other than The Depository Trust C |
|
| June 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission F |
|
| June 24, 2024 |
Great Elm Capital Corp. (“GECC”) Raises $12 Million of Equity at Net Asset Value Exhibit 99.1 Great Elm Capital Corp. (“GECC”) Raises $12 Million of Equity at Net Asset Value PALM BEACH GARDENS, Florida., June 24, 2024 – Great Elm Capital Corp. (the “Company” or “GECC”), (NASDAQ: GECC), a business development company, today announced it issued approximately 1.0 million shares of the Company’s common stock at a current net asset value of $12.03 per share, for an aggregate gross |
|
| June 24, 2024 |
GECC / Great Elm Capital Corp. / Prosper Peak Holdings, LLC - SC 13G Passive Investment SC 13G 1 ef20031617sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Great Elm Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 390320703 (CUSIP Number) June 21, 2024 (Date of Event Which Requires Filing of this Statement) Check the ap |
|
| June 24, 2024 |
GECC / Great Elm Capital Corp. / Great Elm Group, Inc. - SC 13D/A Activist Investment SC 13D/A 1 ef20031616sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Amendment No. 10) UNDER THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 390320703 (CUSIP Number) Jason W. Reese Great Elm Group, Inc. 3801 PGA Boulevard, Suite 603 Palm Beac |
|
| June 24, 2024 |
Exhibit 10.1 Execution Version Share PURCHASE AGREEMENT SHARE PURCHASE AGREEMENT (this “Agreement”), dated as of June 21, 2024, by and between Great Elm Capital Corp., a Maryland corporation (the “Company”), and Prosper Peak Holdings, LLC, a Delaware limited liability company (the “Purchaser”). WHEREAS: A. The Company and the Purchaser are executing and delivering this Agreement in reliance upon t |
|
| June 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fi |
|
| May 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of regi |
|
| May 2, 2024 |
Exhibit 99.1 Great Elm Capital Corp. Announces FIRST Quarter 2024 Financial Results Company to Host Conference Call and Webcast at 5:00 PM ET Today PALM BEACH GARDENS, Florida, May 2, 2024 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC”) (NASDAQ: GECC), a business development company, today announced its financial results for the first quarter ended March 31, 2024. First Quarter an |
|
| May 2, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fil |
|
| April 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 23, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland (State or Other Jurisdiction of Incorporation) 814-01211 (Commission File Number |
|
| April 24, 2024 |
Exhibit 10.1 [**] = CERTAIN INFORMATION IN THIS DOCUMENT HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE OF INFORMATION THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CLO FORMATION JV, LLC DATED AS OF APRIL 23, 2024 TABLE OF CONTENTS Article I Definitions 1 Section 1.01 Definitions 1 Se |
|
| April 17, 2024 |
Exhibit 4.2 This Security is a Global Note within the meaning of the Indenture hereinafter referred to and is registered in the name of The Depository Trust Company or a nominee thereof. This Security may not be exchanged in whole or in part for a Security registered, and no transfer of this Security in whole or in part may be registered, in the name of any Person other than The Depository Trust C |
|
| April 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 17, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland (State or Other Jurisdiction of Incorporation) 814-01211 (Commission File Number |
|
| April 17, 2024 |
Exhibit 4.1 SIXTH SUPPLEMENTAL INDENTURE between GREAT ELM CAPITAL CORP. and EQUINITI TRUST COMPANY, LLC, as Trustee Dated as of April 17, 2024 SIXTH SUPPLEMENTAL INDENTURE THIS SIXTH SUPPLEMENTAL INDENTURE (this “Sixth Supplemental Indenture”), dated as of April 17, 2024 is between Great Elm Capital Corp., a Maryland corporation (the “Company”), and Equiniti Trust Company, LLC (formerly known as |
|
| April 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 81-2621577 (I.R.S. Employer Identification N |
|
| April 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ |
|
| April 12, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by R |
|
| April 11, 2024 |
GREAT ELM CAPITAL CORP. 8.50% NOTES DUE 2029 Filed Pursuant to Rule 424(b)(1) File No. 333-277557 PROSPECTUS $30,000,000 GREAT ELM CAPITAL CORP. 8.50% NOTES DUE 2029 We are an externally managed non-diversified closed-end management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, as amended (the “Investment Company Act”). We seek to generate current incom |
|
| April 10, 2024 |
GREAT ELM CAPITAL CORP. 8.50% Notes Due 2029 Pricing Term Sheet April 9, 2024 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated April 9, 2024 Relating to Preliminary Prospectus dated April 9, 2024 Registration No. |
|
| April 9, 2024 |
Consent of Deloitte & Touche LLP, Registered Independent Accounting Firm Exhibit (n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated February 29, 2024, relating to the financial statements and financial highlights of Great Elm Capital Corp. |
|
| April 9, 2024 |
As filed with the Securities and Exchange Commission on April 9, 2024 As filed with the Securities and Exchange Commission on April 9, 2024 Securities Act File No. |
|
| April 9, 2024 |
Consent of Jones Day (included in Exhibit (l)(1)) Exhibit (l)(1) North Point • 901 Lakeside Avenue • Cleveland, Ohio 44114.1190 Telephone: +1.216.586.3939 • jonesday.com April 9, 2024 Great Elm Capital Corp. 800 South Street, Suite 230 Waltham, Massachusetts 02453 Re: Registration Statement on Form N-2 filed by Great Elm Capital Corp. Ladies and Gentlemen: We have acted as counsel for Great Elm Capital Corp., a Maryland corporation (the “Company” |
|
| April 9, 2024 |
Consent of Venable LLP (included in Exhibit (l)(2)) Exhibit (l)(2) 750 E. PRATT STREET SUITE 900 BALTIMORE, MD 21202 T 410.244.7400 F 410.244.7742 www.Venable.com April 9, 2024 Great Elm Capital Corp. 800 South Street, Suite 230 Waltham, Massachusetts 02453 Re: Rule 462(b) Registration Statement (the “Registration Statement”) Relating to Registration Statement on Form N-2 (1933 Act File No. 333-277557) Ladies and Gentlemen: We have served as Maryla |
