GECC

Great Elm Capital Corp.CIK 1675033 ☆ Sign in to watch Congress trades

Open-mkt buys · 90d

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0 trades · 0 insiders

Open-mkt sales · 90d

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0 trades · 0 insiders

Net · 90d

Insiders on file

AI insights for GECC PRO

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AI insights for GECC

Insider sentiment score with a plain-English explanation, conviction score on every buy, and how the stock performed 30 and 90 days after past insider buys.

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Daily buy vs sell · 90 days

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Insiders

Insider	Role	Trades	Bought	Sold	Last trade
Great Elm Group, Inc.	10% Owner	34	$271.4K	$0	2026-09-21
Davis Keri	See Remarks	32	$4.8K	$0	2026-09-21
Kleinman Adam M	Chief Compliance Officer	33	$271.0K	$0	2026-09-21
Great Elm Strategic Partnership I, LLC	10% Owner	24	$0	$3.27M	2026-06-29
Kaplan Matthew D	CEO and President	13	$256.8K	$0	2025-11-07
COHEN RICHARD M	Director	9	$224.7K	$0	2025-06-13
Perry Chad	Director	1	$19.6K	$0	2025-06-04
Drapkin Matthew A	Director	19	$269.9K	$0	2024-09-16
Kuperschmid Mark	Director	25	$267.7K	$0	2023-05-12
Reed Peter A	See Remarks	25	$668.3K	$0	2021-09-24
Horsey Randall Revell	Director	17	$99.2K	$0	2021-01-21
Speller Michael C	Director	14	$134.7K	$0	2021-01-21
STUART JOHN EDWARD	Director	39	$0	$0	2021-01-21
Great Elm Capital Group, Inc.	10% Owner	23	$0	$0	2020-12-29
Steinberg David J.	10% Owner	80	$0	$27.94M	2019-06-05
Mast Capital Management, LLC	10% Owner	73	$0	$8.13M	2019-06-04
Sell Michael J.	See Remarks	1	$10.3K	$0	2017-11-10

