4//SEC Filing
Mast Capital Management, LLC 4
Accession 0000899243-19-008821
CIK 0001675033other
Filed
Mar 21, 8:00 PM ET
Accepted
Mar 22, 8:09 PM ET
Size
14.1 KB
Accession
0000899243-19-008821
Insider Transaction Report
Form 4
Mast Capital Management LLC
10% Owner
Transactions
- Sale
Common Stock
2019-03-20$8.32/sh−3,700$30,772→ 2,068,408 total(indirect: See footnotes) - Sale
Common Stock
2019-03-21$8.31/sh−4,300$35,728→ 2,064,108 total(indirect: See footnotes) - Sale
Common Stock
2019-03-22$8.24/sh−16,000$131,826→ 2,048,108 total(indirect: See footnotes)
Steinberg David J.
10% Owner
Transactions
- Sale
Common Stock
2019-03-20$8.32/sh−3,700$30,772→ 2,068,408 total(indirect: See footnotes) - Sale
Common Stock
2019-03-21$8.31/sh−4,300$35,728→ 2,064,108 total(indirect: See footnotes) - Sale
Common Stock
2019-03-22$8.24/sh−16,000$131,826→ 2,048,108 total(indirect: See footnotes)
Footnotes (11)
- [F1]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) 3,480 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 220 shares of Common Stock sold by Mast Admiral Master Fund, L.P.
- [F10]The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.2391 on March 22 2019
- [F11]Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,926,125 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 121,983 shares held by Mast Admiral Master Fund, L.P.
- [F2]The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3168 on March 20, 2019
- [F3]Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,945,216 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 123,192 shares held by Mast Admiral Master Fund, L.P.
- [F4]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.
- [F5]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.
- [F6]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) 4,044 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 256 shares of Common Stock sold by Mast Admiral Master Fund, L.P.
- [F7]The price reported in Column 4 is not a weighted average price. These shares were sold in a single transaction at price of $8.3089 on March 21, 2019
- [F8]Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,941,172 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 122,936 shares held by Mast Admiral Master Fund, L.P.
- [F9]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) 15,047 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 953 shares of Common Stock sold by Mast Admiral Master Fund, L.P.
Documents
Issuer
Great Elm Capital Corp.
CIK 0001675033
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001429074
Filing Metadata
- Form type
- 4
- Filed
- Mar 21, 8:00 PM ET
- Accepted
- Mar 22, 8:09 PM ET
- Size
- 14.1 KB