|
| April 9, 2024 |
Calculation of Filing Fee Table Exhibit (s) Calculation of Filing Fees Tables Form N-2MEF (Form Type) Great Elm Capital Corp. |
|
| April 2, 2024 |
April 2, 2024 VIA EDGAR Ms. Deborah O’Neal Ms. Christina DiAngelo Fettig U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Registration Statement on Form N-2 Pre-Effective Amendment No. 2 Filed April 2, 2024 File No. 333-277557 Dear Ms. O’Neal and Ms. Fettig: Pursuant to Rule 461 under the Securities Act o |
|
| April 2, 2024 |
April 2, 2024 VIA EDGAR Ms. Deborah O’Neal Ms. Christina DiAngelo Fettig U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Registration Statement on Form N-2 Filed February 29, 2024 File No. 333-277557 Dear Ms. O’Neal and Ms. Fettig: Great Elm Capital Corp. (“GECC”) submits this letter in response to the o |
|
| March 7, 2024 |
Simpson Thacher & Bartlett LLP 900 G STREET, NW WASHINGTON, D.C. 20001 TELEPHONE: +1-202-636-5500 FACSIMILE: +1-202-636-5502 Direct Dial Number +1-202-636-5879 E-mail Address [email protected] March 7, 2024 VIA EDGAR AND EMAIL Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Barbara T. Heussler, Senior Counsel Re: Grea |
|
| February 29, 2024 |
Exhibit 14.1 Appendix D GREAT ELM CAPITAL CORP. SOX CODE OF BUSINESS CONDUCT AND ETHICS As Adopted: June 30, 2017 Appendix D SOX CODE OF BUSINESS CONDUCT AND ETHICS TABLE OF CONTENTS Page Introduction D-1 Purpose of the Code D-1 Conflicts of Interest D-2 Corporate Opportunities D-2 Confidentiality D-2 Fair Dealing D-3 Protection and Proper Use of Company Assets D-3 Compliance with Applicable Laws, |
|
| February 29, 2024 |
Great Elm Specialty Finance, LLC Delaware Exhibit 21.1 Subsidiaries Great Elm Specialty Finance, LLC Delaware |
|
| February 29, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 29, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissi |
|
| February 29, 2024 |
Exhibit 99.1 Great Elm Capital Corp. Announces FOURTH Quarter AND Full year 2023 Financial Results Company to Host Conference Call and Webcast at 8:30 AM ET Today PALM BEACH GARDENS, Florida., February 29, 2024 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC,”) (NASDAQ: GECC), a business development company, today announced its financial results for the fourth quarter and full year |
|
| February 29, 2024 |
Exhibit 14.2 CODE OF ETHICS TOPICS IN THIS CODE A. Standard of Conduct B. Confidential Information C. Material Nonpublic Information D. Fiduciary Duty and Conflicts of Interest E. Frontrunning F. Window Dressing G. Unfair Treatment of Certain Clients Vis‑a‑Vis Others H. Dealing with Clients as Agent and Principal: Section 206(3) of the Investment Advisers Act of 1940 I. Personal Trading; Timely Re |
|
| February 29, 2024 |
Description of Registered Securities Exhibit 4.11 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES AND EXCHANGE ACT OF 1934 As of February 29, 2024, Great Elm Capital Corp. has four classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): our (1) common stock, (2) 6.75% Notes due 2025, (3) 5.875% Notes due 2026 and (4) 8.75 |
|
| February 29, 2024 |
Exhibit 97.1 Great Elm Capital Corp. Clawback Policy Effective November 16, 2023 Purpose As required pursuant to the listing standards of the Nasdaq Stock Market LLC (the “Stock Exchange”), Section 10D of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and Rule 10D-1 under the Exchange Act, the Board of Directors (the “Board”) of Great Elm Capital Corp. (the “Company”) has ad |
|
| February 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of registrant as specif |
|
| February 29, 2024 |
Exhibit 10.5 CUSTODY AGREEMENT AGREEMENT dated as of July 1, 2023, between Great Elm Capital Corp., a corporation organized under the laws of the State of Maryland, having its principal office and place of business at 800 South Street, Suite 230, Waltham, MA 02453 (the “Fund”), and THE NORTHERN TRUST COMPANY (the “Custodian”), an Illinois company with its principal place of business at 50 South La |
|
| February 14, 2024 |
SC 13G/A 1 d727586dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Great Elm Capital Corp. (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 390320109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Ch |
|
| February 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Great Elm Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 390320703 (CUSIP Number) February 8, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
|
| February 13, 2024 |
EX-24.1 2 ef20021422ex24-1.htm EXHIBIT 24.1 Exhibit 24.1 POWER OF ATTORNEY The undersigned hereby constitutes and appoints Adam M. Kleinman as the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as a deemed 10% owner of Great Elm Capital Corp. (the “Company”), Schedules 13D and 13G in accordance with Sections 13(d) |
|
| February 13, 2024 |
SC 13D/A 1 ef20021639sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Amendment No. 2)* UNDER THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 390320703 (CUSIP Number) Northern Right Capital Management, L.P. Attn: Matthew A. Drapkin 9 Old Kings |
|
| February 12, 2024 |
US3903207039 / Great Elm Capital Corp / Great Elm Group, Inc. - SC 13D/A Activist Investment SC 13D/A 1 ef20021513sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Amendment No. 9) UNDER THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 390320703 (CUSIP Number) Jason W. Reese Great Elm Group, Inc. 800 South Street, Suite 230 Waltham, MA |
|
| February 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2024 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissio |
|
| February 8, 2024 |
Exhibit 10.1 Share PURCHASE AGREEMENT SHARE PURCHASE AGREEMENT (this “Agreement”), dated as of February 8, 2024, by and between Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Strategic Partnership I, LLC, a Delaware limited liability company (the “Purchaser”). WHEREAS: A. The Company and the Purchaser are executing and delivering this Agreement in reliance upon the |
|
| February 8, 2024 |