Trade history

Insider	Role	Code	Trade	Filed	Shares	Price	Value	Owned after
Kleinman Adam M	CCO and Secretary	F Tax w/h	2026-09-21	2026-09-23	3,451	$5.37	$18.5K	57,229	SEC↗
Kleinman Adam M	CCO and Secretary	A Award	2026-09-21	2026-09-23	15,292	—	$0	59,889	SEC↗
Kleinman Adam M	CCO and Secretary	A Award	2026-09-21	2026-09-23	791	—	$0	60,680	SEC↗
Davis Keri	CFO	A Award	2026-09-21	2026-09-23	7,646	—	$0	29,539	SEC↗
Davis Keri	CFO	A Award	2026-09-21	2026-09-23	1,372	—	$0	30,911	SEC↗
Davis Keri	CFO	F Tax w/h	2026-09-21	2026-09-23	2,972	$5.37	$16.0K	27,939	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2026-09-21	2026-09-23	111,958	—	$0	1,244,167	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2026-09-21	2026-09-23	111,958	—	$0	1,244,167	SEC↗
Kleinman Adam M	CCO and Secretary	F Tax w/h	2026-09-21	2026-09-23	3,451	$5.37	$18.5K	57,229	SEC↗
Kleinman Adam M	CCO and Secretary	A Award	2026-09-21	2026-09-23	791	—	$0	60,680	SEC↗
Kleinman Adam M	CCO and Secretary	A Award	2026-09-21	2026-09-23	15,292	—	$0	59,889	SEC↗
Davis Keri	CFO	F Tax w/h	2026-09-21	2026-09-23	2,972	$5.37	$16.0K	27,939	SEC↗
Davis Keri	CFO	A Award	2026-09-21	2026-09-23	1,372	—	$0	30,911	SEC↗
Davis Keri	CFO	A Award	2026-09-21	2026-09-23	7,646	—	$0	29,539	SEC↗
Great Elm Strategic Partnershi	10% Owner	J Other	2026-06-29	2026-06-30	180,000	$5.45	$981.0K	1,378,260	SEC↗
Kaplan Matthew D	CEO and President	P Buy	2025-11-07	2025-11-10	19,650	$7.64	$150.1K	142,400	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-09-26	2025-09-26	2,313	$11.45	$26.5K	1,558,260	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-09-25	2025-09-26	1,696	$11.45	$19.4K	1,560,573	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-09-23	2025-09-23	1,490	$11.45	$17.1K	1,562,269	SEC↗
Kaplan Matthew D	CEO and President	F Tax w/h	2025-09-23	2025-09-23	8,211	$11.43	$93.9K	122,750	SEC↗
Kleinman Adam M	CCO and Secretary	F Tax w/h	2025-09-23	2025-09-23	1,361	$11.43	$15.6K	44,597	SEC↗
Davis Keri	CFO	F Tax w/h	2025-09-23	2025-09-23	2,725	$11.43	$31.1K	21,893	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-09-22	2025-09-23	48,248	$11.45	$552.4K	1,563,759	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2025-09-20	2025-09-23	63,189	—	$0	1,358,278	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-09-19	2025-09-19	14,737	$11.45	$168.7K	1,612,007	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2025-09-19	2025-09-23	16,612	—	$0	1,421,467	SEC↗
Kaplan Matthew D	CEO and President	A Award	2025-09-19	2025-09-23	1,055	—	$0	130,961	SEC↗
Kaplan Matthew D	CEO and President	A Award	2025-09-19	2025-09-23	37,117	—	$0	129,906	SEC↗
Kleinman Adam M	CCO and Secretary	A Award	2025-09-19	2025-09-23	156	—	$0	45,958	SEC↗
Kleinman Adam M	CCO and Secretary	A Award	2025-09-19	2025-09-23	5,458	—	$0	45,802	SEC↗
Davis Keri	CFO	A Award	2025-09-19	2025-09-23	1,406	—	$0	24,618	SEC↗
Davis Keri	CFO	A Award	2025-09-19	2025-09-23	3,820	—	$0	23,212	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-09-18	2025-09-19	100	$11.45	$1.1K	1,626,744	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-09-15	2025-09-17	20,938	$11.45	$239.7K	1,626,844	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-08-26	2025-08-27	21,472	$11.20	$240.5K	1,647,782	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-08-25	2025-08-27	25,711	$11.20	$288.0K	1,669,254	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-08-22	2025-08-22	17,956	$11.20	$201.1K	1,694,965	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-08-21	2025-08-22	26,705	$11.20	$299.1K	1,712,921	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-08-20	2025-08-20	7,793	$11.20	$87.3K	1,739,626	