What Great Elm Capital Corp's executives and directors are doing with their own shares, from SEC Form 3/4/5 filings — separating what the filings state (awards, withholding, disclosed plans) from what only the pattern of dates shows.
| 3 months | 12 months | |
|---|---|---|
| Open-market buys | 0 | 1 |
| Sells | 0 | 0 |
| Total trades | 7 | 9 |
| 3 months | 12 months | |
|---|---|---|
| Acquired | 25,101 | 44,751 |
| Disposed | 118,381 | 298,381 |
| Net activity | −93,280 | −253,630 |
View rich charts and dive into the patterns of specific insiders — who is accumulating, who is winding down, and which sale explanations the filings actually support.
| Insider | Relation | Date | Transaction | Shares | Price | Value | Shares held |
|---|---|---|---|---|---|---|---|
| Davis Keri | CFO | Sep 21 | Withheld — tax / exercise cost · F | −2,972 | $5.37 | −$16K | 27,939 |
| Davis Keri | CFO | Sep 21 | Grant / award · A | +1,372 | — | — | 30,911 |
| Davis Keri | CFO | Sep 21 | Grant / award · A | +7,646 | — | — | 29,539 |
| Kleinman Adam M | CCO and Secretary | Sep 21 | Withheld — tax / exercise cost · F | −3,451 | $5.37 | −$18.5K | 57,229 |
| Kleinman Adam M | CCO and Secretary | Sep 21 | Grant / award · A | +791 | — | — | 60,680 |
| Kleinman Adam M | CCO and Secretary | Sep 21 | Grant / award · A | +15,292 | — | — | 59,889 |
| Great Elm Group, Inc. | 10% owner | Sep 21 | Other Transaction · J | −111,958 | — | — | 1,244,167 |
| Great Elm Strategic Partnership I, Llc | 10% owner | Jun 29 | Other Transaction · J | −180,000 | $5.45 | −$981K | 1,378,260 |
| Kaplan Matthew D | CEO and President | Nov 07 | Open-market buy · P | +19,650 | $7.64 | +$150K | 142,400 |
| Great Elm Strategic Partnership I, Llc | 10% owner | Sep 26 | Open-market sale · S | −2,313 | $11.45 | −$26.5K | 1,558,260 |
| Great Elm Strategic Partnership I, Llc | 10% owner | Sep 25 | Open-market sale · S | −1,696 | $11.45 | −$19.4K | 1,560,573 |
| Kaplan Matthew D | CEO and President | Sep 23 | Withheld — tax / exercise cost · F | −8,211 | $11.43 | −$93.9K | 122,750 |
| Kleinman Adam M | CCO and Secretary | Sep 23 | Withheld — tax / exercise cost · F | −1,361 | $11.43 | −$15.6K | 44,597 |
| Davis Keri | CFO | Sep 23 | Withheld — tax / exercise cost · F | −2,725 | $11.43 | −$31.1K | 21,893 |
| Great Elm Strategic Partnership I, Llc | 10% owner | Sep 23 | Open-market sale · S | −1,490 | $11.45 | −$17.1K | 1,562,269 |
| Great Elm Strategic Partnership I, Llc | 10% owner | Sep 22 | Open-market sale · S | −48,248 | $11.45 | −$552K | 1,563,759 |
| Great Elm Group, Inc. | 10% owner | Sep 20 | Other Transaction · J | −63,189 | — | — | 1,358,278 |
| Kaplan Matthew D | CEO and President | Sep 19 | Grant / award · A | +1,055 | — | — | 130,961 |
| Kaplan Matthew D | CEO and President | Sep 19 | Grant / award · A | +37,117 | — | — | 129,906 |
| Kleinman Adam M | CCO and Secretary | Sep 19 | Grant / award · A | +156 | — | — | 45,958 |
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