Exhibit 99.1 Great Elm Capital Corp. (“GECC”) Raises $24 Million of Equity at Net Asset Value Provides Preliminary Fourth Quarter 2023 Financial Results; Declares First Quarter 2024 Distribution of $0.35 per Share PALM BEACH GARDENS, Florida., February 8, 2024 – Great Elm Capital Corp. (the “Company” or “GECC”), (NASDAQ: GECC), a business development company, today announced it issued approximatel |
|
| December 12, 2023 |
Great Elm Capital Corp. (“GECC”) Declares $0.10 Per Common Share Special Cash Distribution Exhibit 99.1 Great Elm Capital Corp. (“GECC”) Declares $0.10 Per Common Share Special Cash Distribution WALTHAM, Mass., December 12, 2023 – Great Elm Capital Corp. (the “Company” or “GECC”), (NASDAQ: GECC), a business development company, today is pleased to declare a special cash distribution of $0.10 per common share (the “Special Distribution”). The Special Distribution will be payable on Janua |
|
| December 12, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2023 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissi |
|
| November 27, 2023 |
Exhibit 10.1 Execution Version THIRD AMENDMENT TO LOAN, GUARANTEE AND SECURITY AGREEMENT This THIRD AMENDMENT TO LOAN, GUARANTEE AND SECURITY AGREEMENT (this “Amendment”), dated as of November 22, 2023, is by and between GREAT ELM CAPITAL CORP., a Maryland corporation (“Borrower”) and CITY NATIONAL BANK (“CNB”), as lender (in such capacity, together with its successors and assigns in such capacity |
|
| November 27, 2023 |
Great Elm Capital Corp. (“GECC”) Extends Revolving Credit Facility, Lowers Cost of Capital Exhibit 99.1 Great Elm Capital Corp. (“GECC”) Extends Revolving Credit Facility, Lowers Cost of Capital WALTHAM, Mass., November 27, 2023 – Great Elm Capital Corp. (the “Company” or “GECC”), (NASDAQ: GECC), a business development company, today announced it has amended its existing $25 million revolving line of credit (the “Revolver”). The amendment provides for a three-year extension of the Revol |
|
| November 27, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2023 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissi |
|
| November 2, 2023 |
Exhibit 99.1 Great Elm Capital Corp. Announces THIRD Quarter 2023 Financial Results Company to Host Conference Call and Webcast at 8:30 AM ET Today WALTHAM, Mass., November 2, 2023 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC,”) (NASDAQ: GECC), a business development company, today announced its financial results for the third quarter ended September 30, 2023. Third Quarter and O |
|
| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of |
|
| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2023 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissio |
|
| September 22, 2023 |
US3903207039 / Great Elm Capital Corp / Great Elm Group, Inc. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Amendment No. |
|
| August 16, 2023 |
Exhibit 4.2 This Security is a Global Note within the meaning of the Indenture hereinafter referred to and is registered in the name of The Depository Trust Company or a nominee thereof. This Security may not be exchanged in whole or in part for a Security registered, and no transfer of this Security in whole or in part may be registered, in the name of any Person other than The Depository Trust C |
|
| August 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Exact name of registrant as specified in its charter) Maryland 81-2621577 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification N |
|
| August 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 16, 2023 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| August 16, 2023 |
Exhibit 4.1 FIFTH SUPPLEMENTAL INDENTURE between GREAT ELM CAPITAL CORP. and EQUINITI TRUST COMPANY, LLC, as Trustee Dated as of August 16, 2023 FIFTH SUPPLEMENTAL INDENTURE THIS FIFTH SUPPLEMENTAL INDENTURE (this “Fifth Supplemental Indenture”), dated as of August 16, 2023 is between Great Elm Capital Corp., a Maryland corporation (the “Company”), and Equiniti Trust Company, LLC (formerly known a |
|
| August 9, 2023 |
GREAT ELM CAPITAL CORP. 8.75% Notes Due 2028 Pricing Term Sheet August 8, 2023 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated August 8, 2023 Relating to Preliminary Prospectus dated August 7, 2023 Registration No. |
|
| August 9, 2023 |
$40,000,000 GREAT ELM CAPITAL CORP. 8.75% NOTES DUE 2028 TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(1) File No. 333-272790 PROSPECTUS $40,000,000 GREAT ELM CAPITAL CORP. 8.75% NOTES DUE 2028 We are an externally managed non-diversified closed-end management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, as amended (the “Investment Company Act”). We seek to gene |
|
| August 9, 2023 |
Great Elm Capital Corp. Announces Conditional Redemption of 6.50% Notes due 2024 Exhibit 99.1 Great Elm Capital Corp. Announces Conditional Redemption of 6.50% Notes due 2024 WALTHAM, Mass., Aug. 08, 2023 (GLOBAL NEWSWIRE) - Great Elm Capital Corp. (the “Company” or “GECC”) (NASDAQ: GECC) announced today that it has caused notices to be issued to the holders of its 6.50% Notes due 2024 (CUSIP No. 390320 505; NASDAQ: GECCN) (the “Notes”) regarding the Company’s exercise of its |
|
| August 9, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2023 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| August 9, 2023 |
Exhibit 99.2 CONDITIONAL NOTICE OF REDEMPTION TO THE HOLDERS OF THE 6.50% Notes due 2024 of Great Elm Capital Corp. (CUSIP No. 390320 505)* Redemption Date: September 7, 2023 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture, dated as of September 18, 2017 (the “Base Indenture”), by and between Great Elm Capital Corp., a Maryland corporation (the “Company”), and Equiniti Trust Comp |
|
| August 7, 2023 |
August 7, 2023 VIA EDGAR Mr. Jeff Foor Ms. Christina DiAngelo Fettig U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Registration Statement on Form N-2/A Filed July 24, 2023 File No. 333-272790 Dear Mr. Foor and Ms. Fettig: Great Elm Capital Corp. (“GECC”) submits this letter in response to the oral comm |
|
| August 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2023 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| August 3, 2023 |
