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GECC · NASDAQ · Asset Management

Great Elm Capital (GECC)

Finances middle-market companies through corporate credit, specialty-finance platforms, and CLO equity.

$5.47

vs last close+0.07 (+1.20%)

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13F · 13D/G · Form 4

Institutions	4.78%	663.4K shares
20 holders · as of Jun 30, 2026
Insiders	3.30%	458.3K shares
6 holders · as of Mar 5, 2026
Strategic holders	50.29%	6.99M shares
6 holders · as of Jun 30, 2026
Other	41.63%	5.78M shares
remainder

13.89M company shares as of Sep 23, 2026 · institutions as of Jun 30, 2026 · holders as of their latest filing

Two share counts disagree (13.89M in the company's Sep 23, 2026 report, 11.53M elsewhere); stakes use the report.

13F · 13D/G · Form 4

Holder	Stake	Shares	Date
Great Elm Strategic Partnership I, LLC^1,2Strategic10 percent owner	9.92%	1.56M	filed Jun 30, 2026
Great Elm Group, Inc.^3,4Strategic10 percent owner	9.78%	1.36M	filed Oct 9, 2025
Poor Richard LLCStrategic	9.29%	1.29M	filed Sep 4, 2025
Summit Grove Partners, LLCStrategic	7.88%	1.09M	filed Dec 12, 2024
Prosper Peak Holdings, LLCStrategic	7.18%	997,506	filed Jun 24, 2024
Forest Investments, Inc.⁵Strategic	6.24%	327,778	filed Dec 31, 2020
Northern Right Capital Management, L.P.Institution	2.76%	383,971	as of Jun 30, 2026
Jason W. ReeseInsiderdirector	1.65%	229,460	filed Mar 5, 2026
Matthew D. KaplanInsiderofficer: CEO and President	1.03%	142,400	filed Nov 10, 2025
Cruiser Capital Advisors, LLCInstitution	0.70%	97,779	as of Jun 30, 2026
Adam M. KleinmanInsiderofficer: CCO and Secretary	0.32%	44,597	filed Sep 23, 2025
UBS Group AGInstitution	0.20%	28,250	as of Jun 30, 2026
Crestwood Advisors Group LLCInstitution	0.19%	26,625	as of Jun 30, 2026
Vident Advisory, LLCInstitution	0.19%	26,609	as of Jun 30, 2026
Rockefeller Capital Management L.P.Institution	0.18%	25,000	as of Jun 30, 2026
Ethos Financial Group, LLCInstitution	0.17%	24,059	as of Jun 30, 2026
Keri DavisInsiderofficer: CFO	0.16%	21,893	filed Sep 23, 2025
Richard M. CohenInsiderdirector	0.13%	18,136	filed Jun 13, 2025
Significant Wealth Partners LLCInstitution	0.12%	16,771	as of Jun 30, 2026
Founders Financial Alliance, LLCInstitution	0.10%	13,770	as of Jun 30, 2026
Rangeley Capital, LLCInstitution	0.07%	10,000	as of Jun 30, 2026
Trust Co of Toledo Na /OH/Institution	0.03%	3,874	as of Jun 30, 2026
Royal Bank of CanadaInstitution	0.02%	2,612	as of Jun 30, 2026
Chad PerryInsiderdirector	0.01%	1,850	filed Jun 5, 2025
Allworth Financial LPInstitution	0.01%	1,400	as of Jun 30, 2026

Great Elm Strategic Partnership I, LLC's transaction reports restate only vehicles that traded; the 2025 ownership statement (1.56M) less the 180.0K net shares sold since is used instead.
Great Elm Strategic Partnership I, LLC reports a block also reported by Great Elm Group, Inc.; it is counted once, under Great Elm Group, Inc.
Great Elm Group, Inc.'s transaction reports restate only vehicles that traded; the 2025 ownership statement (1.36M) is used instead.
Great Elm Group, Inc. reports a block also reported by Northern Right Capital Management, L.P.; it is counted once, under Northern Right Capital Management, L.P.
Forest Investments, Inc.'s transaction reports restate only vehicles that traded; the 2018 ownership statement (327.8K) plus the 539.0K net shares acquired since is used instead.

13F, as of Jun 30, 2026

20 holders · 663.4K shares · 5 new positions · 7 increased · 5 reduced · 8 closed

Holder	Shares	% outstanding	Chg q/q	Filed
Northern Right Capital Management, L.P.	384.0K	2.76%	0	Aug 14, 2026
Cruiser Capital Advisors, LLC	97.8K	0.70%	−29.7K	Aug 14, 2026
UBS Group AG	28.3K	0.20%	+22.3K	Aug 13, 2026
Crestwood Advisors Group LLC	26.6K	0.19%	0	Aug 3, 2026
Vident Advisory, LLC	26.6K	0.19%	+26.6Knew	Aug 12, 2026
Rockefeller Capital Management L.P.	25.0K	0.18%	0	Aug 13, 2026
Ethos Financial Group, LLC	24.1K	0.17%	−2.3K	Aug 7, 2026
Significant Wealth Partners LLC	16.8K	0.12%	+298	Jul 14, 2026

13D/G · 5% or more, as filed

Holder	% of class	Shares	Form	Filed
Great Elm Strategic Partnership I, LLC	11.13%	1.56M	13G	Nov 10, 2025
Poor Richard LLC	9.90%	1.29M	13G	Sep 4, 2025
Great Elm Group, Inc.	9.70%	1.36M	13D	Oct 9, 2025
Summit Grove Partners, LLC	9.50%	1.09M	13G	Dec 12, 2024
Matthew A. Drapkinincl. Northern Right Capital (QP), L.P., Northern Right Fund GP LLC +3 more	7.60%	874.2K	13D	Jan 21, 2025

Form 4

Latest trades

Date	Insider	Type	Shares	Avg price	Owned after
Nov 7, 2025	Matthew D. Kaplanofficer: CEO and President	Purchase	19,650	$7.64	142,400
Sep 26, 2025	Great Elm Strategic Partnership I, LLC10 percent owner	Sale	2,313	$11.45	1,558,260
Sep 25, 2025	Great Elm Strategic Partnership I, LLC10 percent owner	Sale	1,696	$11.45	1,560,573
Sep 23, 2025	Great Elm Strategic Partnership I, LLC10 percent owner	Sale	1,490	$11.45	1,562,269
Sep 22, 2025	Great Elm Strategic Partnership I, LLC10 percent owner	Sale	48,248	$11.45	1,563,759

House and Senate disclosures

Not reported.

Breakdown

Top shareholders

Institutions

Ownership statements

Insider trades

Latest trades

Congress