GECC: Great Elm Group, Inc. discloses securities transactions

By AlphaYouPublished Sep 23, 2026Form 4

Stocks in this disclosure

Reported activity

Great Elm Group, Inc.

Reporting filer

Great Elm Group, Inc. reported Other (see filing) in Great Elm Capital Corp.: 111958 units of Common Stock, dated 2026-09-21. The full Form 4 contains 1 transaction entry.

Disclosed: Sep 23, 2026

Reported details

1 entry

All validated entries in this disclosure
Security	Owner	Date	Code	Action	Quantity	Price	Following holdings	Reporting delay	Filed terms and references
Common Stock	Great Elm Group, Inc.	2026-09-21	J	Other (see filing)	111958	0	1,244,167	2 days	Filed terms security Title: Common Stock transaction Date: 2026-09-21 deemed Execution Date: transaction Form Type: 4 transaction Code: J equity Swap Involved: 0 id: F1 transaction Timeliness: transaction Shares: 111958 transaction Price Per Share: 0 transaction Acquired Disposed Code: D shares Owned Following Transaction: 1244167 direct Or Indirect Ownership: D id: F2

Common Stock

Owner: Great Elm Group, Inc.
Date: 2026-09-21
Code: J
Action: Other (see filing)
Quantity: 111958
Price: 0
Following holdings: 1,244,167
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: J
equity Swap Involved: 0
id: F1
transaction Timeliness:
transaction Shares: 111958
transaction Price Per Share: 0
transaction Acquired Disposed Code: D
shares Owned Following Transaction: 1244167
direct Or Indirect Ownership: D
id: F2

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.
Great Elm Group, Inc.: 10% owner.
F1: Reflects shares of common stock of Great Elm Capital Corp. ("GECC") owned by Great Elm Group, Inc. ("GEG") that (i) GEG granted as compensation to certain employees in exchange for no consideration and (ii) which were delivered by GEG (together with any accumulated stock dividends thereon) to such employees in connection with the vesting of such awards (or an applicable portion thereof).
F2: Prior to the vesting and delivery of any such compensation awards (or any portion thereof), GEG retains beneficial ownership rights over the GECC shares underlying such awards, the number of which are included in GEG's direct holdings.

Original sources

SEC ownership filing

Prepared automatically from public filing data. Report a correction.

Security

Owner

Date

Code

Action

Quantity

Price

Following holdings

Reporting delay

Filed terms and references

Common Stock

Great Elm Group, Inc.

2026-09-21

Other (see filing)

111958

1,244,167

2 days

Filed terms

security Title: Common Stock
transaction Date: 2026-09-21
deemed Execution Date:
transaction Form Type: 4
transaction Code: J
equity Swap Involved: 0
id: F1
transaction Timeliness:
transaction Shares: 111958
transaction Price Per Share: 0
transaction Acquired Disposed Code: D
shares Owned Following Transaction: 1244167
direct Or Indirect Ownership: D
id: F2

Filing context

Quantities and prices are shown in the units filed. No trade value is inferred from their product.

Great Elm Group, Inc.: 10% owner.

F1: Reflects shares of common stock of Great Elm Capital Corp. ("GECC") owned by Great Elm Group, Inc. ("GEG") that (i) GEG granted as compensation to certain employees in exchange for no consideration and (ii) which were delivered by GEG (together with any accumulated stock dividends thereon) to such employees in connection with the vesting of such awards (or an applicable portion thereof).

F2: Prior to the vesting and delivery of any such compensation awards (or any portion thereof), GEG retains beneficial ownership rights over the GECC shares underlying such awards, the number of which are included in GEG's direct holdings.