Exhibit 99.1 Great Elm Capital Corp. Announces SECOND Quarter 2023 Financial Results Company to Host Conference Call and Webcast at 8:30 AM ET Today WALTHAM, Mass., August 3, 2023 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC,”) (NASDAQ: GECC), a business development company, today announced its financial results for the second quarter ended June 30, 2023. Second Quarter and Other |
|
| August 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of regis |
|
| July 24, 2023 |
July 24, 2023 VIA EDGAR Mr. Jeff Foor Ms. Christina DiAngelo Fettig U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Registration Statement on Form N-2 Filed June 16, 2023 File No. 333-272790 Dear Mr. Foor and Ms. Fettig: Great Elm Capital Corp. (“GECC”) submits this letter in response to the oral comment |
|
| June 16, 2023 |
GECC / Great Elm Capital Corp / Lenders Funding LLC /California - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3) Great Elm Capital Corp. (Name of Issuer) Common Stock, Par Value $0.01 per share (Title of Class of Securities) 390320109 (CUSIP Number) June 14, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
|
| June 1, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2023 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fi |
|
| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ck UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of r |
|
| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2023 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fil |
|
| May 4, 2023 |
Exhibit 99.1 Great Elm Capital Corp. Announces FIRST Quarter 2023 Financial Results Company to Host Conference Call and Webcast at 8:30 AM ET Today WALTHAM, Mass., May 4, 2023 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC,”) (NASDAQ: GECC), a business development company, today announced its financial results for the first quarter ended March 31, 2023. First Quarter and Other Rece |
|
| April 21, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by R |
|
| April 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Def |
|
| April 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 10, 2023 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| April 11, 2023 |
GREAT ELM CAPITAL CORP. ANNOUNCES DATE OF ANNUAL MEETING OF STOCKHOLDERS Exhibit 99.1 GREAT ELM CAPITAL CORP. ANNOUNCES DATE OF ANNUAL MEETING OF STOCKHOLDERS WALTHAM, MA, April 11, 2023 – Great Elm Capital Corp. (the “Company” or “GECC”) (NASDAQ: GECC) announced today that its 2023 Annual Stockholders’ Meeting will be held on June 1, 2023. The notice of annual meeting and proxy statement containing the meeting details are expected to be available on or about April 21, |
|
| March 27, 2023 |
GECC / Great Elm Capital Corp / Lenders Funding LLC /California - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) Great Elm Capital Corp. (Name of Issuer) Common Stock, Par Value $0.01 per share (Title of Class of Securities) 390320109 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
|
| March 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of registrant as specif |
|
| March 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2023 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission F |
|
| March 2, 2023 |
Exhibit 99.1 Great Elm Capital Corp. Announces Fourth Quarter and full year 2022 Financial Results Company to Host Conference Call and Webcast at 8:30 AM ET Today WALTHAM, Mass., March 2, 2023 – Great Elm Capital Corp. (“we,” “our,” the “Company” or “GECC,”) (NASDAQ: GECC), a business development company, today announced its financial results for the fourth quarter and full year ended December 31, |
|
| March 2, 2023 |
Great Elm Specialty Finance, LLC Delaware Exhibit 21.1 Subsidiaries Great Elm Specialty Finance, LLC Delaware |
|
| February 17, 2023 |
GECC / Great Elm Capital Corp / Imperial Capital Asset Management, LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Great Elm Capital Corp. (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 390320109 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to des |
|
| January 25, 2023 |
US3903207039 / Great Elm Capital Corp / Great Elm Group, Inc. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Amendment No. |
|
| January 4, 2023 |
US3903207039 / Great Elm Capital Corp / Great Elm Group, Inc. - SC 13D/A Activist Investment CUSIP No. 390320703 Page 1 of 6 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Amendment No. 6) UNDER THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 390320703 (CUSIP Number) Peter A. Reed Great Elm Group, Inc. 800 South Street, Suite 230 Waltham, MA 02453 Tele |
|
| November 14, 2022 |
Exhibit 99.1 Great Elm Capital Corp. Partners with Berkadia to Launch Healthcare Finance Venture Together, Great Elm Capital Corp. and Berkadia create Great Elm Healthcare Finance, a venture to provide capital to US healthcare related businesses. NASHVILLE, TN., November 14, 2022 (GLOBE NEWSWIRE) - Great Elm Capital Corp. (?we,? ?us,? ?our,? or ?GECC,?) (NASDAQ: GECC), a business development compa |
|
| November 14, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissi |
|
| November 3, 2022 |
Great Elm Capital Corp. NASDAQ: GECC Investor Presentation Quarter Ended September 30, 2022 November 3, 2022 Exhibit 99.2 Statements in this communication that are not historical facts are “forward-looking” statements within the meaning of the federal securities laws. These statements are often, but not always, made through the use of words or phrases such as “expect,” “anticipate,” “should,” “wil |
|
| November 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissio |
|
| November 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of |
|
| November 3, 2022 |
Exhibit 99.1 Great Elm Capital Corp. Announces Third Quarter 2022 Financial Results Company to Host Quarterly Conference Call and Webcast at 11:00 AM ET Today WALTHAM, Mass., November 3, 2022 – Great Elm Capital Corp. (“we,” “us,” “our,” the “Company” or “GECC,”) (NASDAQ: GECC), a business development company, today announced its financial results for the third quarter ended September 30, 2022. Fi |
|
| August 4, 2022 |
