Vault-13

GREAT ELM CAP CORP GECC

COM NEW · Common Stock · CUSIP 390320703

19 institutional holders -4 vs Q1 2026
663,399663.4k shares reported held*
$3.6mreported value*
4 new 2 added 5 reduced 8 sold out net sold ≈ $1.1m (-205.6k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $5.45.

Trends to Q2 2026

Institutional holders

Managers reporting a position, each quarter

0102030Q3 22: 10Q4 22: 12Q1 23: 11Q2 23: 18Q3 23: 15Q4 23: 19Q1 24: 17Q2 24: 17Q3 24: 15Q4 24: 15Q1 25: 15Q2 25: 22Q3 25: 22Q4 25: 26Q1 26: 23Q2 26: 1919Q3 22Q3 23Q3 24Q3 25Q2 26
Numbers
QuarterHolders
Q3 202210
Q4 202212
Q1 202311
Q2 202318
Q3 202315
Q4 202319
Q1 202417
Q2 202417
Q3 202415
Q4 202415
Q1 202515
Q2 202522
Q3 202522
Q4 202526
Q1 202623
Q2 202619

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
20020Q3 24: 4 bought or addedQ3 24: 7 cut or sold outQ4 24: 8 bought or addedQ4 24: 4 cut or sold outQ4 24Q1 25: 4 bought or addedQ1 25: 8 cut or sold outQ2 25: 12 bought or addedQ2 25: 1 cut or sold outQ2 25Q3 25: 10 bought or addedQ3 25: 9 cut or sold outQ4 25: 15 bought or addedQ4 25: 9 cut or sold outQ4 25Q1 26: 9 bought or addedQ1 26: 15 cut or sold outQ2 26: 6 bought or addedQ2 26: 13 cut or sold outQ2 26
Numbers
QuarterBought or addedCut or sold out
Q3 202447
Q4 202484
Q1 202548
Q2 2025121
Q3 2025109
Q4 2025159
Q1 2026915
Q2 2026613

Biggest buyers

Biggest sellers

Squarepoint Ops LLC Sold out -64,942-64.9k
Curi Capital, LLC Sold out -60,000-60.0k
JANE STREET GROUP, LLC Sold out -41,244-41.2k
Papamarkou Wellner Asset Management inc. Sold out -30,200-30.2k
Cruiser Capital Advisors, LLC Reduced -29,691-29.7k
TWO SIGMA SECURITIES, LLC Sold out -17,066-17.1k
NORTHERN TRUST CORP Sold out -11,765-11.8k
HRT FINANCIAL LP Sold out -11,178-11.2k
Ethos Financial Group, LLC Reduced -2,250-2.2k
WELLS FARGO & COMPANY/MN Reduced -878-878

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
Great Elm Strategic Partnership I, LLC 13G · passive investor -1.2 pts · filed 2026-08-06 9.9% -1.2 pts 1.4m≈ $7.5m 2026-08-06
Smith Booker 13G · passive investor new · filed 2025-09-04 9.9% new 1.3m≈ $7.0m 2025-09-04
Great Elm Group, Inc. 13D · may seek influence -1.4 pts · filed 2025-10-09 9.7% -1.4 pts 1.4m≈ $7.4m 2025-10-09
Summit Grove Partners, LLC 13G · passive investor filed 2026-08-06 7.6% 1.0m≈ $5.7m 2026-08-06
Prosper Peak Holdings, LLC 13G · passive investor filed 2026-08-06 7.0% 972.5k≈ $5.3m 2026-08-06

Fell to 5% or below in the last year: Northern Right Capital Management, L.P. (3.3%, 2026-05-15)

Insider purchases and sales since 1 Apr 2026

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
202Q4 24: 0 buyingQ4 24: 0 sellingQ1 25: 0 buyingQ1 25: 0 sellingQ1 25Q2 25: 2 buyingQ2 25: 0 sellingQ3 25: 0 buyingQ3 25: 0 sellingQ3 25Q4 25: 1 buyingQ4 25: 0 sellingQ1 26: 0 buyingQ1 26: 0 sellingQ1 26Q2 26: 0 buyingQ2 26: 0 sellingQ3 26: 0 buyingQ3 26: 0 sellingQ3 26
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q4 20240—0——
Q1 20250—0——
Q2 20252$219.6k0——
Q3 20250—0——
Q4 20251$150.1k0——
Q1 20260—0——
Q2 20260—0——
Q3 20260—0——

None reported since 1 Apr 2026.

Holders, Q2 2026

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Northern Right Capital Management, L.P. 0.62% of their portfolio DARIEN, CT 383,971384.0k $2.1m $2.1m 0.62% Unchanged
2 Cruiser Capital Advisors, LLC 0.33% of their portfolio Stamford, CT 97,77997.8k $532.9k $532.9k 0.33% Reduced -29.7k -29,691
3 UBS Group AG 0.00% of their portfolio ZURICH, V8 28,25028.2k $154.0k $154.0k 0.00% Added +22.3k +22,329
4 Crestwood Advisors Group, LLC 0.00% of their portfolio BOSTON, MA 26,62526.6k $145.1k $145.1k 0.00% Unchanged
5 Vident Advisory, LLC 0.00% of their portfolio Alpharetta, GA 26,60926.6k $145.0k $145.0k 0.00% New
6 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 25,00025.0k $136.2k $136.2k 0.00% Unchanged
7 Ethos Financial Group, LLC 0.01% of their portfolio KING OF PRUSSIA, PA 24,05924.1k $131.1k $131.1k 0.01% Reduced -2.2k -2,250
8 Significant Wealth Partners LLC 0.10% of their portfolio CARY, IL 16,77116.8k $91.4k $91.4k 0.10% Added +298 +298
9 Founders Financial Alliance, LLC 0.01% of their portfolio RALEIGH, NC 13,77013.8k $75.0k $75.0k 0.01% New
10 Rangeley Capital, LLC 0.05% of their portfolio NEW CANAAN, CT 10,00010.0k $54.5k $54.5k 0.05% Unchanged
11 TRUST CO OF TOLEDO NA /OH/ 0.00% of their portfolio HOLLAND, OH 3,8743.9k $21.1k $21.1k 0.00% Unchanged
12 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 2,6122.6k $14.0k $14.0k 0.00% Unchanged
13 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 1,4001.4k $7.6k $7.6k 0.00% Reduced -6 -6
14 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,3871.4k $7.6k $7.6k 0.00% Reduced -36 -36
15 Russell Investments Group, Ltd. 0.00% of their portfolio Seattle, WA 744744 $4.1k $4.1k 0.00% New
16 Triumph Capital Management 0.00% of their portfolio DENVER, CO 500500 $2.7k $2.7k 0.00% Unchanged
17 Caitong International Asset Management Co., Ltd 0.00% of their portfolio HONG KONG, K3 4444 $240 $240 0.00% New
18 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 33 $15 $15 0.00% Reduced -878 -878
19 Arax Advisory Partners 0.00% of their portfolio NEW YORK, NY 11 $6 $6 0.00% Unchanged