Great Elm Capital Corp. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Kaplan Matthew D | CEO and President | Purchase | 19,650 | $7.64 | $150,126 | 142,400 | Nov 7, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 1,696 | $11.45 | $19,419 | 1,560,573 | Sep 26, 2025 |
| Davis Keri | CFO | Award / Grant | 1,406 | — | — | 24,618 | Sep 23, 2025 |
| Kleinman Adam M | CCO and Secretary | Award / Grant | 156 | — | — | 45,958 | Sep 23, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 48,248 | $11.45 | $552,440 | 1,563,759 | Sep 23, 2025 |
| Kaplan Matthew D | CEO and President | Tax Withholding | 8,211 | $11.43 | $93,852 | 122,750 | Sep 19, 2025 |
| Great Elm Group, Inc. | — | Other | 63,189 | — | — | 1,358,278 | Sep 19, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 100 | $11.45 | $1,145 | 1,626,744 | Sep 19, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 20,938 | $11.45 | $239,740 | 1,626,844 | Sep 15, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 21,472 | $11.20 | $240,486 | 1,647,782 | Aug 25, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 26,705 | $11.20 | $299,096 | 1,712,921 | Aug 22, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 7,793 | $11.20 | $87,282 | 1,739,626 | Aug 18, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 38,793 | $10.95 | $424,783 | 1,747,782 | Jul 11, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 3,129 | $10.95 | $34,263 | 1,795,236 | Jul 10, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 3,218 | $10.95 | $35,237 | 1,798,365 | Jul 7, 2025 |
| Great Elm Strategic Partnership I, LLC | — | Sale | 11,021 | $10.95 | $120,680 | 1,813,435 | Jul 2, 2025 |
| COHEN RICHARD M | — | Purchase | 36 | $11.01 | $396 | 18,136 | Jun 13, 2025 |
| COHEN RICHARD M | — | Purchase | 5,000 | $11.18 | $55,900 | 15,000 | Jun 12, 2025 |
| COHEN RICHARD M | — | Purchase | 1,500 | $10.83 | $16,245 | 4,000 | Jun 6, 2025 |
| Perry Chad | — | Purchase | 1,850 | $10.58 | $19,573 | 1,850 | Jun 4, 2025 |
| Great Elm Group, Inc. | — | Other | 2,643 | $10.22 | $27,011 | 1,438,079 | Dec 23, 2024 |
| Kleinman Adam M | CCO and Secretary | Other | 6,194 | — | — | 38,251 | Sep 24, 2024 |
| Great Elm Group, Inc. | — | Other | 10,811 | $10.09 | $109,083 | 1,429,911 | Sep 24, 2024 |
| Davis Keri | CFO | Other | 3,717 | — | — | 18,532 | Sep 24, 2024 |
| Davis Keri | CFO | Other | 213 | — | — | 19,392 | Sep 20, 2024 |
| Great Elm Group, Inc. | — | Other | 9,177 | $10.09 | $92,596 | 1,440,722 | Sep 20, 2024 |
| Kleinman Adam M | CCO and Secretary | Other | 2,093 | — | — | 30,419 | Sep 20, 2024 |
| Kaplan Matthew D | CEO and President | Other | 42,121 | — | — | 92,789 | Sep 20, 2024 |
| Drapkin Matthew A | — | Purchase | 9,600 | $9.92 | $95,232 | 75,716 | Sep 16, 2024 |
| Drapkin Matthew A | — | Purchase | 1,310 | $10.12 | $13,257 | 66,116 | Aug 20, 2024 |
| Great Elm Group, Inc. | — | Other | 1,239 | $10.82 | $13,406 | 1,516,932 | Mar 4, 2024 |
| Great Elm Group, Inc. | — | Other | 2,389 | $10.69 | $25,538 | 1,518,171 | Feb 15, 2024 |
| Great Elm Group, Inc. | — | Purchase | 27,000 | $10.05 | $271,350 | 1,520,560 | Nov 21, 2023 |
| Kaplan Matthew D | CEO and President | Other | 38,668 | — | — | 50,668 | Oct 10, 2023 |
| Great Elm Group, Inc. | — | Other | 26,360 | $9.31 | $245,412 | 1,506,159 | Sep 20, 2023 |
| Davis Keri | CFO | Other | 196 | — | — | 14,815 | Sep 20, 2023 |
| COHEN RICHARD M | — | Purchase | 2,612 | $9.47 | $24,736 | 2,612 | Aug 15, 2023 |
| Great Elm Group, Inc. | — | Other | 37,268 | — | — | 1,532,519 | May 19, 2023 |
| Kuperschmid Mark | — | Purchase | 2,700 | $8.02 | $21,654 | 3,000 | May 12, 2023 |
| Kaplan Matthew D | CEO and President | Purchase | 1,100 | $9.29 | $10,219 | 12,000 | Mar 10, 2023 |
| Kaplan Matthew D | CEO and President | Purchase | 2,201 | $9.46 | $20,821 | 9,221 | Mar 9, 2023 |
| Great Elm Group, Inc. | — | Other | 73,176 | — | — | — | Dec 30, 2022 |
| Great Elm Group, Inc. | — | Other | 50,000 | $12.19 | $609,500 | 1,791,716 | Dec 7, 2022 |
| Davis Keri | CFO | Other | 5,894 | — | — | 9,011 | Sep 24, 2022 |
| Drapkin Matthew A | — | Other | 40,000 | $12.50 | $500,000 | 40,309 | Jun 15, 2022 |
| Kaplan Matthew D | CEO and President | Option Exercise | 1,000 | $12.50 | $12,500 | 2,000 | Jun 15, 2022 |
| Great Elm Group, Inc. | — | Option Exercise | 100 | $12.50 | $1,250 | 200 | Jun 15, 2022 |
| Kuperschmid Mark | — | Option Exercise | 5,986 | $12.50 | $74,825 | 11,972 | Jun 15, 2022 |
| Kleinman Adam M | CCO and Secretary | Option Exercise | 4,000 | $12.50 | $50,000 | 20,558 | Jun 15, 2022 |
| Drapkin Matthew A | — | Purchase | 946 | $12.41 | $11,740 | 49,140 | May 25, 2022 |