Exhibit 99.1 Great Elm Capital Corp. Announces SECOND Quarter 2022 Financial Results Company to Host Quarterly Conference Call and Webcast at 11:00 AM ET Today WALTHAM, Mass., August 4, 2022 ? Great Elm Capital Corp. (?we,? ?us,? ?our,? the ?Company? or ?GECC,?) (NASDAQ: GECC), a business development company, today announced its financial results for the second quarter ended June 30, 2022. Financi |
|
| August 4, 2022 |
Great Elm Capital Corp. NASDAQ: GECC Investor Presentation Quarter Ended June 30, 2022 August 4, 2022 Exhibit 99.2 Statements in this communication that are not historical facts are “forward-looking” statements within the meaning of the federal securities laws. These statements are often, but not always, made through the use of words or phrases such as “expect,” “anticipate,” “should,” “will,” “es |
|
| August 4, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| August 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q m UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of reg |
|
| August 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| July 1, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ?) Filed by the Registrant ? Filed by a party other than the Registrant ?? Check the appropriate box: ?? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for Use of the Commission Only (as permitte |
|
| July 1, 2022 |
July 1, 2022 VIA EDGAR Mr. David Orlic U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Preliminary Proxy Statement on Schedule 14A Filed June 6, 2022 File No. 814-01211 Dear Mr. Orlic: Great Elm Capital Corp. (?GECC?) submits this letter in response to the oral comments of the staff (the ?Staff?) of the |
|
| June 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Great Elm Capital Corp. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 390320703 (CUSIP Number) Northern Right Capital Management, L.P. Attn: Matthew A. Drapkin 9 Old Kings Hwy S. 4th Floor Darien, Connecticut 06820 (203) 9 |
|
| June 17, 2022 |
US3903207039 / Great Elm Capital Corp / Great Elm Group, Inc. - SC 13D/A Activist Investment CUSIP No. 390320703 Page 1 of 6 Jones Day Draft of June 17, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Amendment No. 5) UNDER THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 390320703 (CUSIP Number) Peter A. Reed Great Elm Group, Inc. 800 South Street, |
|
| June 13, 2022 |
GREAT ELM CAPITAL CORP. ANNOUNCES FINAL RESULTS OF ITS RIGHTS OFFERING Exhibit 99.1 GREAT ELM CAPITAL CORP. ANNOUNCES FINAL RESULTS OF ITS RIGHTS OFFERING WALTHAM, MA, June 13, 2022 ? Great Elm Capital Corp. (the ?Company? or ?GECC?) (NASDAQ: GECC) announced the final results of its non-transferable rights offering, which entitled holders of rights to purchase one new share of common stock for every one right held at a subscription price of $12.50 per share. The offe |
|
| June 13, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission F |
|
| June 7, 2022 |
EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below (the “Parties”) agree to the joint filing on behalf of each of them of a Statement on Schedule 13D dated, June 6, 2022 (and including any further amendments thereto), with respect to the common stock, par value $0.01 per share, of Great |
|
| June 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Great Elm Capital Corp. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 390320703 (CUSIP Number) Northern Right Capital Management, L.P. Attn: Matthew A. Drapkin 9 Old Kings Hwy S. 4th Floor Darien, Connecticut 06820 (203) 95 |
|
| June 6, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ?) Filed by the Registrant ? Filed by a party other than the Registrant ?? Check the appropriate box: ? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for Use of the Commission Only (as permitted |
|
| May 24, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fi |
|
| May 24, 2022 |
GREAT ELM CAPITAL CORP. ANNOUNCES DATE OF ANNUAL MEETING OF STOCKHOLDERS Exhibit 99.1 GREAT ELM CAPITAL CORP. ANNOUNCES DATE OF ANNUAL MEETING OF STOCKHOLDERS WALTHAM, MA, May 24, 2022 ? Great Elm Capital Corp. (the ?Company? or ?GECC?) (NASDAQ: GECC) announced today that its 2022 Annual Stockholders? Meeting will be held on August 1, 2022. The notice of annual meeting and proxy statement containing the meeting details are expected to be available on or about July 1, 2 |
|
| May 18, 2022 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(3) Registration No. 333-263282 PROSPECTUS GREAT ELM CAPITAL CORP. Up to 4,601,391 Shares of Common Stock Issuable Upon Exercise of Rights To Subscribe for Such Shares We are an externally managed non-diversified closed-end management investment company that elected to be regulated as a business development company (?BDC?) under the Investment Company |
|
| May 17, 2022 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(3) Registration No. 333-239839 PROSPECTUS GREAT ELM CAPITAL CORP. Up to 4,601,391 Shares of Common Stock Issuable Upon Exercise of Rights To Subscribe for Such Shares We are an externally managed non-diversified closed-end management investment company that elected to be regulated as a business development company (?BDC?) under the Investment Company |
|
| May 17, 2022 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated May 17, 2022 Relating to Prospectus dated May 17, 2022 Registration No. |
|
| May 17, 2022 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated May 17, 2022 Relating to Prospectus dated May 17, 2022 Registration No. |
|
| May 17, 2022 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated May 17, 2022 Relating to Prospectus dated May 17, 2022 Registration No. |
|
| May 13, 2022 |
May 13, 2022 VIA EDGAR Mr. David Orlic Ms. Christina DiAngelo Fettig Ms. Melissa McDonough U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Amendment No. 2 to Registration Statement on Form N-2 Filed May 11, 2022 File No. 333-263282 Dear Mr. Orlic, Ms. Fettig and Ms. McDonough: Great Elm Capital Corp. (“G |
|
| May 13, 2022 |
GECC / Great Elm Capital Corp / Great Elm Group, Inc. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D (Amendment No. |
|
| May 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fi |
