4

Changes in Ownership

Great Elm Capital Corp. Filed 2020-10-01 Acc 0001209191-20-052707

10% owner acquired 2,255,088 shares (option exercise)

10% owner acquired 863,337 shares (other)
10% owner acquired 199,228 shares (grant or award)

From the SEC's structured data for this filing

Trades in this filing

Insider	Date	Transaction	Shares	Price	Value	Owned after	D/I
Great Elm Capital Group, Inc. 10% owner	2020-05-15	Grant or award	+49,828			2,016,495	D
Great Elm Capital Group, Inc. 10% owner	2020-05-15	Grant or award	+5,700			230,700	I
Great Elm Capital Group, Inc. 10% owner	2020-06-15	Grant or award	+26,939			2,043,434	D
Great Elm Capital Group, Inc. 10% owner	2020-06-15	Grant or award	+4,447			235,147	I
Great Elm Capital Group, Inc. 10% owner	2020-07-15	Grant or award	+28,214			2,071,648	D
Great Elm Capital Group, Inc. 10% owner	2020-07-15	Grant or award	+4,641			239,788	I
Great Elm Capital Group, Inc. 10% owner	2020-08-21	Grant or award	+31,546			2,103,194	D
Great Elm Capital Group, Inc. 10% owner	2020-08-21	Grant or award	+4,337			244,125	I
Great Elm Capital Group, Inc. 10% owner	2020-09-21	Grant or award	+39,044			2,142,238	D
Great Elm Capital Group, Inc. 10% owner	2020-09-21	Grant or award	+4,532			248,657	I
Great Elm Capital Group, Inc. 10% owner	2020-09-28	Option exercise	+2,103,194	$2.95	$6,204,422	4,245,432	D
Great Elm Capital Group, Inc. 10% owner	2020-09-28	Option exercise	+151,894	$2.95	$448,087	400,551	I
Great Elm Capital Group, Inc. 10% owner	2020-10-01	Other acquisition	+863,337	$2.95	$2,546,844	5,108,769	D
Derivatives
Great Elm Capital Group, Inc. 10% owner	2020-09-28	Option exercise · Subscription Rights	−2,103,194			0	D
Great Elm Capital Group, Inc. 10% owner	2020-09-28	Option exercise · Subscription Rights	−151,894			0	I