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-08-18	2025-08-20	363	$11.20	$4.1K	1,747,419	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-07-11	2025-07-14	38,793	$10.95	$424.8K	1,747,782	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-07-10	2025-07-10	8,661	$10.95	$94.8K	1,786,575	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-07-09	2025-07-10	3,129	$10.95	$34.3K	1,795,236	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-07-08	2025-07-08	3,218	$10.95	$35.2K	1,798,365	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-07-07	2025-07-08	11,852	$10.95	$129.8K	1,801,583	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-07-03	2025-07-03	11,021	$10.95	$120.7K	1,813,435	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-07-02	2025-07-03	13,324	$10.95	$145.9K	1,824,456	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-06-13	2025-07-03	2,714	$11.00	$29.9K	1,837,780	SEC↗
COHEN RICHARD M	Director	P Buy	2025-06-13	2025-06-13	36	$11.01	$396	18,136	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-06-12	2025-07-03	7,288	$10.97	$79.9K	1,840,494	SEC↗
COHEN RICHARD M	Director	P Buy	2025-06-12	2025-06-12	3,100	$10.95	$33.9K	18,100	SEC↗
Great Elm Strategic Partnershi	10% Owner	S Sale	2025-06-11	2025-07-03	2,642	$11.20	$29.6K	1,847,782	SEC↗
COHEN RICHARD M	Director	P Buy	2025-06-11	2025-06-12	5,000	$11.18	$55.9K	15,000	SEC↗
COHEN RICHARD M	Director	P Buy	2025-06-10	2025-06-11	3,500	$11.13	$39.0K	10,000	SEC↗
COHEN RICHARD M	Director	P Buy	2025-06-09	2025-06-11	1,500	$10.83	$16.2K	4,000	SEC↗
COHEN RICHARD M	Director	P Buy	2025-06-09	2025-06-11	2,500	$11.12	$27.8K	6,500	SEC↗
COHEN RICHARD M	Director	P Buy	2025-06-06	2025-06-11	1,500	$10.74	$16.1K	2,500	SEC↗
COHEN RICHARD M	Director	P Buy	2025-06-06	2025-06-11	1,000	$10.64	$10.6K	1,000	SEC↗
Perry Chad	Director	P Buy	2025-06-04	2025-06-05	1,850	$10.58	$19.6K	1,850	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2024-12-23	2024-12-23	2,643	$10.22	$27.0K	1,438,079	SEC↗
Davis Keri	CFO	J Other	2024-09-24	2024-09-24	781	—	$0	19,313	SEC↗
Kleinman Adam M	CCO and Secretary	J Other	2024-09-24	2024-09-24	2,093	—	$0	30,419	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2024-09-24	2024-09-24	10,811	$10.09	$109.1K	1,429,911	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2024-09-24	2024-09-24	14,977	$10.09	$151.1K	1,440,722	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2024-09-24	2024-09-25	9,177	$10.09	$92.6K	1,440,722	SEC↗
Davis Keri	CFO	J Other	2024-09-24	2024-09-27	213	—	$0	19,392	SEC↗
Kleinman Adam M	CCO and Secretary	J Other	2024-09-24	2024-09-27	2,093	—	$0	40,344	SEC↗
Davis Keri	CFO	J Other	2024-09-20	2024-09-24	3,717	—	$0	18,532	SEC↗
Kaplan Matthew D	CEO and President	J Other	2024-09-20	2024-09-24	42,121	—	$0	92,789	SEC↗
Kleinman Adam M	CCO and Secretary	J Other	2024-09-20	2024-09-24	6,194	—	$0	28,326	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2024-09-20	2024-09-24	30,584	$10.09	$308.6K	1,455,699	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2024-09-20	2024-09-24	31,879	$10.09	$321.7K	1,486,283	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2024-09-20	2024-09-25	25,573	$10.09	$258.0K	1,431,545	SEC↗
Davis Keri	CFO	J Other	2024-09-20	2024-09-27	647	—	$0	19,179	SEC↗
Kleinman Adam M	CCO and Secretary	J Other	2024-09-20	2024-09-27	6,194	—	$0	38,251	SEC↗
Drapkin Matthew A	Director	P Buy	2024-09-16	2024-09-17	9,600	$9.92	$95.2K	75,716	SEC↗
Drapkin Matthew A	Director	P Buy	2024-08-21	2024-08-21	1,310	$10.12	$13.3K	66,116	SEC↗
