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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 26-Jan-21 5:01 PM View:  | Great Elm Capital Corp. (GECC) | 21-Jan-21 | Grant | 330 | -- | -- | 1% 25.26K to 25.59K | |
| 26-Jan-21 5:01 PM View: | Great Elm Capital Corp. (GECC) | 21-Jan-21 | Grant | 155 | -- | -- | < 1% 25.59K to 25.75K | |
| 23-Dec-20 6:41 PM View: | Great Elm Capital Corp. (GECC) | 21-Dec-20 | Grant | 324 | -- | -- | 1% 24.78K to 25.1K | |
| 23-Dec-20 6:41 PM View: | Great Elm Capital Corp. (GECC) | 21-Dec-20 | Grant | 157 | -- | -- | < 1% 25.1K to 25.26K | |
| 24-Nov-20 6:28 PM View: | Great Elm Capital Corp. (GECC) | 20-Nov-20 | Grant | 432 | -- | -- | 2% 24.14K to 24.57K | |
| 24-Nov-20 6:28 PM View: | Great Elm Capital Corp. (GECC) | 20-Nov-20 | Grant | 205 | -- | -- | < 1% 24.57K to 24.78K | |
| 23-Oct-20 9:25 PM View: | Great Elm Capital Corp. (GECC) | 21-Oct-20 | Grant | 245 | -- | -- | 1% 23.72K to 23.96K | |
| 23-Oct-20 9:25 PM View: | Great Elm Capital Corp. (GECC) | 21-Oct-20 | Grant | 177 | -- | -- | < 1% 23.96K to 24.14K | |
| 01-Oct-20 5:45 PM View: | Great Elm Capital Corp. (GECC) | 28-Sep-20 | Exercise (in-the money or at-the-money) | 5,773 | $2.95 | $17,030.30 | 32% 17.95K to 23.72K | |
| 23-Sep-20 7:49 PM View: | Great Elm Capital Corp. (GECC) | 21-Sep-20 | Grant | 160 | -- | -- | < 1% 17.67K to 17.83K | |
| 23-Sep-20 7:49 PM View: | Great Elm Capital Corp. (GECC) | 21-Sep-20 | Grant | 116 | -- | -- | < 1% 17.83K to 17.95K | |
| 25-Aug-20 8:32 PM View: | Great Elm Capital Corp. (GECC) | 21-Aug-20 | Grant | 161 | -- | -- | < 1% 17.39K to 17.55K | |
| 25-Aug-20 8:32 PM View: | Great Elm Capital Corp. (GECC) | 21-Aug-20 | Grant | 120 | -- | -- | < 1% 17.55K to 17.67K | |
| 17-Jul-20 6:34 PM View: | Great Elm Capital Corp. (GECC) | 15-Jul-20 | Grant | 119 | -- | -- | < 1% 17.12K to 17.23K | |
| 17-Jul-20 6:34 PM View: | Great Elm Capital Corp. (GECC) | 15-Jul-20 | Grant | 114 | -- | -- | < 1% 17.23K to 17.35K | |
| 23-Jul-20 8:38 PM View: | Great Elm Capital Corp. (GECC) | 15-Jul-20 | Grant | 41 | -- | -- | < 1% 17.35K to 17.39K | |
| 17-Jun-20 8:01 PM View: | Great Elm Capital Corp. (GECC) | 15-Jun-20 | Grant | 152 | -- | -- | < 1% 16.86K to 17.01K | |
| 17-Jun-20 8:01 PM View: | Great Elm Capital Corp. (GECC) | 15-Jun-20 | Grant | 108 | -- | -- | < 1% 17.01K to 17.12K | |
| 19-May-20 9:00 PM View: | Great Elm Capital Corp. (GECC) | 15-May-20 | Grant | 185 | -- | -- | 1% 16.55K to 16.73K | |
| 19-May-20 9:00 PM View: | Great Elm Capital Corp. (GECC) | 15-May-20 | Grant | 126 | -- | -- | < 1% 16.73K to 16.86K | |
| 04-Nov-16 7:02 AM View: | Full Circle Capital Corp (FULL) | 03-Nov-16 | Disposition | 41,830 | -- | -- | (56%) 74.68K to 32.85K | |
| 04-Nov-16 7:02 AM View: | Full Circle Capital Corp (FULL) | 03-Nov-16 | Disposition | 32,846 | -- | -- | (100%) 32.85K to 0 | |
| 04-Nov-16 7:02 AM View: | Full Circle Capital Corp (FULL) | 02-Nov-16 | Disposition (other) | 1,453,690 | $2.69 | $3,910,430.00 | (95%) 1.53M to 74.68K | (9%) |
