0001140361-23-055902.txt : 20231201 0001140361-23-055902.hdr.sgml : 20231201 20231201212217 ACCESSION NUMBER: 0001140361-23-055902 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20231201 DATE AS OF CHANGE: 20231201 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Great Elm Capital Corp. CENTRAL INDEX KEY: 0001675033 IRS NUMBER: 812621577 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 333-272790 FILM NUMBER: 231461156 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: Great Elm Group, Inc. CENTRAL INDEX KEY: 0001831096 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 853622015 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 144 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 144 1 primary_doc.xml 144 0001831096 XXXXXXXX LIVE 0001675033 Great Elm Capital Corp. 333-272790 800 SOUTH STREET SUITE 230 WALTHAM MA 02453 617-375-3006 Great Elm Group, Inc. 10% Stockholder 8.75% Notes due 2028 Imperial Capital, LLC

10100 Santa Monica Blvd. Suite 2400 Los Angeles CA 90067

104175 103742.46 40000000 12/01/2023 Nasdaq Global Market 8.75% Notes due 2028 08/16/2023 SEC Registered Offering Underwriters N 4475625 08/16/2023 Cash N Great Elm Group, Inc.

800 South Street, Suite 230 Waltham MA 02453

8.75% Notes due 2028 11/06/2023 125 121.14 Great Elm Group, Inc.

800 South Street, Suite 230 Waltham MA 02453

8.75% Notes due 2028 11/08/2023 7500 7475.19 Great Elm Group, Inc.

800 South Street, Suite 230 Waltham MA 02453

8.75% Notes due 2028 11/30/2023 35650 35567.39 12/01/2023 /s/ Adam M. Kleinman