Great Elm Group Amends 13D Filing for Great Elm Capital Corp.

TL;DR

GEG filed 13D/A amendment 12 for GECC, check ownership changes.

AI Summary

Great Elm Group, Inc. filed an amendment (No. 12) to its Schedule 13D/A on December 13, 2024, regarding its holdings in Great Elm Capital Corp. The filing indicates a change in the date of the event requiring this statement to December 11, 2024. Jason W. Reese is listed as the authorized contact for Great Elm Group, Inc., located at 3801 PGA Boulevard, Suite 603, Palm Beach Gardens, FL 33410.

Why It Matters

This amendment signals a potential shift in the ownership or strategy concerning Great Elm Capital Corp., requiring investor attention.

Risk Assessment

Risk Level: medium — Amendments to Schedule 13D filings often indicate significant changes in beneficial ownership or investment strategy, which can impact stock price.

Key Numbers

• 12 — Amendment Number (Indicates this is the twelfth amendment to the filing.)
• 20241213 — Filing Date (The date the amendment was filed with the SEC.)
• 20241211 — Date of Event (The date of the event that triggered the filing requirement.)

Key Players & Entities

• Great Elm Group, Inc. (company) — Filing entity
• Great Elm Capital Corp. (company) — Subject company
• Jason W. Reese (person) — Authorized contact
• 3801 PGA Boulevard, Suite 603, Palm Beach Gardens, FL 33410 (address) — Business and mailing address for both entities

FAQ

Key Financial Figures

• $0.01 — ame of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securitie
• $0 — 4,415 shares of common stock, par value $0.01, outstanding, which includes 10,449,

Filing Documents

• ef20039957_sc13da.htm (SC 13D/A) — 41KB
• 0001140361-24-049530.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 11,544,415 shares of Common Stock outstanding. The aggregate number of shares of Common Stock outstanding includes (i) 10,449,888 shares, 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 September 30, 2024, filed October 31, 2024, and (ii) 1,094,527 shares of Common Stock issued to SGP as reported on the Issuer's Current Report on Form 8-K, filed on December 12, 2024. As of December 13, 2024, the Reporting Person may be deemed to beneficially own 1,440,722 shares of Common Stock, which represents approximately 12.5% 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 1,446,996 shares of Common Stock, which represents approximately 12.5% 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: December 13, 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