Drapkin Matthew A	Director	P Buy	2024-08-20	2024-08-21	3,189	$10.01	$31.9K	64,806	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2024-03-04	2024-03-04	1,239	$10.82	$13.4K	1,516,932	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2024-02-15	2024-02-22	2,389	$10.69	$25.5K	1,518,171	SEC↗
Great Elm Group, Inc.	10% Owner	P Buy	2023-11-21	2023-11-21	27,000	$10.05	$271.4K	1,520,560	SEC↗
Kaplan Matthew D	CEO and President	J Other	2023-10-10	2023-10-11	38,668	—	$0	50,668	SEC↗
Davis Keri	CFO	J Other	2023-09-20	2023-09-22	196	—	$0	14,815	SEC↗
Davis Keri	CFO	J Other	2023-09-20	2023-09-22	5,585	—	$0	14,619	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2023-09-20	2023-09-22	26,360	$9.31	$245.4K	1,506,159	SEC↗
COHEN RICHARD M	Director	P Buy	2023-08-15	2023-08-16	2,612	$9.47	$24.7K	2,612	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2023-05-19	2023-05-23	37,268	—	$0	1,532,519	SEC↗
Kuperschmid Mark	Director	P Buy	2023-05-12	2023-05-16	2,700	$8.02	$21.7K	3,000	SEC↗
Kuperschmid Mark	Director	P Buy	2023-05-12	2023-05-16	300	$8.01	$2.4K	300	SEC↗
Kuperschmid Mark	Director	P Buy	2023-05-12	2023-05-16	2,000	$8.01	$16.0K	13,972	SEC↗
Kaplan Matthew D	CEO and President	P Buy	2023-03-10	2023-03-14	1,100	$9.29	$10.2K	12,000	SEC↗
Kaplan Matthew D	CEO and President	P Buy	2023-03-09	2023-03-09	1,679	$9.41	$15.8K	10,900	SEC↗
Kaplan Matthew D	CEO and President	P Buy	2023-03-08	2023-03-09	2,201	$9.46	$20.8K	9,221	SEC↗
Kaplan Matthew D	CEO and President	P Buy	2023-03-07	2023-03-09	5,020	$9.13	$45.8K	7,020	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2023-01-03	2023-01-03	73,176	—	$0	0	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2022-12-30	2023-01-03	372,495	—	$0	0	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2022-12-22	2023-01-24	1,866	$8.31	$15.5K	1,569,787	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2022-12-07	2023-01-24	200,000	$10.00	$2.00M	1,571,653	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2022-09-26	2023-01-24	10,116	$8.66	$87.6K	1,771,653	SEC↗
Davis Keri	CFO	J Other	2022-09-24	2023-03-31	23	—	$0	9,034	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2022-09-20	2023-01-24	9,947	$10.18	$101.3K	1,781,769	SEC↗
Davis Keri	CFO	J Other	2022-09-20	2023-03-31	5,894	—	$0	9,011	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2022-08-30	2023-01-24	50,000	$12.19	$609.5K	1,791,716	SEC↗
Kleinman Adam M	CCO and Secretary	M Exercise deriv	2022-06-15	2022-06-17	4,000	—	$0	0	SEC↗
Kuperschmid Mark	Director	M Exercise deriv	2022-06-15	2022-06-17	5,986	—	$0	0	SEC↗
Great Elm Group, Inc.	10% Owner	M Exercise deriv	2022-06-15	2022-06-17	1,000,000	—	$0	0	SEC↗
Great Elm Group, Inc.	10% Owner	M Exercise deriv	2022-06-15	2022-06-17	400,000	—	$0	0	SEC↗
Kaplan Matthew D	CEO and President	M Exercise deriv	2022-06-15	2022-06-17	1,000	—	$0	0	SEC↗
Drapkin Matthew A	Director	M Exercise deriv	2022-06-15	2022-06-17	309	—	$0	0	SEC↗
Drapkin Matthew A	Director	M Exercise deriv	2022-06-15	2022-06-17	1,308	—	$0	0	SEC↗
Drapkin Matthew A	Director	M Exercise deriv	2022-06-15	2022-06-17	48,194	—	$0	0	SEC↗
Drapkin Matthew A	Director	M Exercise deriv	2022-06-15	2022-06-17	47,335	—	$0	0	SEC↗
Drapkin Matthew A	Director	M Exercise deriv	2022-06-15	2022-06-17	131,606	—	$0	0	SEC↗
Kleinman Adam M	CCO and Secretary	M Exercise	2022-06-15	2022-06-17	4,000	$12.50	$50.0K	20,558	SEC↗
Kuperschmid Mark	Director	M Exercise	2022-06-15	2022-06-17	5,986	$12.50	$74.8K	11,972	SEC↗
Great Elm Group, Inc.	10% Owner	M Exercise	2022-06-15	2022-06-17	100	$12.50	$1.3K	200	SEC↗
Great Elm Group, Inc.	10% Owner	M Exercise	2022-06-15	2022-06-17	814,111	$12.50	$10.18M	1,628,222	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2022-06-15	2022-06-17	399,990	$12.50	$5.00M	400,100	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2022-06-15	2022-06-17	185,889	$12.50	$2.32M	1,814,111	SEC↗
