GECC insider filings
Great Elm Capital Corp. — 46 most recent insider filings (SEC Forms 3/4/5) from EDGAR, normalized by FilingPulse. Latest filing: 2026-09-23. Screen GECC transaction legs live →
Insider transaction summary — last 90 days
2026-07-10 to 2026-10-08, from the filings listed below: 3 insider filings (Forms 3/4/5). Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): none reported.
- Open-market sales (code S, non-derivative): none reported.
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 7.
By insider — same window
Open-market purchase/sale legs on non-derivative securities, grouped by the filing's reporting owner(s); joint filings appear once. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Insider | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|
| Davis Keri — CFO | 1 | — | — | 3 |
| Kleinman Adam M — CCO and Secretary | 1 | — | — | 3 |
| Great Elm Group, Inc. — 10% owner | 1 | — | — | 1 |
Recent insider filings — Great Elm Capital Corp.
| Filed | Form | Insider | Reported transactions | Source |
|---|---|---|---|---|
| 2026-09-23 | 4 | Kleinman Adam M — CCO and Secretary | Grant/award (A): 15,292 @ $0 · Grant/award (A): 791 @ $0 · Tax withholding (F): 3,451 @ $5.37 | EDGAR |
| 2026-09-23 | 4 | Davis Keri — CFO | Grant/award (A): 7,646 @ $0 · Grant/award (A): 1,372 @ $0 · Tax withholding (F): 2,972 @ $5.37 | EDGAR |
| 2026-09-23 | 4 | Great Elm Group, Inc. — 10% owner | Other (J): 111,958 @ $0 | EDGAR |
| 2026-06-30 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Other (J): 180,000 @ $5.45 | EDGAR |
| 2025-11-10 | 4 | Kaplan Matthew D — CEO and President | Purchase (P): 19,650 @ $7.64 | EDGAR |
| 2025-09-26 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 1,696 @ $11.45 · Sale (S): 2,313 @ $11.45 | EDGAR |
| 2025-09-23 | 4 | Davis Keri — CFO | Grant/award (A): 3,820 @ $0 · Grant/award (A): 1,406 @ $0 · Tax withholding (F): 2,725 @ $11.43 | EDGAR |
| 2025-09-23 | 4 | Kleinman Adam M — CCO and Secretary | Grant/award (A): 5,458 @ $0 · Grant/award (A): 156 @ $0 · Tax withholding (F): 1,361 @ $11.43 | EDGAR |
| 2025-09-23 | 4 | Kaplan Matthew D — CEO and President | Grant/award (A): 37,117 @ $0 · Grant/award (A): 1,055 @ $0 · Tax withholding (F): 8,211 @ $11.43 | EDGAR |
| 2025-09-23 | 4 | Great Elm Group, Inc. — 10% owner | Other (J): 16,612 @ $0 · Other (J): 63,189 @ $0 | EDGAR |
| 2025-09-23 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 48,248 @ $11.45 · Sale (S): 1,490 @ $11.45 | EDGAR |
| 2025-09-19 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 100 @ $11.45 · Sale (S): 14,737 @ $11.45 | EDGAR |
| 2025-09-17 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 20,938 @ $11.45 | EDGAR |
| 2025-08-27 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 25,711 @ $11.20 · Sale (S): 21,472 @ $11.20 | EDGAR |
| 2025-08-22 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 26,705 @ $11.20 · Sale (S): 17,956 @ $11.20 | EDGAR |
| 2025-08-20 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 363 @ $11.20 · Sale (S): 7,793 @ $11.20 | EDGAR |
| 2025-07-14 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 38,793 @ $10.95 | EDGAR |
| 2025-07-10 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 3,129 @ $10.95 · Sale (S): 8,661 @ $10.95 | EDGAR |
| 2025-07-08 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 11,852 @ $10.95 · Sale (S): 3,218 @ $10.95 | EDGAR |
| 2025-07-03 | 4 | Great Elm Strategic Partnership I, LLC — 10% owner | Sale (S): 2,642 @ $11.20 · Sale (S): 7,288 @ $10.97 · Sale (S): 2,714 @ $11 · Sale (S): 13,324 @ $10.95 · Sale (S): 11,021 @ $10.95 | EDGAR |
| 2025-06-13 | 4 | COHEN RICHARD M — Director | Purchase (P): 36 @ $11.01 | EDGAR |
| 2025-06-12 | 4 | COHEN RICHARD M — Director | Purchase (P): 5,000 @ $11.18 · Purchase (P): 3,100 @ $10.95 | EDGAR |
| 2025-06-11 | 4 | COHEN RICHARD M — Director | Purchase (P): 1,000 @ $10.64 · Purchase (P): 1,500 @ $10.74 · Purchase (P): 1,500 @ $10.83 · Purchase (P): 2,500 @ $11.12 · Purchase (P): 3,500 @ $11.13 | EDGAR |
