Kuperschmid Mark 4
4 · Great Elm Capital Corp. · Filed Oct 1, 2020
Insider Transaction Report
Form 4
Kuperschmid Mark
Director
Transactions
- Exercise of In-Money
Common Stock
2020-09-28$2.95/sh+12,000$35,400→ 33,417 total(indirect: By LLC) - Exercise of In-Money
Subscription Rights
2020-09-28−12,000→ 0 total(indirect: By LLC)Exercise: $2.95From: 2020-09-08Exp: 2020-09-28→ Common Stock (12,000 underlying)
Footnotes (2)
- [F1]On September 28, 2020, the Reporting Person exercised certain of his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering.
- [F2]The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose.