Insider · CIK 0001715823

Kleinman Adam M

Reports to the SEC for 3 companies · PALM BEACH GARDENS, FL

sec.gov

Transactions

Companies

Filings

CIK

0001715823

Forms 4 and 5

Insider transactions

48 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2026-09-21	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+15.3K sh	—	—	59,889
2026-09-21	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+791 sh	—	—	60,680
2026-09-21	GECCGreat Elm Capital Corp.F Tax Payment	CCO and Secretary	FTax Payment	−3,451 sh	$5.37	−$18.5K	57,229
2026-09-21	GEGGreat Elm Group, Inc.A Award	President	AAward	+40.1K sh	—	—	625,498
2026-09-21	GEGGreat Elm Group, Inc.F Tax Payment	President	FTax Payment	−17.4K sh	$2.15	−$37.3K	608,131
2026-09-21	GEGGreat Elm Group, Inc. · Stock Options (right to buy)A Award	President	AAward	+40K sh	—	—	40,000
2025-09-23	GECCGreat Elm Capital Corp.F Tax Payment	CCO and Secretary	FTax Payment	−1,361 sh	$11.43	−$15.6K	44,597
2025-09-23	GEGGreat Elm Group, Inc.F Tax Payment	President	FTax Payment	−18.3K sh	$2.80	−$51.3K	585,394
2025-09-19	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+5,458 sh	—	—	45,802
2025-09-19	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+156 sh	—	—	45,958
2025-09-19	GEGGreat Elm Group, Inc.A Award	President	AAward	+23K sh	—	—	603,707
2024-09-24	GECCGreat Elm Capital Corp.J Other	CCO and Secretary	JOther	+2,093 sh	—	—	40,344
2024-09-24	GECCGreat Elm Capital Corp.J Other	CCO and Secretary	JOther	+2,093 sh	—	—	30,419
2024-09-20	GECCGreat Elm Capital Corp.J Other	CCO and Secretary	JOther	+6,194 sh	—	—	38,251
2024-09-20	GECCGreat Elm Capital Corp.J Other	CCO and Secretary	JOther	+6,194 sh	—	—	28,326
2024-09-20	GEGGreat Elm Group, Inc.A Award	President	AAward	+32.6K sh	—	—	580,730
2023-09-25	GEGGreat Elm Group, Inc.A Award	President	AAward	+60.4K sh	—	—	548,178
2022-09-20	GEGGreat Elm Group, Inc.A Award	President	AAward	+49.2K sh	—	—	387,792
2022-09-20	GEGGreat Elm Group, Inc.A Award	President	AAward	+100K sh	—	—	487,792
2022-06-15	GECCGreat Elm Capital Corp.M Exercise/Conversion	CCO and Secretary	MExercise/Conversion	+4,000 sh	$12.50	+$50K	20,558
2022-06-15	GECCGreat Elm Capital Corp. · Subscription RightsM Exercise/Conversion	CCO and Secretary	MExercise/Conversion	−4,000 sh	—	—	0
2021-09-24	GECCGreat Elm Capital Corp.J Other	CCO and Secretary	JOther	+79.4K sh	—	—	158,907.427
2021-01-21	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+1,794.988 sh	—	—	79,496.427
2020-12-21	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+1,645.796 sh	—	—	77,701.44
2020-11-20	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+2,290.893 sh	—	—	76,055.644
2020-10-21	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+1,010.638 sh	—	—	73,764.751
2020-09-28	GECCGreat Elm Capital Corp.X Exercise of In-Money	CCO and Secretary	XExercise of In-Money	+36K sh	$2.95	+$106K	72,754.113
2020-09-28	GECCGreat Elm Capital Corp. · Subscription RightsX Exercise of In-Money	CCO and Secretary	XExercise of In-Money	−36K sh	—	—	0
2020-09-21	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+669.12 sh	—	—	36,712.113
2020-08-21	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+640.428 sh	—	—	36,042.992
2020-07-15	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+685.298 sh	—	—	35,402.565
2020-06-15	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+656.611 sh	—	—	34,717.267
2020-05-15	GECCGreat Elm Capital Corp.A Award	CCO and Secretary	AAward	+841.656 sh	—	—	34,060.656
2019-11-20	GECCGreat Elm Capital Corp.P Purchase	CCO and Secretary	PPurchase	+7,500 sh	$7.90	+$59.3K	33,219
2019-08-30	GECCGreat Elm Capital Corp.P Purchase	CCO and Secretary	PPurchase	+369 sh	$8.25	+$3,044.25	25,719
2019-08-29	GECCGreat Elm Capital Corp.P Purchase	CCO and Secretary	PPurchase	+350 sh	$8.17	+$2,859.5	25,350
2019-08-06	Forest Investments, Inc.A Award	President and COO	AAward	+25.4K sh	—	—	338,562
2019-08-06	Forest Investments, Inc.Stock Option (Right to Buy)A Award	President and COO	AAward	+57.1K sh	—	—	57,143
2019-06-04	GECCGreat Elm Capital Corp.P Purchase	CCO and Secretary	PPurchase	+10K sh	$8.50	+$85K	25,000
2018-11-20	GECCGreat Elm Capital Corp.P Purchase	CCO and Secretary	PPurchase	+6,000 sh	$8.05	+$48.3K	15,000
2018-11-15	GECCGreat Elm Capital Corp.P Purchase	CCO and Secretary	PPurchase	+9,000 sh	$8.06	+$72.5K	9,000
2018-05-25	Forest Investments, Inc.P Purchase	President and COO	PPurchase	+20K sh	$3.80	+$76K	313,181
2017-11-21	Forest Investments, Inc.P Purchase	President and COO	PPurchase	+10K sh	$3.75	+$37.5K	293,181
2017-11-13	Forest Investments, Inc.P Purchase	President and COO	PPurchase	+20K sh	$3.65	+$73K	283,181
2017-11-10	Forest Investments, Inc.P Purchase	President and COO	PPurchase	+20K sh	$3.65	+$73K	263,181
2017-11-09	Forest Investments, Inc.P Purchase	President and COO	PPurchase	+10K sh	$3.65	+$36.5K	243,181
2017-09-18	Forest Investments, Inc.Option (right to buy)A Award	President and COO	AAward	+213K sh	—	—	213,000
2017-09-18	Forest Investments, Inc.Option (right to buy)A Award	President and COO	AAward	+194K sh	—	—	194,175

Recent filings

Accepted (ET)
Sep 234
Kleinman Adam M0000950103-26-014389
SEC(opens sec.gov)
Sep 234
Kleinman Adam M0000950103-26-014391
SEC(opens sec.gov)
Sep 234
Kleinman Adam M0000950103-25-012104
SEC(opens sec.gov)
Sep 234
Kleinman Adam M0000950103-25-012103
SEC(opens sec.gov)
Sep 274/A
Kleinman Adam M0001140361-24-042241
SEC(opens sec.gov)
Sep 244
Kleinman Adam M0001140361-24-041807
SEC(opens sec.gov)
Sep 244
Kleinman Adam M0001140361-24-041812
SEC(opens sec.gov)
Sep 274
Kleinman Adam M0001140361-23-045524
SEC(opens sec.gov)
Sep 204
Kleinman Adam M0001140361-22-034142
SEC(opens sec.gov)
Jun 174
Kleinman Adam M0001140361-22-023492
SEC(opens sec.gov)

Companies

Address

C/O GREAT ELM GROUP, INC. 3801 PGA BOULEVARD, SUITE 603

PALM BEACH GARDENS, FL, 33410