0001140361-24-012066.txt : 20240307 0001140361-24-012066.hdr.sgml : 20240307 20240307213006 ACCESSION NUMBER: 0001140361-24-012066 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240307 DATE AS OF CHANGE: 20240307 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Great Elm Capital Corp. CENTRAL INDEX KEY: 0001675033 ORGANIZATION NAME: IRS NUMBER: 812621577 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 814-01211 FILM NUMBER: 24732154 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] ORGANIZATION NAME: 06 Technology 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. 814-01211 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

594525 600025.55 40000000 03/07/2024 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 03/04/2024 348125 351561.69 Great Elm Group, Inc.

800 South Street Suite 230 Waltham MA 02453

8.75% Notes due 2028 03/05/2024 142550 143770.8 Great Elm Group, Inc.

800 South Street Suite 230 Waltham MA 02453

8.75% Notes due 2028 03/06/2024 1054500 1064711.78 03/07/2024 /s/ Adam M. Kleinman