What SEC filings does Great Elm Capital Corp. submit to the SEC?

Great Elm Capital Corp. (GECC) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about GECC?

A Form 4 for GECC discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Great Elm Capital Corp.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for GECC?

The 10-K is Great Elm Capital Corp.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all GECC SEC filings directly on EDGAR?

You can view all historical Great Elm Capital Corp. filings on the SEC EDGAR company page for GECC. Each filing card on this page links directly to the original SEC document.

How often does Great Elm Capital Corp. file with the SEC?

Great Elm Capital Corp. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling GECC shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

GECC SEC Filing News — Great Elm Capital Corp.

Latest SEC filings for Great Elm Capital Corp. (GECC) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-09-23.

Great Elm Capital Corp. is a business development company which specializes in loan and mezzanine, middle market investments. It invests in the debt instruments of middle market companies. The fund invests in income-generating debt and equity investments, with an emphasis on specialty finance companies. The fund prefers to invest in media, commercial services and supplies, healthcare, telecommunication services, communications equipment. It typically makes equity investments between $3 million a…

Sector: Financial Services Industry: Asset Management Market Cap: $69.3M

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for GECC currently lean bullish. Of the 20 displayed SEC filing records, 1 carry bullish classifications versus 0 bearish classifications. These labels summarize filing attributes; they are not recommendations, probabilities, or evidence of future price direction. There were 5 insider transactions (Form 4) in this period.

GECC Filing Activity Snapshot 2025-10-02 — 2026-09-23

Insider Transactions (Form 4)

1 buy vs 0 sells

Net insider buying in this period — more purchases than sales reported.

Largest Form 144 Filing

$150.1K

Kaplan Matthew D (CEO and President) · 2025-11-10

19,650 shares · Form 4

Insider Transactions 5 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 5 filings in this group are Form 4s for Great Elm Capital Corp.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 5 insider filings shown, the breakdown is 2 compensation award, 2 other reported transaction and 1 open-market purchase. 1 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Compensation award ×2: Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Other reported transaction ×2: The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.
Open-market purchase ×1: The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Form 4 Other reported transaction Tax / Compensation Filing 2026-09-23

GECC insider Form 4 filed for equity award, exercise, or tax withholding

Great Elm Group, Inc. (10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`J`	Other transaction	111,958	—	—

Filing: Form 4 (Insider Transaction) Insider: Great Elm Group, Inc. (10% Owner) Shares: 111,958

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-09-23

GECC insider Form 4 filed for equity award, exercise, or tax withholding

Davis Keri (CFO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	7,646	—	—
`A`	Compensation award	1,372	—	—
`F`	Tax withholding on vested shares	2,972	$5.37	$16.0K

Filing: Form 4 (Insider Transaction) Insider: Davis Keri (CFO) Shares: 11,990

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-09-23

GECC insider Form 4 filed for equity award, exercise, or tax withholding

Kleinman Adam M (CCO and Secretary) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	15,292	—	—
`A`	Compensation award	791	—	—
`F`	Tax withholding on vested shares	3,451	$5.37	$18.5K

Filing: Form 4 (Insider Transaction) Insider: Kleinman Adam M (CCO and Secretary) Shares: 19,534

View on SEC EDGAR → Open Filing Document →

Form 4 Other reported transaction Tax / Compensation Filing 2026-06-30

GECC insider Form 4 filed for equity award, exercise, or tax withholding

Great Elm Strategic Partnership I, LLC (10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`J`	Other transaction	180,000	$5.45	$981.0K

Filing: Form 4 (Insider Transaction) Insider: Great Elm Strategic Partnership I, LLC (10% Owner) Shares: 180,000

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2025-11-10

GECC insider Kaplan Matthew D (CEO and President) bought 19,650 shares (~$150.1K)

Kaplan Matthew D, listed as CEO and President at Great Elm Capital Corp., reported an open-market purchase of 19,650 GECC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	19,650	$7.64	$150.1K

Filing: Form 4 (Insider Transaction) Insider: Kaplan Matthew D (CEO and President) Shares: 19,650 Est. Value: $150.1K

View on SEC EDGAR → Open Filing Document →

Material Events 11 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 11 in this period for Great Elm Capital Corp. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-08-05