Kaplan Matthew D	CEO and President	M Exercise	2022-06-15	2022-06-17	1,000	$12.50	$12.5K	2,000	SEC↗
Drapkin Matthew A	Director	J Other	2022-06-15	2022-06-17	40,000	$12.50	$500.0K	40,309	SEC↗
Drapkin Matthew A	Director	M Exercise	2022-06-15	2022-06-17	84,000	$12.50	$1.05M	220,399	SEC↗
Drapkin Matthew A	Director	M Exercise	2022-06-15	2022-06-17	160,000	$12.50	$2.00M	208,932	SEC↗
Drapkin Matthew A	Director	M Exercise	2022-06-15	2022-06-17	320,000	$12.50	$4.00M	369,140	SEC↗
Drapkin Matthew A	Director	M Exercise	2022-06-15	2022-06-17	20,000	$12.50	$250.0K	21,308	SEC↗
Drapkin Matthew A	Director	P Buy	2022-05-25	2022-05-27	946	$12.41	$11.7K	49,140	SEC↗
Drapkin Matthew A	Director	P Buy	2022-05-25	2022-05-27	4,793	$12.41	$59.5K	136,399	SEC↗
Drapkin Matthew A	Director	P Buy	2022-05-25	2022-05-27	1,597	$12.41	$19.8K	48,932	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2022-05-11	2022-05-12	100,000	$12.50	$1.25M	814,111	SEC↗
Drapkin Matthew A	Director	P Buy	2022-03-09	2022-03-11	617	$14.70	$9.1K	617	SEC↗
Drapkin Matthew A	Director	P Buy	2022-03-09	2022-03-11	1,000	$14.70	$14.7K	48,195	SEC↗
Drapkin Matthew A	Director	P Buy	2022-03-09	2022-03-11	1,000	$14.70	$14.7K	1,617	SEC↗
Kaplan Matthew D	CEO and President	P Buy	2022-03-08	2022-03-10	1,000	$14.00	$14.0K	1,000	SEC↗
Davis Keri	CFO and Treasurer	J Other	2021-09-24	2021-09-28	5,147	—	$0	18,699	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2021-09-24	2021-09-28	220,217	—	$0	5,319,507	SEC↗
Reed Peter A	President and CEO	J Other	2021-09-24	2021-09-28	87,132	—	$0	351,636	SEC↗
Kleinman Adam M	Chief Compliance Officer	J Other	2021-09-24	2021-09-28	79,411	—	$0	158,907	SEC↗
Davis Keri	CFO and Treasurer	A Award	2021-02-05	2021-02-09	11,254	—	$0	13,552	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2021-02-05	2021-02-09	11,254	—	$0	5,539,724	SEC↗
Davis Keri	CFO and Treasurer	A Award	2021-01-21	2021-01-26	52	—	$0	2,298	SEC↗
Kleinman Adam M	Chief Compliance Officer	A Award	2021-01-21	2021-01-26	1,795	—	$0	79,496	SEC↗
Reed Peter A	President and CEO	A Award	2021-01-21	2021-01-26	5,969	—	$0	264,504	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2021-01-21	2021-01-26	9,913	—	$0	439,063	SEC↗
Great Elm Group, Inc.	10% Owner	J Other	2021-01-21	2021-01-26	125,334	—	$0	5,550,978	SEC↗
Horsey Randall Revell	Director	A Award	2021-01-21	2021-01-26	572	—	$0	25,279	SEC↗
Kuperschmid Mark	Director	A Award	2021-01-21	2021-01-26	603	—	$0	35,917	SEC↗
Speller Michael C	Director	A Award	2021-01-21	2021-01-26	614	—	$0	36,559	SEC↗
STUART JOHN EDWARD	Director	A Award	2021-01-21	2021-01-26	18	—	$0	1,034	SEC↗
STUART JOHN EDWARD	Director	A Award	2021-01-21	2021-01-26	330	—	$0	17,202	SEC↗
STUART JOHN EDWARD	Director	A Award	2021-01-21	2021-01-26	97	—	$0	5,073	SEC↗
STUART JOHN EDWARD	Director	A Award	2021-01-21	2021-01-26	40	—	$0	2,383	SEC↗
Forest Investments, Inc.	10% Owner	J Other	2020-12-29	2020-12-31	5,425,644	—	$0	0	SEC↗
Forest Investments, Inc.	10% Owner	J Other	2020-12-29	2020-12-31	429,150	—	$0	0	SEC↗
Davis Keri	CFO and Treasurer	A Award	2020-12-21	2020-12-23	48	—	$0	2,246	SEC↗
Kleinman Adam M	Chief Compliance Officer	A Award	2020-12-21	2020-12-23	1,646	—	$0	77,701	SEC↗
Reed Peter A	President and CEO	A Award	2020-12-21	2020-12-23	5,473	—	$0	258,535	SEC↗
Great Elm Capital Group, Inc.	10% Owner	J Other	2020-12-21	2020-12-23	9,089	—	$0	429,150	SEC↗
Great Elm Capital Group, Inc.	10% Owner	J Other	2020-12-21	2020-12-23	97,294	—	$0	5,425,644	SEC↗
Horsey Randall Revell	Director	A Award	2020-12-21	2020-12-23	524	—	$0	24,708	SEC↗
