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 |
|---|---|---|---|---|---|---|---|
| Great Elm Group, Inc. | — | Other | 100,000 | $12.50 | $1,250,000 | 814,111 | May 11, 2022 |
| Drapkin Matthew A | — | Purchase | 1,000 | $14.70 | $14,700 | 1,617 | Mar 9, 2022 |
| Drapkin Matthew A | — | Purchase | 617 | $14.70 | $9,070 | 617 | Mar 9, 2022 |
| Kaplan Matthew D | CEO and President | Purchase | 1,000 | $14.00 | $14,000 | 1,000 | Mar 8, 2022 |
| Kleinman Adam M | Chief Compliance Officer | Other | 79,411 | — | — | 158,907 | Sep 24, 2021 |
| Reed Peter A | President and CEO | Other | 87,132 | — | — | 351,636 | Sep 24, 2021 |
| Great Elm Group, Inc. | — | Other | 220,217 | — | — | 5,319,507 | Sep 24, 2021 |
| Davis Keri | CFO and Treasurer | Other | 5,147 | — | — | 18,699 | Sep 24, 2021 |
| Great Elm Group, Inc. | — | Other | 11,254 | — | — | 5,539,724 | Feb 5, 2021 |
| Davis Keri | CFO and Treasurer | Award / Grant | 11,254 | — | — | 13,552 | Feb 5, 2021 |
| STUART JOHN EDWARD | — | Award / Grant | 18 | — | — | 1,034 | Jan 21, 2021 |
| Speller Michael C | — | Award / Grant | 614 | — | — | 36,559 | Jan 21, 2021 |
| Kuperschmid Mark | — | Award / Grant | 603 | — | — | 35,917 | Jan 21, 2021 |
| Horsey Randall Revell | — | Award / Grant | 572 | — | — | 25,279 | Jan 21, 2021 |
| Great Elm Group, Inc. | — | Other | 9,913 | — | — | 439,063 | Jan 21, 2021 |
| Reed Peter A | President and CEO | Award / Grant | 5,969 | — | — | 264,504 | Jan 21, 2021 |
| Kleinman Adam M | Chief Compliance Officer | Award / Grant | 1,795 | — | — | 79,496 | Jan 21, 2021 |
| Davis Keri | CFO and Treasurer | Award / Grant | 52 | — | — | 2,298 | Jan 21, 2021 |
| Forest Investments, Inc. | — | Other | 5,425,644 | — | — | — | Dec 29, 2020 |
| STUART JOHN EDWARD | — | Award / Grant | 19 | — | — | 1,016 | Dec 21, 2020 |
| Speller Michael C | — | Award / Grant | 644 | — | — | 35,945 | Dec 21, 2020 |
| Kuperschmid Mark | — | Award / Grant | 633 | — | — | 35,314 | Dec 21, 2020 |
| Horsey Randall Revell | — | Award / Grant | 524 | — | — | 24,708 | Dec 21, 2020 |
| Great Elm Capital Group, Inc. | — | Other | 9,089 | — | — | 429,150 | Dec 21, 2020 |
| Reed Peter A | President and CEO | Award / Grant | 5,473 | — | — | 258,535 | Dec 21, 2020 |
| Kleinman Adam M | Chief Compliance Officer | Award / Grant | 1,646 | — | — | 77,701 | Dec 21, 2020 |
| Davis Keri | CFO and Treasurer | Award / Grant | 48 | — | — | 2,246 | Dec 21, 2020 |
| STUART JOHN EDWARD | — | Award / Grant | 128 | — | — | 4,880 | Nov 20, 2020 |
| Speller Michael C | — | Award / Grant | 825 | — | — | 35,301 | Nov 20, 2020 |
| Kuperschmid Mark | — | Award / Grant | 811 | — | — | 34,681 | Nov 20, 2020 |
| Horsey Randall Revell | — | Award / Grant | 730 | — | — | 24,184 | Nov 20, 2020 |
| Great Elm Capital Group, Inc. | — | Other | 160,492 | — | — | 5,328,350 | Nov 20, 2020 |
| Reed Peter A | President and CEO | Award / Grant | 7,619 | — | — | 253,062 | Nov 20, 2020 |
| Kleinman Adam M | Chief Compliance Officer | Award / Grant | 2,291 | — | — | 76,056 | Nov 20, 2020 |
| Davis Keri | CFO and Treasurer | Award / Grant | 66 | — | — | 2,199 | Nov 20, 2020 |
| Great Elm Capital Group, Inc. | — | Other | 6,858 | — | — | 407,409 | Oct 21, 2020 |
| STUART JOHN EDWARD | — | Award / Grant | 245 | — | — | 16,116 | Oct 21, 2020 |
| Speller Michael C | — | Award / Grant | 363 | — | — | 34,476 | Oct 21, 2020 |
| Kuperschmid Mark | — | Award / Grant | 453 | — | — | 33,870 | Oct 21, 2020 |
| Horsey Randall Revell | — | Award / Grant | 362 | — | — | 23,454 | Oct 21, 2020 |
| Reed Peter A | President and CEO | Award / Grant | 2,592 | — | — | 245,443 | Oct 21, 2020 |
| Kleinman Adam M | Chief Compliance Officer | Award / Grant | 1,011 | — | — | 73,765 | Oct 21, 2020 |
| Davis Keri | CFO and Treasurer | Award / Grant | 18 | — | — | 2,132 | Oct 21, 2020 |
| Reed Peter A | President and CEO | X | 92,448 | $2.95 | $272,722 | 186,612 | Oct 1, 2020 |
| STUART JOHN EDWARD | — | X | 5,773 | $2.95 | $17,030 | 15,871 | Sep 28, 2020 |
| Speller Michael C | — | X | 16,937 | $2.95 | $49,964 | 34,113 | Sep 28, 2020 |
| Kuperschmid Mark | — | X | 12,000 | $2.95 | $35,400 | 33,417 | Sep 28, 2020 |
| Horsey Randall Revell | — | X | 10,000 | $2.95 | $29,500 | 23,092 | Sep 28, 2020 |
| Davis Keri | CFO and Treasurer | Other | 800 | $2.95 | $2,360 | 2,114 | Sep 28, 2020 |
| Kleinman Adam M | Chief Compliance Officer | X | 36,042 | $2.95 | $106,324 | 72,754 | Sep 28, 2020 |