|
| May 11, 2022 |
Exhibit 99.1 Great Elm Capital Corp. Announces FIRST Quarter 2022 Financial Results Company to Host Quarterly Conference Call and Webcast at 11:30 AM ET Today WALTHAM, Mass., May 11, 2022 ? Great Elm Capital Corp. (?we,? ?us,? ?our,? the ?Company? or ?GECC,?) (NASDAQ: GECC), a business development company, today announced its financial results for the first quarter ended March 31, 2022. Financial |
|
| May 11, 2022 |
CORRESP 1 filename1.htm May 11, 2022 VIA EDGAR Mr. David Orlic Ms. Christina DiAngelo Fettig Ms. Melissa McDonough U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Amendment No. 1 to Form 10-K Filed April 19, 2022 File No. 814-01211 Amendment No. 1 to Registration Statement on Form N-2 Filed April 19, 202 |
|
| May 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of regi |
|
| May 11, 2022 |
Great Elm Capital Corp. NASDAQ: GECC Investor Presentation Quarter Ended March 31, 2022 May 11, 2022 Exhibit 99.2 Statements in this communication that are not historical facts are ?forward-looking? statements within the meaning of the federal securities laws. These statements are often, but not always, made through the use of words or phrases such as ?expect,? ?anticipate,? ?should,? ?will,? ?est |
|
| May 5, 2022 |
Regulation FD Disclosure, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fil |
|
| April 19, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of |
|
| April 19, 2022 |
April 19, 2022 VIA EDGAR Mr. David Orlic Ms. Christina DiAngelo Fettig Ms. Melissa McDonough U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Form 10-K Filed March 4, 2022 File No. 814-01211 Registration Statement on Form N-2 Filed March 4, 2022 File No. 333-263282 Dear Mr. Orlic, Ms. Fettig and Ms. McDon |
|
| March 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| March 15, 2022 |
Great Elm Capital Corp. Announces New Board Member EX-99.1 2 gecc-ex9916.htm EX-99.1 Exhibit 99.1 Great Elm Capital Corp. Announces New Board Member WALTHAM, Mass., March 15, 2022 (GLOBE NEWSWIRE) - Great Elm Capital Corp. (“we,” “us,” “our,” or “GECC”) (NASDAQ: GECC), today announced that Chad Perry has been appointed to its Board of Directors. Mr. Perry’s appointment, along with recent additions Matthew Drapkin and Richard Cohen, represent the B |
|
| March 4, 2022 |
GREAT ELM CAPITAL CORP. ANNOUNCES APPROVAL OF $50 MILLION RIGHTS OFFERING Exhibit 99.5 GREAT ELM CAPITAL CORP. ANNOUNCES APPROVAL OF $50 MILLION RIGHTS OFFERING WALTHAM, Mass., March 4, 2022 (GLOBE NEWSWIRE) - Great Elm Capital Corp. (?GECC?) (NASDAQ: GECC) announced today that its Board of Directors has approved a non-transferable rights offering to purchase shares of GECC?s common stock and has filed a registration statement with the Securities and Exchange Commission |
|
| March 4, 2022 |
EX-99.1 2 ny20003136x2ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 GREAT ELM CAPITAL CORP. ANNOUNCES FOURTH QUARTER AND FULL YEAR 2021 FINANCIAL RESULTS Company to Host Quarterly Conference Call and Webcast at 11:00 AM ET Today WALTHAM, Mass., March 4, 2022 – Great Elm Capital Corp. (“we,” “us,” “our,” the “Company” or “GECC”) (NASDAQ: GECC), a business development company, today announced its financial r |
|
| March 4, 2022 |
Exhibit 99.6 GREAT ELM CAPITAL CORP. CONTINUES SPECIALTY FINANCE EXPANSION, LAUNCHES A JOINT VENTURE WITH UTICA LEASECO, LLC WALTHAM, Mass., March 4, 2022 (GLOBE NEWSWIRE) - Great Elm Capital Corp. (?we,? ?us,? ?our,? or ?GECC?) (NASDAQ: GECC), a business development company, today announced that it has launched Great Elm Utica, LLC (?GEU?), a joint venture between GECC and Utica Leaseco, LLC (?Ut |
|
| March 4, 2022 |
GREAT ELM CAPITAL CORP. ANNOUNCES CEO TRANSITION Exhibit 99.4 GREAT ELM CAPITAL CORP. ANNOUNCES CEO TRANSITION WALTHAM, Mass., March 4, 2022 (GLOBE NEWSWIRE) ? Great Elm Capital Corp. (?we,? ?us,? ?our,? the ?Company? or ?GECC?) (NASDAQ: GECC), a business development company, today announced that Peter Reed has resigned as Chief Executive Officer and stepped down from its board of the directors (the ?Board?). The Board has unanimously appointed |
|
| March 4, 2022 |
GREAT ELM CAPITAL CORP. ANNOUNCES NEW BOARD LEADERSHIP Exhibit 99.3 GREAT ELM CAPITAL CORP. ANNOUNCES NEW BOARD LEADERSHIP New members will enhance board?s focus on portfolio performance and value for shareholders WALTHAM, Mass., March 4, 2022 (GLOBE NEWSWIRE) ? Great Elm Capital Corp. (?we,? ?us,? ?our,? the ?Company? or ?GECC?) (NASDAQ: GECC), a business development company, today announced various enhancements to its leadership with the appointment |
|
| March 4, 2022 |
Exhibit 99.2 |
|
| March 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of registrant as specif |
|
| March 4, 2022 |
Description of Registered Securities Exhibit 4.9 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES AND EXCHANGE ACT OF 1934 As of March 4, 2022, Great Elm Capital Corp. has four classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): our (1) common stock, (2) 6.75% Notes due 2025, (3) 6.50% Notes due 2024 and (4) 5.875% Not |
|
| March 4, 2022 |
Great Elm Specialty Finance, LLC Exhibit 21.1 Subsidiaries Great Elm Specialty Finance, LLCDelaware Lenders Funding, LLCNew York Prestige Capital Finance, LLCDelaware |
|
| March 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported):?March 2, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission F |
|
| March 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissi |
|
| March 2, 2022 |
Exhibit 3.1 GREAT ELM CAPITAL CORP. ARTICLES OF AMENDMENT THIS IS TO CERTIFY THAT: FIRST: The charter (the ?Charter?) of Great Elm Capital Corp., a Maryland corporation (the ?Corporation?), is hereby amended to provide that every six shares of Common Stock, $0.01 par value per share, of the Corporation, which were issued and outstanding immediately prior to the Reverse Stock Split Effective Time ( |
|
| February 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* GREAT ELM CAPITAL CORP. (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 390320109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
|
| February 14, 2022 |
