0000899243-19-007064.txt : 20190311
0000899243-19-007064.hdr.sgml : 20190311
20190311181659
ACCESSION NUMBER: 0000899243-19-007064
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190307
FILED AS OF DATE: 20190311
DATE AS OF CHANGE: 20190311
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Steinberg David J.
CENTRAL INDEX KEY: 0001429076
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-01211
FILM NUMBER: 19673409
MAIL ADDRESS:
STREET 1: C/O MAST CAPITAL MANAGEMENT, LLC
STREET 2: 31 ST. JAMES AVENUE, 6TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mast Capital Management, LLC
CENTRAL INDEX KEY: 0001429074
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-01211
FILM NUMBER: 19673410
BUSINESS ADDRESS:
STREET 1: 31 ST. JAMES AVENUE
STREET 2: 6TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-375-3000
MAIL ADDRESS:
STREET 1: 31 ST. JAMES AVENUE
STREET 2: 6TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
FORMER NAME:
FORMER CONFORMED NAME: Mast Capital Management LLC
DATE OF NAME CHANGE: 20080306
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-03-07
0
0001675033
Great Elm Capital Corp.
GECC
0001429074
Mast Capital Management, LLC
31 ST. JAMES AVENUE
6TH FLOOR
BOSTON
MA
02116
0
0
1
0
0001429076
Steinberg David J.
31 ST. JAMES AVENUE
6TH FLOOR
BOSTON
MA
02116
0
0
1
0
Common Stock
2019-03-07
4
S
0
17600
8.1693
D
2186617
I
See footnotes
Common Stock
2019-03-08
4
S
0
8400
8.0884
D
2178217
I
See footnotes
Common Stock
2019-03-11
4
S
0
9800
8.16
D
2168417
I
See footnotes
Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 16,552 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 1,048 shares of Common Stock sold by Mast Admiral Master Fund, L.P.
The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.1693 on March 7, 2019.
Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,056,385 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 130,232 shares held by Mast Admiral Master Fund, L.P.
As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein.
Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein.
Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 7,900 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 500 shares of Common Stock sold by Mast Admiral Master Fund, L.P.
The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.0884 on March 8, 2019.
Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,048,485 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 129,732 shares held by Mast Admiral Master Fund, L.P.
Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 9,216 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 584 shares of Common Stock sold by Mast Admiral Master Fund, L.P.
The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.16 on March 11 2019.
Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 2,039,269 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 129,148 shares held by Mast Admiral Master Fund, L.P.
The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (7), and (10) to this Form 4.
MAST CAPITAL MANAGEMENT, LLC, By: /s/ David J. Steinberg, Name: David J. Steinberg, Title: Authorized Signatory
2019-03-11
/s/ David J. Steinberg
2019-03-11