| 08-Apr-15 9:01 AM View: | Full Circle Capital Corp (FULL) | 07-Apr-15 | Market Purchase | 1,428,570 | $3.50 | $5,000,000.00 | 1691% 84.5K to 1.51M | (3%) |
| 08-Apr-15 9:01 AM View: | Full Circle Capital Corp (FULL) | 07-Apr-15 | Market Purchase | 6,400 | $3.50 | $22,400.00 | < 1% 1.51M to 1.52M | (3%) |
| 08-Apr-15 9:01 AM View: | Full Circle Capital Corp (FULL) | 07-Apr-15 | Market Purchase | 8,900 | $3.50 | $31,150.00 | < 1% 1.52M to 1.53M | (3%) |
| 02-Mar-15 5:52 PM View: | Full Circle Capital Corp (FULL) | 27-Feb-15 | Market Purchase | 18,468 | $3.77 | $69,624.40 | 28% 66.03K to 84.5K | (8%) |
| 02-Mar-15 5:52 PM View: | Full Circle Capital Corp (FULL) | 26-Feb-15 | Market Purchase | 6,532 | $3.77 | $24,625.60 | 11% 59.5K to 66.03K | (8%) |
| 08-Dec-14 3:25 PM View: | Full Circle Capital Corp (FULL) | 08-Dec-14 | Market Purchase | 7,000 | $4.70 | $32,900.00 | 13% 52.5K to 59.5K | (23%) |
| 22-Sep-14 3:53 PM View: | Full Circle Capital Corp (FULL) | 22-Sep-14 | Market Purchase | 2,000 | $6.22 | $12,440.00 | 4% 50.5K to 52.5K | (40%) |
| 23-Jun-14 9:27 AM View: | Full Circle Capital Corp (FULL) | 19-Jun-14 | Market Purchase | 1,000 | $7.40 | $7,400.00 | 2% 45.5K to 46.5K | (48%) |
| 23-Jun-14 9:27 AM View: | Full Circle Capital Corp (FULL) | 19-Jun-14 | Market Purchase | 4,000 | $7.40 | $29,600.00 | 9% 46.5K to 50.5K | (48%) |
| 16-Dec-13 5:18 PM View: | Full Circle Capital Corp (FULL) | 16-Dec-13 | Market Purchase | 1,000 | $7.22 | $7,220.00 | 2% 44.4K to 45.4K | (44%) |
| 12-Dec-13 4:56 PM View: | Full Circle Capital Corp (FULL) | 12-Dec-13 | Market Purchase | 2,000 | $7.20 | $14,400.00 | 5% 42.4K to 44.4K | (44%) |
| 06-Dec-12 2:34 PM View: | Full Circle Capital Corp (FULL) | 06-Dec-12 | Market Purchase | 2,000 | $7.25 | $14,490.20 | 5% 40.4K to 42.4K | (37%) |
| 15-Nov-12 5:53 PM View: | Full Circle Capital Corp (FULL) | 15-Nov-12 | Market Purchase | 1,000 | $6.83 | $6,830.00 | 3% 39.4K to 40.4K | (33%) |
| 16-Dec-11 2:27 PM View: | Full Circle Capital Corp (FULL) | 15-Dec-11 | Market Purchase | 1,000 | $6.96 | $6,960.00 | 3% 36.66K to 37.66K | (27%) |
| 15-Nov-11 4:52 PM View: | Full Circle Capital Corp (FULL) | 14-Nov-11 | Market Purchase | 1,000 | $7.08 | $7,080.00 | 3% 35.4K to 36.4K | (28%) |
| 15-Jun-11 11:33 AM View: | Full Circle Capital Corp (FULL) | 14-Jun-11 | Market Purchase | 1,000 | $7.75 | $7,750.00 | 3% 31.04K to 32.04K | (29%) |
| 10-Jun-11 2:47 PM View: | Full Circle Capital Corp (FULL) | 09-Jun-11 | Market Purchase | 1,000 | $7.92 | $7,920.00 | 3% 30.04K to 31.04K | (31%) |
| 18-Mar-11 11:21 AM View: | Full Circle Capital Corp (FULL) | 16-Mar-11 | Market Purchase | 1,000 | $8.17 | $8,170.00 | 3% 29.04K to 30.04K | (31%) |
| 17-Nov-10 10:38 AM View: | Full Circle Capital Corp (FULL) | 16-Nov-10 | Market Purchase | 1,000 | $8.40 | $8,400.00 | 4% 28.14K to 29.14K | (32%) |
| 14-Sep-10 11:03 AM View: | Full Circle Capital Corp (FULL) | 10-Sep-10 | Market Purchase | 500 | $8.75 | $4,375.00 | 2% 28.04K to 28.54K | (35%) |
| 03-Sep-10 2:23 PM View: | Full Circle Capital Corp (FULL) | 01-Sep-10 | Purchase | 1,400 | $8.83 | $12,362.00 | 5% 26.64K to 28.04K |