GECC / Great Elm Capital Corp / Imperial Capital Asset Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Great Elm Capital Corp. (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 390320109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
|
| February 10, 2022 |
Regulation FD Disclosure, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissi |
|
| February 4, 2022 |
GECC / Great Elm Capital Corp / Lenders Funding LLC /California - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Great Elm Capital Corp. (Name of Issuer) Common Stock, Par Value $0.01 per share (Title of Class of Securities) 390320109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
|
| February 3, 2022 |
Exhibit 99.1 GREAT ELM CAPITAL CORP. EXPANDS ITS SPECIALTY FINANCE FOOTPRINT WITH THE PURCHASE OF A MAJORITY EQUITY INTEREST IN STERLING COMMERCIAL CREDIT WALTHAM, Mass., February 3, 2022 (GLOBE NEWSWIRE) - Great Elm Capital Corp. (?we,? ?us,? ?our,? or ?GECC,?) (NASDAQ: GECC), a business development company, today announced that it has acquired a majority equity interest in Sterling Commercial Cr |
|
| February 3, 2022 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissio |
|
| January 27, 2022 |
Great Elm Capital Corp. Announces Reverse Stock Split Exhibit 99.1 Great Elm Capital Corp. Announces Reverse Stock Split Waltham, Mass., January 27, 2022 - Great Elm Capital Corp. (?GECC? or the ?Company?) (NASDAQ: GECC), a business development company, announced today that its Board of Directors has approved a 6-for-1 reverse stock split of the Company?s outstanding common stock. As a result of the reverse stock split, every six shares of the Compan |
|
| January 27, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 27, 2022 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissio |
|
| January 10, 2022 |
January 10, 2022 VIA EDGAR Mr. David Orlic Ms. Christina DiAngelo Fettig U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Registration Statement on Form N-2 Pre-Effective Amendment No. 1 Filed December 23, 2021 File No. 333-261274 Dear Mr. Orlic and Ms. Fettig: Great Elm Capital Corp. (?GECC?) submits thi |
|
| December 23, 2021 |
CORRESP 1 filename1.htm December 23, 2021 VIA EDGAR Mr. David Orlic Ms. Christina DiAngelo Fettig U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Registration Statement on Form N-2 Filed November 22, 2021 File No. 333-261274 Dear Mr. Orlic and Ms. Fettig: Great Elm Capital Corp. (“GECC”) submits this let |
|
| November 19, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 19, 2021 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissi |
|
| November 19, 2021 |
Exhibit 99.1 Great Elm Capital Corp. Announces RECORD AND PAYMENT DATES FOR FOURTH QUARTER 2021 QUARTERLY CASH DISTRIBUTION OF $0.10 PER SHARE WALTHAM, MA, November 19, 2021 ? Great Elm Capital Corp. (?we,? ?us,? ?our,? or ?GECC,?) (NASDAQ: GECC), a business development company, today announced that its fourth quarter 2021 distribution of $0.10 per share in cash is payable on December 30, 2021 to |
|
| November 5, 2021 |
Exhibit 99.2 Statements in this communication that are not historical facts are ?forward-looking? statements within the meaning of the federal securities laws. These statements are often, but not always, made through the use of words or phrases such as ?expect,? ?anticipate,? ?should,? ?will,? ?estimate,? ?designed,? ?seek,? ?continue,? ?upside,? ?potential,? ?preliminary? and similar expressions. |
|
| November 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2021 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commissio |
|
| November 5, 2021 |
EX-99.1 2 gecc-ex9916.htm EX-99.1 Exhibit 99.1 Great Elm Capital Corp. Announces THIRD Quarter 2021 Financial Results Company to Host Quarterly Conference Call at 11:00 AM ET Today WALTHAM, MA, November 5, 2021 – Great Elm Capital Corp. (“we,” “us,” “our,” or “GECC,”) (NASDAQ: GECC), a business development company, today announced its financial results for the third quarter and nine months ended S |
|
| November 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of |
|
| November 4, 2021 |
GREAT ELM CAPITAL CORP. 9,376,223 Shares of Common Stock TABLE OF CONTENTS Filed pursuant to Rule 424(b)(3) File No. 333-259701 PROSPECTUS GREAT ELM CAPITAL CORP. ? 9,376,223 Shares of Common Stock We are an externally managed non-diversified closed-end management investment company that elected to be regulated as a business development company (?BDC?) under the Investment Company Act of 1940, as amended (the ?Investment Company Act?). We seek to genera |
|
| October 22, 2021 |
October 22, 2021 VIA EDGAR Mr. David Orlic Ms. Christina DiAngelo Fettig U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Registration Statement on Form N-2 Filed September 21, 2021 File No. 333-259701 Dear Mr. Orlic and Ms. Fettig: Great Elm Capital Corp. (?GECC?) submits this letter in response to the o |
|
| October 13, 2021 |
GECC / Great Elm Capital Corp / Lenders Funding LLC /California - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Great Elm Capital Corp. (Name of Issuer) Common Stock, Par Value $0.01 per share (Title of Class of Securities) 390320109 (CUSIP Number) September 20, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
|
| September 28, 2021 |
GECC / Great Elm Capital Corp / Great Elm Group, Inc. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D (Amendment No. |
|
| September 20, 2021 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 20, 2021 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commiss |
|
| September 20, 2021 |
Great Elm Capital Corp. Announces Acquisition of Majority Interest in Lenders funding, LLC Exhibit 99.1 Great Elm Capital Corp. Announces Acquisition of Majority Interest in Lenders funding, LLC WALTHAM, MA, September 20, 2021 ? Great Elm Capital Corp. (?we,? ?us,? ?our,? or ?GECC,?) (NASDAQ: GECC), a business development company, today announced that it has acquired a majority equity interest in Lenders Funding, LLC (?Lenders Funding?) a private funding and risk sharing source for fact |
|
| August 23, 2021 |
