4//SEC Filing
Mast Capital Management, LLC 4
Accession 0000899243-19-015190
CIK 0001675033other
Filed
May 29, 8:00 PM ET
Accepted
May 30, 5:05 PM ET
Size
14.1 KB
Accession
0000899243-19-015190
Insider Transaction Report
Form 4
Mast Capital Management LLC
10% Owner
Transactions
- Sale
Common Stock
2019-05-29$8.90/sh−5,300$47,170→ 1,148,908 total(indirect: See footnotes) - Sale
Common Stock
2019-05-30$8.86/sh−7,000$62,031→ 1,141,908 total(indirect: See footnotes) - Sale
Common Stock
2019-05-28$8.88/sh−8,800$78,155→ 1,154,208 total(indirect: See footnotes)
Steinberg David J.
10% Owner
Transactions
- Sale
Common Stock
2019-05-29$8.90/sh−5,300$47,170→ 1,148,908 total(indirect: See footnotes) - Sale
Common Stock
2019-05-30$8.86/sh−7,000$62,031→ 1,141,908 total(indirect: See footnotes) - Sale
Common Stock
2019-05-28$8.88/sh−8,800$78,155→ 1,154,208 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) 8,800 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 $8.8616 on May 30, 2019
- [F11]Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,070,361 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 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 $8.8812 on May 28, 2019
- [F3]Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,082,661 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 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) 5,300 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 $8.90 on May 29, 2019
- [F8]Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 1,077,361 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 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) 7,000 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
IncorporatedDE
Related Parties
1- filerCIK 0001429074
Filing Metadata
- Form type
- 4
- Filed
- May 29, 8:00 PM ET
- Accepted
- May 30, 5:05 PM ET
- Size
- 14.1 KB