GREAT ELM CAP CORP GECC
COM NEW · Common Stock · CUSIP 390320703
* 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
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 10 |
| Q4 2022 | 12 |
| Q1 2023 | 11 |
| Q2 2023 | 18 |
| Q3 2023 | 15 |
| Q4 2023 | 19 |
| Q1 2024 | 17 |
| Q2 2024 | 17 |
| Q3 2024 | 15 |
| Q4 2024 | 15 |
| Q1 2025 | 15 |
| Q2 2025 | 22 |
| Q3 2025 | 22 |
| Q4 2025 | 26 |
| Q1 2026 | 23 |
| Q2 2026 | 19 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q3 2024 | 4 | 7 |
| Q4 2024 | 8 | 4 |
| Q1 2025 | 4 | 8 |
| Q2 2025 | 12 | 1 |
| Q3 2025 | 10 | 9 |
| Q4 2025 | 15 | 9 |
| Q1 2026 | 9 | 15 |
| Q2 2026 | 6 | 13 |
Biggest buyers
| Vident Advisory, LLC | New | +26.6k |
| UBS Group AG | Added | +22.3k |
| Founders Financial Alliance, LLC | New | +13.8k |
| Russell Investments Group, Ltd. | New | +744 |
| Significant Wealth Partners LLC | Added | +298 |
| Caitong International Asset Management Co., Ltd | New | +44 |
Biggest sellers
| Squarepoint Ops LLC | Sold out | -64.9k |
| Curi Capital, LLC | Sold out | -60.0k |
| JANE STREET GROUP, LLC | Sold out | -41.2k |
| Papamarkou Wellner Asset Management inc. | Sold out | -30.2k |
| Cruiser Capital Advisors, LLC | Reduced | -29.7k |
| TWO SIGMA SECURITIES, LLC | Sold out | -17.1k |
| NORTHERN TRUST CORP | Sold out | -11.8k |
| HRT FINANCIAL LP | Sold out | -11.2k |
| Ethos Financial Group, LLC | Reduced | -2.2k |
| WELLS FARGO & COMPANY/MN | Reduced | -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.
| Holder | Stake |
|---|---|
| Great Elm Strategic Partnership I, LLC 13G · passive investor -1.2 pts · filed 2026-08-06 | 9.9% |
| Smith Booker 13G · passive investor new · filed 2025-09-04 | 9.9% |
| Great Elm Group, Inc. 13D · may seek influence -1.4 pts · filed 2025-10-09 | 9.7% |
| Summit Grove Partners, LLC 13G · passive investor filed 2026-08-06 | 7.6% |
| Prosper Peak Holdings, LLC 13G · passive investor filed 2026-08-06 | 7.0% |
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)
Numbers
| Quarter | Buying | Bought | Selling | Sold | Sold under a plan |
|---|---|---|---|---|---|
| Q4 2024 | 0 | — | 0 | — | — |
| Q1 2025 | 0 | — | 0 | — | — |
| Q2 2025 | 2 | $219.6k | 0 | — | — |
| Q3 2025 | 0 | — | 0 | — | — |
| Q4 2025 | 1 | $150.1k | 0 | — | — |
| Q1 2026 | 0 | — | 0 | — | — |
| Q2 2026 | 0 | — | 0 | — | — |
| Q3 2026 | 0 | — | 0 | — | — |
None reported since 1 Apr 2026.
Holders, Q2 2026
| Manager | Shares | Change |
|---|---|---|
| Northern Right Capital Management, L.P. 0.62% of their portfolio | 384.0k $2.1m | Unchanged |
| Cruiser Capital Advisors, LLC 0.33% of their portfolio | 97.8k $532.9k | Reduced -29.7k |
| UBS Group AG 0.00% of their portfolio | 28.2k $154.0k | Added +22.3k |
| Crestwood Advisors Group, LLC 0.00% of their portfolio | 26.6k $145.1k | Unchanged |
| Vident Advisory, LLC 0.00% of their portfolio | 26.6k $145.0k | New |
| Rockefeller Capital Management L.P. 0.00% of their portfolio | 25.0k $136.2k | Unchanged |
| Ethos Financial Group, LLC 0.01% of their portfolio | 24.1k $131.1k | Reduced -2.2k |
| Significant Wealth Partners LLC 0.10% of their portfolio | 16.8k $91.4k | Added +298 |
| Founders Financial Alliance, LLC 0.01% of their portfolio | 13.8k $75.0k | New |
| Rangeley Capital, LLC 0.05% of their portfolio | 10.0k $54.5k | Unchanged |
| TRUST CO OF TOLEDO NA /OH/ 0.00% of their portfolio | 3.9k $21.1k | Unchanged |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 2.6k $14.0k | Unchanged |
| Allworth Financial LP 0.00% of their portfolio | 1.4k $7.6k | Reduced -6 |
| MORGAN STANLEY 0.00% of their portfolio | 1.4k $7.6k | Reduced -36 |
| Russell Investments Group, Ltd. 0.00% of their portfolio | 744 $4.1k | New |
| Triumph Capital Management 0.00% of their portfolio | 500 $2.7k | Unchanged |
| Caitong International Asset Management Co., Ltd 0.00% of their portfolio | 44 $240 | New |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 3 $15 | Reduced -878 |
| Arax Advisory Partners 0.00% of their portfolio | 1 $6 | Unchanged |