Exhibit 99.1 Great Elm Capital Corp. Announces RECORD AND PAYMENT DATES FOR THIRD QUARTER 2021 QUARTERLY CASH DISTRIBUTION OF $0.10 PER SHARE WALTHAM, MA, August 23, 2021 ? Great Elm Capital Corp. (?we,? ?us,? ?our,? or ?GECC,?) (NASDAQ: GECC), a business development company, today announced that its third quarter 2021 distribution of $0.10 per share in cash is payable on September 30, 2021 to sto |
|
| August 23, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 23, 2021 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| August 3, 2021 |
Exhibit 99.1 Great Elm Capital Corp. Announces SECOND Quarter 2021 Financial Results Company to Host Quarterly Conference Call at 11:00 AM ET Today WALTHAM, MA, August 3, 2021 ? Great Elm Capital Corp. (?we,? ?us,? ?our,? or ?GECC,?) (NASDAQ: GECC), a business development company, today announced its financial results for the second quarter and six months ended June 30, 2021. Financial and Operati |
|
| August 3, 2021 |
Exhibit 99.2 Statements in this communication that are not historical facts are ?forward-looking? statements within the meaning of the federal securities laws. These statements are often, but not always, made through the use of words or phrases such as ?expect,? ?anticipate,? ?should,? ?will,? ?estimate,? ?designed,? ?seek,? ?continue,? ?upside,? ?potential,? ?preliminary? and similar expressions. |
|
| August 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2021 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission |
|
| August 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of regis |
|
| June 23, 2021 |
Exhibit 4.1 FOURTH SUPPLEMENTAL INDENTURE between GREAT ELM CAPITAL CORP. and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, as Trustee Dated as of June 23, 2021 FOURTH SUPPLEMENTAL INDENTURE THIS FOURTH SUPPLEMENTAL INDENTURE (this ?Fourth Supplemental Indenture?), dated as of June 23, 2021 is between Great Elm Capital Corp., a Maryland corporation (the ?Company?), and American Stock Transfer & Tr |
|
| June 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2021 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission F |
|
| June 23, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2021 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission F |
|
| June 23, 2021 |
Exhibit 99.2 NOTICE OF REDEMPTION TO THE HOLDERS OF THE 6.50% Senior Notes due 2022 of Great Elm Capital Corp. (CUSIP No. 390320 307)* Redemption Date: July 23, 2021 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture, dated as of September 18, 2017 (the ?Base Indenture?), by and between Great Elm Capital Corp., a Maryland corporation (the ?Company?), and American Stock Transfer & Tr |
|
| June 23, 2021 |
Exhibit 4.2 This Security is a Global Note within the meaning of the Indenture hereinafter referred to and is registered in the name of The Depository Trust Company or a nominee thereof. This Security may not be exchanged in whole or in part for a Security registered, and no transfer of this Security in whole or in part may be registered, in the name of any Person other than The Depository Trust C |
|
| June 23, 2021 |
Great Elm Capital Corp. Announces Conditional Redemption of 6.50% Notes due 2022 Exhibit 99.1 Great Elm Capital Corp. Announces Conditional Redemption of 6.50% Notes due 2022 Waltham, Mass., June 23, 2021 - Great Elm Capital Corp. (the ?Company? or ?GECC?) (NASDAQ: GECC) announced today that it has caused notices to be issued to the holders of its 6.50% Notes due 2022 (CUSIP No. 390320 307; NASDAQ: GECCL) (the ?Notes?) regarding the Company?s exercise of its option to redeem, |
|
| June 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Great Elm Capital Corp. (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 81-2621577 (I.R.S. Employer Identification N |
|
| June 21, 2021 |
$50,000,000 GREAT ELM CAPITAL CORP. 5.875% NOTES DUE 2026 TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(1) File No. 333-256051 PROSPECTUS $50,000,000 GREAT ELM CAPITAL CORP. 5.875% NOTES DUE 2026 We are an externally managed non-diversified closed-end management investment company that elected to be regulated as a business development company (?BDC?) under the Investment Company Act of 1940, as amended (the ?Investment Company Act?). We seek to generat |
|
| June 17, 2021 |
GREAT ELM CAPITAL CORP. 5.875% Notes Due 2026 Pricing Term Sheet June 16, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated June 16, 2021 Relating to Preliminary Prospectus dated June 15, 2021 Registration No. |
|
| June 15, 2021 |
June 15, 2021 VIA EDGAR Ms. Deborah O?Neal Ms. Christina DiAngelo Fettig U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549 Re: Great Elm Capital Corp. Registration Statement on Form N-2 Filed May 12, 2021 File No. 333-256051 Dear Ms. O?Neal and Ms. Fettig: Great Elm Capital Corp. (?GECC?) submits this letter in response to the oral c |
|
| June 8, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2021 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fi |
|
| May 21, 2021 |
Exhibit 99.1 Great Elm Capital Corp. Announces RECORD AND PAYMENT DATES FOR SECOND QUARTER 2021 QUARTERLY CASH DISTRIBUTION OF $0.10 PER SHARE WALTHAM, MA, May 21, 2021 ? Great Elm Capital Corp. (?we,? ?us,? ?our,? or ?GECC,?) (NASDAQ: GECC), a business development company, today announced that its second quarter 2021 distribution of $0.10 per share in cash is payable on June 30, 2021 to stockhold |
|
| May 21, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2021 Great Elm Capital Corp. (Exact name of Registrant as Specified in Its Charter) Maryland 814-01211 81-2621577 (State or Other Jurisdiction of Incorporation) (Commission Fi |
|
| May 7, 2021 |
Exhibit 99.2 Statements in this communication that are not historical facts are ?forward-looking? statements within the meaning of the federal securities laws. These statements are often, but not always, made through the use of words or phrases such as ?expect,? ?anticipate,? ?should,? ?will,? ?estimate,? ?designed,? ?seek,? ?continue,? ?upside,? ?potential,? ?preliminary? and similar expressions. |
|
| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-01211 Great Elm Capital Corp. (Exact name of regi |
