0001140361-23-000265.txt : 20230103 0001140361-23-000265.hdr.sgml : 20230103 20230103193657 ACCESSION NUMBER: 0001140361-23-000265 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221230 FILED AS OF DATE: 20230103 DATE AS OF CHANGE: 20230103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Great Elm Group, Inc. CENTRAL INDEX KEY: 0001831096 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01211 FILM NUMBER: 23503968 BUSINESS ADDRESS: STREET 1: 800 SOUTH STREET, SUITE 230 CITY: WALTHAM STATE: MA ZIP: 02453 BUSINESS PHONE: (617) 375-3006 MAIL ADDRESS: STREET 1: 800 SOUTH STREET, SUITE 230 CITY: WALTHAM STATE: MA ZIP: 02453 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Great Elm Capital Corp. CENTRAL INDEX KEY: 0001675033 IRS NUMBER: 812621577 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 800 SOUTH STREET STREET 2: SUITE 230 CITY: WALTHAM STATE: MA ZIP: 02453 BUSINESS PHONE: 617-375-3006 MAIL ADDRESS: STREET 1: 800 SOUTH STREET STREET 2: SUITE 230 CITY: WALTHAM STATE: MA ZIP: 02453 4 1 form4.xml X0306 4 2022-12-30 0001675033 Great Elm Capital Corp. GECC 0001831096 Great Elm Group, Inc. 800 SOUTH STREET, SUITE 230 WALTHAM MA 02453 true Common Stock 1841716 D Common Stock 2022-12-30 4 J 0 372495 0 D 0 I Forest Investments, Inc. Common Stock 2023-01-03 4 J 0 73176 0 D 0 I Great Elm Opportunities Fund I, LP Includes 27,605 shares of Great Elm Capital Corp.'s common stock, par value $0.01 per share ("Common Stock"), that was previosuly indirectly owned by Great Elm Group, Inc. ("GEG") and became directly owned on December 27, 2022. On December 30, 2022, GEG and Great Elm FM Acquisition, Inc. ("FM Acquisition"), a wholly-owned subsidiary of GEG, entered into a stock purchase agreement (the "Stock Purchase Agreement") with J.P. Morgan Broker-Dealer Holdings Inc. ("JPM") to sell 61 shares of the common stock, $0.001 par value per share, of Forest Investments, Inc. ("Forest") owned by FM Acquisition and GEG, which shares constitute 61% of the issued and outstanding shares of Forest's common stock. As the parent of Forest, prior to the entry into the Stock Purchase Agreement, GEG may have been deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Forest. Following the entry into the Stock Purchase Agreement, GEG may no longer be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Forest. On January 3, 2023, Great Elm Opportunities Fund I, LP, a Delaware limited partnership ("GEOF"), distributed 73,176 shares of Common Stock to a third party limited partner in GEOF. In connection with the distribution, GEG may no longer be deemed to be the beneficial owner of the shares of common stock previously beneficially owned (or deemed beneficially owned) by GEOF. /s/ Adam M. Kleinman, attorney-in-fact 2023-01-03