| 2025-06-05 | 4 | Perry Chad — Director | Purchase (P): 1,850 @ $10.58 | EDGAR |
| 2024-12-23 | 4 | Great Elm Group, Inc. — 10% owner | Other (J): 2,643 @ $10.22 | EDGAR |
| 2024-09-27 | 4/A | Kleinman Adam M — CCO and Secretary | Other (J): 6,194 @ $0 · Other (J): 2,093 @ $0 | EDGAR |
| 2024-09-27 | 4/A | Davis Keri — CFO | Other (J): 647 @ $0 · Other (J): 213 @ $0 | EDGAR |
| 2024-09-25 | 4/A | Great Elm Group, Inc. — 10% owner | Other (J): 25,573 @ $10.09 · Other (J): 9,177 @ $10.09 | EDGAR |
| 2024-09-24 | 4 | Davis Keri — CFO | Other (J): 3,717 @ $0 · Other (J): 781 @ $0 | EDGAR |
| 2024-09-24 | 4 | Great Elm Group, Inc. — 10% owner | Other (J): 31,879 @ $10.09 · Other (J): 30,584 @ $10.09 · Other (J): 14,977 @ $10.09 · Other (J): 10,811 @ $10.09 | EDGAR |
| 2024-09-24 | 4 | Kleinman Adam M — CCO and Secretary | Other (J): 6,194 @ $0 · Other (J): 2,093 @ $0 | EDGAR |
| 2024-09-24 | 4 | Kaplan Matthew D — CEO and President | Other (J): 42,121 @ $0 | EDGAR |
| 2024-09-17 | 4 | Drapkin Matthew A — Director | Purchase (P): 9,600 @ $9.92 | EDGAR |
| 2024-08-21 | 4 | Drapkin Matthew A — Director | Purchase (P): 3,189 @ $10.01 · Purchase (P): 1,310 @ $10.12 | EDGAR |
| 2024-03-04 | 4 | Great Elm Group, Inc. — 10% owner | Other (J): 1,239 @ $10.82 | EDGAR |
| 2024-02-22 | 4 | Great Elm Group, Inc. — 10% owner | Other (J): 2,389 @ $10.69 | EDGAR |
| 2023-11-21 | 4 | Great Elm Group, Inc. — 10% owner | Purchase (P): 27,000 @ $10.05 | EDGAR |
| 2023-10-11 | 4 | Kaplan Matthew D — CEO and President | Other (J): 38,668 @ $0 | EDGAR |
| 2023-09-22 | 4 | Great Elm Group, Inc. — 10% owner | Other (J): 26,360 @ $9.31 | EDGAR |
| 2023-09-22 | 4 | Davis Keri — CFO | Other (J): 5,585 @ $0 · Other (J): 196 @ $0 | EDGAR |
| 2023-08-16 | 4 | COHEN RICHARD M — Director | Purchase (P): 2,612 @ $9.47 | EDGAR |
| 2023-05-23 | 4 | Great Elm Group, Inc. — 10% owner | Other (J): 37,268 @ $0 | EDGAR |
| 2023-05-16 | 4 | Kuperschmid Mark — Director | Purchase (P): 2,000 @ $8.01 · Purchase (P): 300 @ $8.01 · Purchase (P): 2,700 @ $8.02 | EDGAR |
| 2023-03-31 | 4 | Davis Keri — CFO | Other (J): 5,894 @ $0 · Other (J): 23 @ $0 | EDGAR |
| 2023-03-14 | 4 | Kaplan Matthew D — CEO and President | Purchase (P): 1,100 @ $9.29 | EDGAR |
| 2023-03-09 | 4 | Kaplan Matthew D — CEO and President | Purchase (P): 5,020 @ $9.13 · Purchase (P): 2,201 @ $9.46 · Purchase (P): 1,679 @ $9.41 | EDGAR |
Recent 8-K events — Great Elm Capital Corp.
| Filed | Form | Items reported | Source |
|---|---|---|---|
| 2026-08-05 | 8-K | 2.02 — Results of Operations and Financial Condition 9.01 — Financial Statements and Exhibits | EDGAR |
| 2026-07-20 | 8-K | 8.01 — Other Events 9.01 — Financial Statements and Exhibits | EDGAR |
| 2026-06-08 | 8-K | 1.01 — Entry into a Material Definitive Agreement 9.01 — Financial Statements and Exhibits | EDGAR |
| 2026-06-01 | 8-K | 5.07 — Submission of Matters to a Vote of Security Holders | EDGAR |
| 2026-05-04 | 8-K | 2.02 — Results of Operations and Financial Condition 5.02 — Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 9.01 — Financial Statements and Exhibits | EDGAR |
| 2026-04-27 | 8-K | 8.01 — Other Events 9.01 — Financial Statements and Exhibits | EDGAR |
| 2026-03-02 | 8-K | 8.01 — Other Events 9.01 — Financial Statements and Exhibits | EDGAR |
| 2026-03-02 | 8-K | 2.02 — Results of Operations and Financial Condition 5.02 — Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 9.01 — Financial Statements and Exhibits | EDGAR |
| 2025-11-04 | 8-K | 2.02 — Results of Operations and Financial Condition 9.01 — Financial Statements and Exhibits | EDGAR |
| 2025-10-07 | 8-K | 2.02 — Results of Operations and Financial Condition 8.01 — Other Events 9.01 — Financial Statements and Exhibits | EDGAR |
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