SEC Form 4
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION | ||
Washington, D.C. 20549 | OMB APPROVAL | |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | ||
OMB Number: | 3235-0287 | |
Estimated average burden | ||
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 | hours per response: | 0.5 |
or Section 30(h) of the Investment Company Act of 1940 |
1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | |||||||||||||||||||||||||||||||||||
Kleinman Adam M | Great Elm Capital Corp.[ GECC ] | (Check all applicable) | |||||||||||||||||||||||||||||||||||
Director | 10% Owner | ||||||||||||||||||||||||||||||||||||
X | Officer (give title | Other (specify | |||||||||||||||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) | below) | below) | ||||||||||||||||||||||||||||||||
Chief Compliance Officer | |||||||||||||||||||||||||||||||||||||
800 SOUTH STREET | 09/28/2020 | ||||||||||||||||||||||||||||||||||||
SUITE 230 | |||||||||||||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable | ||||||||||||||||||||||||||||||||||||
(Street) | Line) | ||||||||||||||||||||||||||||||||||||
X Form filed by One Reporting Person | |||||||||||||||||||||||||||||||||||||
WALTHAM | MA | 02453 | |||||||||||||||||||||||||||||||||||
Form filed by More than One Reporting | |||||||||||||||||||||||||||||||||||||
Person | |||||||||||||||||||||||||||||||||||||
(City) | (State) | (Zip) | |||||||||||||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||||||||||||||||||||
1. Title of Security (Instr. 3) | 2. Transaction | 2A. Deemed | 3. | 4. Securities Acquired (A) or | 5. Amount of | 6. Ownership | 7. Nature of | ||||||||||||||||||||||||||||||
Date | Execution Date, | Transaction | Disposed Of (D) (Instr. 3, 4 and 5) | Securities | Form: Direct | Indirect | |||||||||||||||||||||||||||||||
(Month/Day/Year) | if any | Code (Instr. | Beneficially | (D) or Indirect | Beneficial | ||||||||||||||||||||||||||||||||
(Month/Day/Year) | 8) | Owned Following | (I) (Instr. 4) | Ownership | |||||||||||||||||||||||||||||||||
Reported | (Instr. 4) | ||||||||||||||||||||||||||||||||||||
Code | V | Amount | (A) or | Price | Transaction(s) | ||||||||||||||||||||||||||||||||
(D) | (Instr. 3 and 4) | ||||||||||||||||||||||||||||||||||||
Common Stock | 09/28/2020 | X | 36,042(1) | A | $2.95 | 72,754.1127 | D | ||||||||||||||||||||||||||||||
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||||||||||||||||||||
(e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||||||||||||||||||||||||
1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number | 6. Date Exercisable and | 7. Title and Amount | 8. Price of | 9. Number of | 10. | 11. Nature | ||||||||||||||||||||||||||
Derivative | Conversion | Date | Execution Date, | Transaction | of | Expiration Date | of Securities | Derivative | derivative | Ownership | of Indirect | ||||||||||||||||||||||||||
Security | or Exercise | (Month/Day/Year) | if any | Code (Instr. | Derivative | (Month/Day/Year) | Underlying | Security | Securities | Form: | Beneficial | ||||||||||||||||||||||||||
(Instr. 3) | Price of | (Month/Day/Year) | 8) | Securities | Derivative Security | (Instr. 5) | Beneficially | Direct (D) | Ownership | ||||||||||||||||||||||||||||
Derivative | Acquired | (Instr. 3 and 4) | Owned | or Indirect | (Instr. 4) | ||||||||||||||||||||||||||||||||
Security | (A) or | Following | (I) (Instr. 4) | ||||||||||||||||||||||||||||||||||
Disposed | Reported | ||||||||||||||||||||||||||||||||||||
of (D) (Instr. | Transaction(s) | ||||||||||||||||||||||||||||||||||||
3, 4 and 5) | (Instr. 4) | ||||||||||||||||||||||||||||||||||||
Amount | |||||||||||||||||||||||||||||||||||||
or | |||||||||||||||||||||||||||||||||||||
Number | |||||||||||||||||||||||||||||||||||||
Date | Expiration | of | |||||||||||||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Shares | ||||||||||||||||||||||||||||||
Subscription | $2.95 | 09/28/2020 | X | 36,042 | 09/08/2020 | 09/28/2020 | Common | 36,042 | $0.00 | 0 | D | ||||||||||||||||||||||||||
Rights | Stock |
Explanation of Responses:
1. On September 28, 2020, the Reporting Person exercised in full his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering.
Remarks:
/s/ Adam M. Kleinman | 10/01/2020 | ||
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
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Great Elm Capital Corp. published this content on 01 October 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 06 October 2020 20:29:02 UTC