Great Elm Group Files 13D/A Amendment

TL;DR

GEG filed 13D/A amendment 11 for GECC, change date to 9/20/24.

AI Summary

Great Elm Group, Inc. filed an amendment (No. 11) to its Schedule 13D on September 25, 2024, regarding its holdings in Great Elm Capital Corp. The filing indicates a change in the date of the event requiring this filing to September 20, 2024. Jason W. Reese is listed as the authorized contact for Great Elm Group, Inc.

Why It Matters

This filing updates the market on significant ownership changes or intentions related to Great Elm Capital Corp., potentially impacting its stock price and corporate strategy.

Risk Assessment

Risk Level: medium — Schedule 13D filings often signal significant shifts in a company's ownership structure or strategic intentions, which can introduce volatility.

Key Numbers

• 11 — Amendment Number (Indicates this is the eleventh amendment to the filing.)
• 20240925 — Filing Date (The date the amendment was filed with the SEC.)
• 20240920 — Date of Event (The date of the event that triggered this filing amendment.)

Key Players & Entities

• Great Elm Group, Inc. (company) — Filing entity
• Great Elm Capital Corp. (company) — Subject company
• Jason W. Reese (person) — Authorized contact for Great Elm Group, Inc.

FAQ

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, as reported on the Iss

Filing Documents

• ef20036254_sc13da.htm (SC 13D/A) — 40KB
• 0001140361-24-041842.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, as reported on the Issuer's Quarterly Report on Form 10-Q for the Quarterly Period Ended June 30, 2024, filed August 1, 2024. As of September 24, 2024, the Reporting Person may be deemed to beneficially own 1,440,722 shares of Common Stock, which represents approximately 13.8% 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 1,447,984 shares of Common Stock, which represents approximately 13.9% of the issued and outstanding shares of Common Stock. (c) On September 20, 2024, the Reporting Person transferred 31,879 shares of Common Stock in connection with vested grants of Common Stock made as compensation awards. On September 20, 2024, the Reporting Person transferred 25,573 shares of Common Stock in connection with the vesting of grants of Common Stock previously made as compensation awards. On September 24, 2024, the Reporting Person transferred 9,177 shares of Common Stock in connection with the vesting of grants of Common Stock previously made as compensation awards. On September 24, 2024, the Reporting Person transferred 10,811 shares of Common Stock in connection with a dividend associated with the portion of previous compensation awards that vested on the anniversary of those grant dates. 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: September 25, 2024 By: /s/ Keri A. Davis Name: Keri A. Davis Title: Chief Financial Officer & Chief Accounting Officer

View Full Filing

View this SC 13D/A filing on SEC EDGAR