AlphaYouGECC: Kleinman Adam M discloses securities transactions
By AlphaYouPublished Form 4
Kleinman Adam M
Reporting filer
Kleinman Adam M reported Grant or award in Great Elm Capital Corp.: 15292 units of Common Stock, dated 2026-09-21. The full Form 4 contains 3 transaction entries.
- Disclosed
- Sep 23, 2026
Reported details
3 entries| Security | Owner | Date | Code | Action | Quantity | Price | Following holdings | Reporting delay | Filed terms and references |
|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Kleinman Adam M | 2026-09-21 | A | Grant or award | 15292 | 0 | 59,889 | 2 days | Filed terms
|
| Common Stock | Kleinman Adam M | 2026-09-21 | A | Grant or award | 791 | 0 | 60,680 | 2 days | Filed terms
|
| Common Stock | Kleinman Adam M | 2026-09-21 | F | Tax/exercise withholding | 3451 | 5.37 | 57,229 | 2 days | Filed terms
|
Common Stock
- Owner
- Kleinman Adam M
- Date
- 2026-09-21
- Code
- A
- Action
- Grant or award
- Quantity
- 15292
- Price
- 0
- Following holdings
- 59,889
- Reporting delay
- 2 days
- Filed terms and references
Filed terms
- security Title: Common Stock
- transaction Date: 2026-09-21
- deemed Execution Date:
- transaction Form Type: 4
- transaction Code: A
- equity Swap Involved: 0
- id: F1
- transaction Timeliness:
- transaction Shares: 15292
- transaction Price Per Share: 0
- transaction Acquired Disposed Code: A
- shares Owned Following Transaction: 59889
- direct Or Indirect Ownership: D
Common Stock
- Owner
- Kleinman Adam M
- Date
- 2026-09-21
- Code
- A
- Action
- Grant or award
- Quantity
- 791
- Price
- 0
- Following holdings
- 60,680
- Reporting delay
- 2 days
- Filed terms and references
Filed terms
- security Title: Common Stock
- transaction Date: 2026-09-21
- deemed Execution Date:
- transaction Form Type: 4
- transaction Code: A
- equity Swap Involved: 0
- id: F2
- transaction Timeliness:
- transaction Shares: 791
- transaction Price Per Share: 0
- transaction Acquired Disposed Code: A
- shares Owned Following Transaction: 60680
- direct Or Indirect Ownership: D
Common Stock
- Owner
- Kleinman Adam M
- Date
- 2026-09-21
- Code
- F
- Action
- Tax/exercise withholding
- Quantity
- 3451
- Price
- 5.37
- Following holdings
- 57,229
- Reporting delay
- 2 days
- Filed terms and references
Filed terms
- security Title: Common Stock
- transaction Date: 2026-09-21
- deemed Execution Date:
- transaction Form Type: 4
- transaction Code: F
- equity Swap Involved: 0
- id: F3
- transaction Timeliness:
- transaction Shares: 3451
- transaction Price Per Share: 5.37
- transaction Acquired Disposed Code: D
- shares Owned Following Transaction: 57229
- direct Or Indirect Ownership: D
Purchases, sales, grants and option exercises are different transactions. The reported code identifies the action; it does not establish a motive.
Filing context
- Quantities and prices are shown in the units filed. No trade value is inferred from their product.
- Kleinman Adam M: CCO and Secretary.
- 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 15,292 shares of common stock of GECC as equity compensation for his position at GECC, 3,823 of which vested on the grant date, September 21, 2026, and the remainder of which will vest in equal annual installments on September 20th of each year until September 20, 2029, 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.
Original sources
Prepared automatically from public filing data. Report a correction.