Kuperschmid Mark	Director	A Award	2020-12-21	2020-12-23	633	—	$0	35,314	SEC↗
Speller Michael C	Director	A Award	2020-12-21	2020-12-23	644	—	$0	35,945	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-12-21	2020-12-23	19	—	$0	1,016	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-12-21	2020-12-23	42	—	$0	2,343	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-12-21	2020-12-23	96	—	$0	4,976	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-12-21	2020-12-23	324	—	$0	16,872	SEC↗
Davis Keri	CFO and Treasurer	A Award	2020-11-20	2020-11-24	66	—	$0	2,199	SEC↗
Kleinman Adam M	Chief Compliance Officer	A Award	2020-11-20	2020-11-24	2,291	—	$0	76,056	SEC↗
Reed Peter A	President and CEO	A Award	2020-11-20	2020-11-24	7,619	—	$0	253,062	SEC↗
Great Elm Capital Group, Inc.	10% Owner	J Other	2020-11-20	2020-11-24	160,492	—	$0	5,328,350	SEC↗
Great Elm Capital Group, Inc.	10% Owner	J Other	2020-11-20	2020-11-24	12,652	—	$0	420,061	SEC↗
Horsey Randall Revell	Director	A Award	2020-11-20	2020-11-24	730	—	$0	24,184	SEC↗
Kuperschmid Mark	Director	A Award	2020-11-20	2020-11-24	811	—	$0	34,681	SEC↗
Speller Michael C	Director	A Award	2020-11-20	2020-11-24	825	—	$0	35,301	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-11-20	2020-11-24	128	—	$0	4,880	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-11-20	2020-11-24	53	—	$0	2,301	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-11-20	2020-11-24	24	—	$0	997	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-11-20	2020-11-24	432	—	$0	16,548	SEC↗
Davis Keri	CFO and Treasurer	A Award	2020-10-21	2020-10-23	18	—	$0	2,132	SEC↗
Kleinman Adam M	Chief Compliance Officer	A Award	2020-10-21	2020-10-23	1,011	—	$0	73,765	SEC↗
Reed Peter A	President and CEO	A Award	2020-10-21	2020-10-23	2,592	—	$0	245,443	SEC↗
Horsey Randall Revell	Director	A Award	2020-10-21	2020-10-23	362	—	$0	23,454	SEC↗
Kuperschmid Mark	Director	A Award	2020-10-21	2020-10-23	453	—	$0	33,870	SEC↗
Speller Michael C	Director	A Award	2020-10-21	2020-10-23	363	—	$0	34,476	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-10-21	2020-10-23	245	—	$0	16,116	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-10-21	2020-10-23	46	—	$0	2,248	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-10-21	2020-10-23	20	—	$0	973	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-10-21	2020-10-23	111	—	$0	4,752	SEC↗
Great Elm Capital Group, Inc.	10% Owner	J Other	2020-10-21	2020-10-23	6,858	—	$0	407,409	SEC↗
Great Elm Capital Group, Inc.	10% Owner	J Other	2020-10-21	2020-10-23	59,089	—	$0	5,167,858	SEC↗
Davis Keri	CFO and Treasurer	J Other	2020-10-01	2020-10-01	800	$2.95	$2.4K	2,114	SEC↗
Reed Peter A	President and CEO	J Other	2020-10-01	2020-10-01	56,239	$2.95	$165.9K	242,851	SEC↗
Great Elm Capital Group, Inc.	10% Owner	J Other	2020-10-01	2020-10-01	863,337	$2.95	$2.55M	5,108,769	SEC↗
Kleinman Adam M	Chief Compliance Officer	X Exercise deriv	2020-09-28	2020-10-01	36,042	—	$0	0	SEC↗
Davis Keri	CFO and Treasurer	X Exercise deriv	2020-09-28	2020-10-01	651	—	$0	0	SEC↗
Reed Peter A	President and CEO	X Exercise deriv	2020-09-28	2020-10-01	92,448	—	$0	0	SEC↗
Horsey Randall Revell	Director	X Exercise deriv	2020-09-28	2020-10-01	10,000	—	$0	0	SEC↗
Kuperschmid Mark	Director	X Exercise deriv	2020-09-28	2020-10-01	12,000	—	$0	0	SEC↗
Speller Michael C	Director	X Exercise deriv	2020-09-28	2020-10-01	16,937	—	$0	0	SEC↗
STUART JOHN EDWARD	Director	X Exercise deriv	2020-09-28	2020-10-01	5,773	—	$0	0	SEC↗
Great Elm Capital Group, Inc.	10% Owner	X Exercise deriv	2020-09-28	2020-10-01	151,894	—	$0	0	SEC↗
Great Elm Capital Group, Inc.	10% Owner	X Exercise deriv	2020-09-28	2020-10-01	2,103,194	—	$0	0	SEC↗
