Great Elm Group Amends SEC Filing for Great Elm Capital Corp.
Ticker: GECCI · Form: SC 13D/A · Filed: Jun 24, 2024 · CIK: 1675033
| Field | Detail |
|---|---|
| Company | Great Elm Capital Corp. (GECCI) |
| Form Type | SC 13D/A |
| Filed Date | Jun 24, 2024 |
| Risk Level | medium |
| Pages | 3 |
| Reading Time | 3 min |
| Key Dollar Amounts | $0.01, $0 |
| Sentiment | neutral |
Sentiment: neutral
Topics: sec-filing, ownership-change, amendment
Related Tickers: GECC
TL;DR
GEG filed an amendment for GECC - check for ownership changes.
AI Summary
Great Elm Group, Inc. filed an amendment (No. 10) to its Schedule 13D on June 24, 2024, regarding its holdings in Great Elm Capital Corp. The filing indicates a change in the date of the event requiring this statement to June 21, 2024. No specific changes in beneficial ownership or dollar amounts are detailed in this excerpt.
Why It Matters
This amendment signals a potential shift or update in the significant ownership stake held by Great Elm Group in Great Elm Capital Corp., which could influence the latter's stock performance and corporate strategy.
Risk Assessment
Risk Level: medium — Amendments to Schedule 13D often indicate changes in significant shareholder positions, which can lead to increased volatility or strategic shifts for the company.
Key Players & Entities
- Great Elm Group, Inc. (company) — Filing person
- Great Elm Capital Corp. (company) — Subject company
- Jason W. Reese (person) — Authorized to receive notices
FAQ
What is the purpose of this SC 13D/A filing?
This filing is an amendment (No. 10) to a Schedule 13D, indicating a change in information previously reported regarding beneficial ownership of Great Elm Capital Corp. securities.
Who is the filing person?
The filing person is Great Elm Group, Inc.
What is the subject company?
The subject company is Great Elm Capital Corp.
What is the date of the event requiring this filing?
The date of the event requiring this filing is June 21, 2024.
Who is authorized to receive notices for this filing?
Jason W. Reese, associated with Great Elm Group, Inc., is authorized to receive notices and communications.
Filing Stats: 821 words · 3 min read · ~3 pages · Grade level 10.2 · Accepted 2024-06-24 20:06:14
Key Financial Figures
- $0.01 — ame of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securitie
- $0 — 9,888 shares of common stock, par value $0.01, outstanding, which includes 997,506
Filing Documents
- ef20031616_sc13da.htm (SC 13D/A) — 40KB
- 0001140361-24-031157.txt ( ) — 42KB
of the Schedule 13D is hereby amended and supplemented by adding the following
Item 5 of the Schedule 13D is hereby amended and supplemented by adding the following: (a) and (b) The aggregate percentage of Common Stock reported to be owned by the Reporting Person is based on 10,449,888 shares of Common Stock outstanding. The aggregate number of shares of Common Stock outstanding includes (i) 9,452,382, which is the number of shares of Common Stock outstanding as reported on the Issuer's Quarterly Report on Form 10-Q for the Quarterly Period Ended March 31, 2024, filed May 2, 2024, and (ii) 997,506 shares of Common Stock issued to PPH as reported on the Issuer's Current Report on Form 8-K, filed on June 24, 2024. As of June 21, 2024, the Reporting Person may be deemed to beneficially own 1,516,932 shares of Common Stock, which represents approximately 14.5% of the issued and outstanding shares of Common Stock. To the Reporting Person's knowledge, the directors and executive officers of the Reporting Person beneficially own in the aggregate 1,607,087 shares of Common Stock, which represents approximately 15.4% of the issued and outstanding shares of Common Stock. Page 4 of 4
SIGNATURES
SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: June 24, 2024 By: /s/ Keri A. Davis Name: Keri A. Davis Title: Chief Financial Officer & Chief Accounting Officer