GECCI

Great Elm Capital Corp. 8.50% Notes DUE 2029 GECCI

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
Summit Grove Partners, LLC Delaware 1094527 0 1094527 0 1094527 9.5 % 12/12/2024
Prosper Peak Holdings, LLC Delaware 997506 0 997506 0 997506 9.5 % 25/06/2024
Lenders Funding, LLC New York 0 3397436 0 3397436 3397436 12.63 % 13/10/2021
Robert Zadek New York 0 3397436 0 3397436 3397436 12.63 % 13/10/2021
10 Texas 0 250100 0 250100 250100 1.2 % 14/10/2020
1,168,400 Texas 0 1168400 0 1168400 1168400 5.4 % 14/10/2020
1,168,400 Texas 0 1168400 0 1168400 1168400 5.4 % 14/10/2020
10 Texas 0 500100 0 500100 500100 2.3 % 14/10/2020
1,168,400 Texas 0 1168400 0 1168400 1168400 5.4 % 14/10/2020
Imperial Capital Group Holdings, LLC Delaware 0 1490000 0 1490000 1490000 6.9 % 13/10/2020
Imperial Capital Group Holdings II, LLC Delaware 0 850000 0 850000 850000 3.9 % 13/10/2020
Imperial Capital Asset Management, LLC Delaware 0 640000 0 640000 640000 3 % 13/10/2020
IC Leverage Income Fund, LLC Delaware 0 640000 0 640000 640000 3 % 13/10/2020
Jason Reese Delaware 0 2130000 0 2130000 2130000 9.9 % 13/10/2020
Randall Wooster Delaware 0 1490000 0 1490000 1490000 6.9 % 13/10/2020
Long Ball Partners, LLC Delaware 0 640000 0 640000 640000 3 % 13/10/2020
Great Elm DME Holdings, Inc. Delaware 0 668306 0 0 668306 6.27 % 11/09/2018
Great Elm Capital Group, Inc. Delaware 1298361 668306 1298361 0 1966667 18.5 % 11/09/2018
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. #16-1290558 New York 416700 0 416700 0 416700 14.6 % 09/02/2018

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District