Kleinman Adam M	Chief Compliance Officer	X Exercise	2020-09-28	2020-10-01	36,042	$2.95	$106.3K	72,754	SEC↗
Davis Keri	CFO and Treasurer	X Exercise	2020-09-28	2020-10-01	651	$2.95	$1.9K	1,314	SEC↗
Reed Peter A	President and CEO	X Exercise	2020-09-28	2020-10-01	92,448	$2.95	$272.7K	186,612	SEC↗
Horsey Randall Revell	Director	X Exercise	2020-09-28	2020-10-01	10,000	$2.95	$29.5K	23,092	SEC↗
Kuperschmid Mark	Director	X Exercise	2020-09-28	2020-10-01	12,000	$2.95	$35.4K	33,417	SEC↗
Speller Michael C	Director	X Exercise	2020-09-28	2020-10-01	16,937	$2.95	$50.0K	34,113	SEC↗
STUART JOHN EDWARD	Director	X Exercise	2020-09-28	2020-10-01	5,773	$2.95	$17.0K	15,871	SEC↗
Great Elm Capital Group, Inc.	10% Owner	X Exercise	2020-09-28	2020-10-01	151,894	$2.95	$448.1K	400,551	SEC↗
Great Elm Capital Group, Inc.	10% Owner	X Exercise	2020-09-28	2020-10-01	2,103,194	$2.95	$6.20M	4,245,432	SEC↗
Great Elm Capital Group, Inc.	10% Owner	A Award	2020-09-21	2020-10-01	4,532	—	$0	248,657	SEC↗
Great Elm Capital Group, Inc.	10% Owner	A Award	2020-09-21	2020-10-01	39,044	—	$0	2,142,238	SEC↗
Davis Keri	CFO and Treasurer	A Award	2020-09-21	2020-09-23	12	—	$0	663	SEC↗
Kleinman Adam M	Chief Compliance Officer	A Award	2020-09-21	2020-09-23	669	—	$0	36,712	SEC↗
Reed Peter A	President and CEO	A Award	2020-09-21	2020-09-23	1,716	—	$0	94,164	SEC↗
Horsey Randall Revell	Director	A Award	2020-09-21	2020-09-23	239	—	$0	13,092	SEC↗
Kuperschmid Mark	Director	A Award	2020-09-21	2020-09-23	298	—	$0	21,417	SEC↗
Speller Michael C	Director	A Award	2020-09-21	2020-09-23	239	—	$0	17,176	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-09-21	2020-09-23	14	—	$0	953	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-09-21	2020-09-23	30	—	$0	2,202	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-09-21	2020-09-23	72	—	$0	4,641	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-09-21	2020-09-23	160	—	$0	10,098	SEC↗
Great Elm Capital Group, Inc.	10% Owner	A Award	2020-08-21	2020-10-01	4,337	—	$0	244,125	SEC↗
Great Elm Capital Group, Inc.	10% Owner	A Award	2020-08-21	2020-10-01	31,546	—	$0	2,103,194	SEC↗
Davis Keri	CFO and Treasurer	A Award	2020-08-21	2020-08-25	12	—	$0	651	SEC↗
Kleinman Adam M	Chief Compliance Officer	A Award	2020-08-21	2020-08-25	640	—	$0	36,043	SEC↗
Reed Peter A	President and CEO	A Award	2020-08-21	2020-08-25	1,640	—	$0	92,448	SEC↗
Horsey Randall Revell	Director	A Award	2020-08-21	2020-08-25	193	—	$0	12,853	SEC↗
Kuperschmid Mark	Director	A Award	2020-08-21	2020-08-25	316	—	$0	21,119	SEC↗
Speller Michael C	Director	A Award	2020-08-21	2020-08-25	254	—	$0	16,937	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-08-21	2020-08-25	14	—	$0	939	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-08-21	2020-08-25	74	—	$0	4,569	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-08-21	2020-08-25	32	—	$0	2,172	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-08-21	2020-08-25	161	—	$0	9,938	SEC↗
Great Elm Capital Group, Inc.	10% Owner	A Award	2020-07-15	2020-10-01	28,214	—	$0	2,071,648	SEC↗
Great Elm Capital Group, Inc.	10% Owner	A Award	2020-07-15	2020-10-01	4,641	—	$0	239,788	SEC↗
Davis Keri	CFO and Treasurer	A Award	2020-07-15	2020-07-17	12	—	$0	639	SEC↗
Kleinman Adam M	Chief Compliance Officer	A Award	2020-07-15	2020-07-17	685	—	$0	35,403	SEC↗
Reed Peter A	President and CEO	A Award	2020-07-15	2020-07-17	1,755	—	$0	90,808	SEC↗
Horsey Randall Revell	Director	A Award	2020-07-15	2020-07-17	245	—	$0	12,660	SEC↗
Kuperschmid Mark	Director	A Award	2020-07-15	2020-07-17	283	—	$0	20,803	SEC↗
