Kleinman Adam M 4
4 · Great Elm Capital Corp. · Filed Sep 23, 2025
Insider Transaction Report
Form 4
Kleinman Adam M
CCO and Secretary
Transactions
- Award
Common Stock
2025-09-19+156→ 45,958 total - Tax Payment
Common Stock
2025-09-23$11.43/sh−1,361$15,556→ 44,597 total - Award
Common Stock
2025-09-19+5,458→ 45,802 total
Footnotes (3)
- [F1]Mr. Kleinman is the Chief Compliance Officer and Secretary of Great Elm Capital Corp. ("GECC"). Mr. Kleinman received the exempt grant of an award of 5,458 shares of common stock of GECC as equity compensation for his position at GECC, 1,365 of which vested on the grant date, September 19, 2025, and the remainder of which will vest in equal annual installments on September 20th of each year until September 20, 2028, subject to continued service with GECM.
- [F2]Represents the exempt acquisition of shares of common stock of GECC as a result of a stock dividend associated with the portion of the equity compensation awarded to Mr. Kleinman in previous years that vested on the anniversary of those grant dates.
- [F3]Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3.