4//SEC Filing
Steinberg David J. 4
Accession 0000899243-19-014289
CIK 0001675033other
Filed
May 20, 8:00 PM ET
Accepted
May 21, 6:44 PM ET
Size
14.1 KB
Accession
0000899243-19-014289
Insider Transaction Report
Form 4
Steinberg David J.
10% Owner
Transactions
- Sale
Common Stock
2019-05-20$8.83/sh−6,200$54,760→ 1,443,908 total(indirect: See footnotes) - Sale
Common Stock
2019-05-21$8.85/sh−6,900$61,055→ 1,437,008 total(indirect: See footnotes) - Sale
Common Stock
2019-05-17$8.72/sh−5,400$47,099→ 1,450,108 total(indirect: See footnotes)
Mast Capital Management LLC
10% Owner
Transactions
- Sale
Common Stock
2019-05-17$8.72/sh−5,400$47,099→ 1,450,108 total(indirect: See footnotes) - Sale
Common Stock
2019-05-20$8.83/sh−6,200$54,760→ 1,443,908 total(indirect: See footnotes) - Sale
Common Stock
2019-05-21$8.85/sh−6,900$61,055→ 1,437,008 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) 5,400 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 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 $8.8485 on May 21, 2019
- [F11]Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,350,323 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 86,685 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 $8.7221 on May 17, 2019
- [F3]Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,363,423 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 86,685 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) 6,200 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 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 $8.8323 on May 20, 2019
- [F8]Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,357,223 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 86,685 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) 6,900 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P.
Documents
Issuer
Great Elm Capital Corp.
CIK 0001675033
Entity typeother
Related Parties
1- filerCIK 0001429076
Filing Metadata
- Form type
- 4
- Filed
- May 20, 8:00 PM ET
- Accepted
- May 21, 6:44 PM ET
- Size
- 14.1 KB