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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 24-Sep-24 9:35 PM View:  | Great Elm Group, Inc. (GEG) | 20-Sep-24 | Grant | 32,552 | -- | -- | 6% 548.18K to 580.73K | |
| 27-Sep-23 4:16 PM View: | Great Elm Group, Inc. (GEG) | 25-Sep-23 | Grant | 60,386 | -- | -- | 12% 487.79K to 548.18K | |
| 20-Sep-22 9:22 PM View: | Great Elm Group, Inc. (GEG) | 20-Sep-22 | Grant | 149,230 | -- | -- | 21% 726.35K to 875.58K | |
| 17-Jun-22 4:50 PM View: | Great Elm Capital Corp. (GECC) | 15-Jun-22 | Option Exercise | 4,000 | $12.50 | $50,000.00 | 24% 16.56K to 20.56K | |
| 28-Sep-21 7:44 PM View: | Great Elm Capital Corp. (GECC) | 24-Sep-21 | Acquisition (other) | 79,411 | -- | -- | 100% 79.5K to 158.91K | |
| 26-Jan-21 4:46 PM View: | Great Elm Capital Corp. (GECC) | 21-Jan-21 | Grant | 1,795 | -- | -- | 2% 77.7K to 79.5K | |
| 23-Dec-20 6:21 PM View: | Great Elm Capital Corp. (GECC) | 21-Dec-20 | Grant | 1,646 | -- | -- | 2% 76.06K to 77.7K | |
| 24-Nov-20 5:59 PM View: | Great Elm Capital Corp. (GECC) | 20-Nov-20 | Grant | 2,291 | -- | -- | 3% 73.77K to 76.06K | |
| 23-Oct-20 9:05 PM View: | Great Elm Capital Corp. (GECC) | 21-Oct-20 | Grant | 1,011 | -- | -- | 1% 72.75K to 73.77K | |
| 01-Oct-20 5:27 PM View: | Great Elm Capital Corp. (GECC) | 28-Sep-20 | Exercise (in-the money or at-the-money) | 36,042 | $2.95 | $106,324.00 | 98% 36.71K to 72.75K | |
| 23-Sep-20 7:30 PM View: | Great Elm Capital Corp. (GECC) | 21-Sep-20 | Grant | 669 | -- | -- | 2% 36.04K to 36.71K | |
| 25-Aug-20 8:01 PM View: | Great Elm Capital Corp. (GECC) | 21-Aug-20 | Grant | 640 | -- | -- | 2% 35.4K to 36.04K | |
| 17-Jul-20 6:03 PM View: | Great Elm Capital Corp. (GECC) | 15-Jul-20 | Grant | 685 | -- | -- | 2% 34.72K to 35.4K | |
| 17-Jun-20 7:51 PM View: | Great Elm Capital Corp. (GECC) | 15-Jun-20 | Grant | 657 | -- | -- | 2% 34.06K to 34.72K | |
| 19-May-20 5:40 PM View: | Great Elm Capital Corp. (GECC) | 15-May-20 | Grant | 842 | -- | -- | 3% 33.22K to 34.06K | |
| 21-Nov-19 6:48 PM View: | Great Elm Capital Corp. (GECC) | 20-Nov-19 | Market Purchase | 7,500 | $7.90 | $59,250.00 | 29% 25.72K to 33.22K | (69%) |
| 03-Sep-19 4:28 PM View: | Great Elm Capital Corp. (GECC) | 30-Aug-19 | Market Purchase | 369 | $8.25 | $3,044.25 | 1% 25.35K to 25.72K | (70%) |
| 03-Sep-19 4:28 PM View: | Great Elm Capital Corp. (GECC) | 29-Aug-19 | Market Purchase | 350 | $8.17 | $2,859.50 | 1% 25.0K to 25.35K | (70%) |
| 07-Aug-19 4:07 PM View: | Openwave Systems Inc. (GEC) | 06-Aug-19 | Grant | 25,381 | -- | -- | 8% 313.18K to 338.56K | |
| 06-Jun-19 4:37 PM View: | Great Elm Capital Corp. (GECC) | 04-Jun-19 | Market Purchase | 10,000 | $8.50 | $85,000.00 | 67% 15.0K to 25.0K | (72%) |
| 21-Nov-18 4:20 PM View: | Great Elm Capital Corp. (GECC) | 20-Nov-18 | Market Purchase | 6,000 | $8.05 | $48,300.00 | 67% 9.0K to 15.0K | (70%) |
| 19-Nov-18 7:57 PM View: | Great Elm Capital Corp. (GECC) | 15-Nov-18 | Market Purchase | 9,000 | $8.06 | $72,540.00 | 100% 0 to 9.0K | (70%) |
| 25-May-18 7:09 PM View: | Openwave Systems Inc. (GEC) | 25-May-18 | Market Purchase | 20,000 | $3.80 | $76,000.00 | 7% 293.18K to 313.18K | (29%) |
| 22-Nov-17 4:05 PM View: | Openwave Systems Inc. (GEC) | 21-Nov-17 | Market Purchase | 10,000 | $3.75 | $37,500.00 | 4% 283.18K to 293.18K | (28%) |
| 15-Nov-17 4:54 PM View: | Openwave Systems Inc. (GEC) | 13-Nov-17 | Market Purchase | 20,000 | $3.65 | $73,000.00 | 8% 263.18K to 283.18K | (26%) |
| 13-Nov-17 5:04 PM View: | Openwave Systems Inc. (GEC) | 10-Nov-17 | Market Purchase | 20,000 | $3.65 | $73,000.00 | 8% 243.18K to 263.18K | (26%) |
| 13-Nov-17 5:04 PM View: | Openwave Systems Inc. (GEC) | 09-Nov-17 | Market Purchase | 10,000 | $3.65 | $36,500.00 | 4% 233.18K to 243.18K | (26%) |