Speller Michael C	Director	A Award	2020-07-15	2020-07-17	227	—	$0	16,683	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-07-15	2020-07-17	72	—	$0	4,495	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-07-15	2020-07-17	29	—	$0	2,140	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-07-15	2020-07-17	13	—	$0	925	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-07-15	2020-07-17	119	—	$0	9,736	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-07-15	2020-07-23	41	—	$0	9,777	SEC↗
Great Elm Capital Group, Inc.	10% Owner	A Award	2020-06-15	2020-10-01	4,447	—	$0	235,147	SEC↗
Great Elm Capital Group, Inc.	10% Owner	A Award	2020-06-15	2020-10-01	26,939	—	$0	2,043,434	SEC↗
Davis Keri	CFO and Treasurer	A Award	2020-06-15	2020-06-17	12	—	$0	627	SEC↗
Reed Peter A	President and CEO	A Award	2020-06-15	2020-06-17	1,682	—	$0	89,053	SEC↗
Kleinman Adam M	Chief Compliance Officer	A Award	2020-06-15	2020-06-17	657	—	$0	34,717	SEC↗
Horsey Randall Revell	Director	A Award	2020-06-15	2020-06-17	235	—	$0	12,415	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-06-15	2020-06-17	69	—	$0	4,423	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-06-15	2020-06-17	27	—	$0	2,111	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-06-15	2020-06-17	12	—	$0	912	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-06-15	2020-06-17	152	—	$0	9,617	SEC↗
Speller Michael C	Director	A Award	2020-06-15	2020-06-17	216	—	$0	16,456	SEC↗
Kuperschmid Mark	Director	A Award	2020-06-15	2020-06-17	270	—	$0	20,520	SEC↗
Great Elm Capital Group, Inc.	10% Owner	A Award	2020-05-15	2020-10-01	49,828	—	$0	2,016,495	SEC↗
Great Elm Capital Group, Inc.	10% Owner	A Award	2020-05-15	2020-10-01	5,700	—	$0	230,700	SEC↗
Davis Keri	CFO and Treasurer	A Award	2020-05-15	2020-05-19	15	—	$0	615	SEC↗
Kleinman Adam M	Chief Compliance Officer	A Award	2020-05-15	2020-05-19	842	—	$0	34,061	SEC↗
Reed Peter A	President and CEO	A Award	2020-05-15	2020-05-19	2,157	—	$0	87,371	SEC↗
Horsey Randall Revell	Director	A Award	2020-05-15	2020-05-19	180	—	$0	12,180	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-05-15	2020-05-19	13	—	$0	900	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-05-15	2020-05-19	30	—	$0	2,084	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-05-15	2020-05-19	83	—	$0	4,354	SEC↗
STUART JOHN EDWARD	Director	A Award	2020-05-15	2020-05-19	185	—	$0	9,465	SEC↗
Kuperschmid Mark	Director	A Award	2020-05-15	2020-05-19	300	—	$0	20,250	SEC↗
Speller Michael C	Director	A Award	2020-05-15	2020-05-19	240	—	$0	16,240	SEC↗
Speller Michael C	Director	P Buy	2019-11-20	2019-11-21	5,000	$7.80	$39.0K	16,000	SEC↗
Davis Keri	See Remarks	P Buy	2019-11-20	2019-11-21	600	$7.94	$4.8K	600	SEC↗
Kleinman Adam M	Chief Compliance Officer	P Buy	2019-11-20	2019-11-21	7,500	$7.90	$59.3K	33,219	SEC↗
Kleinman Adam M	Chief Compliance Officer	P Buy	2019-08-30	2019-09-03	369	$8.25	$3.0K	25,719	SEC↗
Kleinman Adam M	Chief Compliance Officer	P Buy	2019-08-29	2019-09-03	350	$8.17	$2.9K	25,350	SEC↗
Horsey Randall Revell	Director	P Buy	2019-08-27	2019-08-29	2,000	$8.32	$16.6K	12,000	SEC↗
Reed Peter A	President and CEO	P Buy	2019-08-26	2019-08-28	3,000	$8.25	$24.8K	85,214	SEC↗
Reed Peter A	President and CEO	P Buy	2019-08-19	2019-08-21	2,219	$8.25	$18.3K	82,214	SEC↗
Reed Peter A	President and CEO	P Buy	2019-06-06	2019-06-07	3,143	$8.50	$26.7K	79,995	SEC↗
Steinberg David J.	10% Owner	S Sale	2019-06-05	2019-06-07	55,100	$8.48	$467.2K	1,015,508	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-06-04	2019-06-04	5,700	$8.47	$48.3K	1,070,608	SEC↗
Kleinman Adam M	Chief Compliance Officer	P Buy	2019-06-04	2019-06-06	10,000	$8.50	$85.0K	25,000	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-06-03	2019-06-04	7,400	$8.47	$62.7K	1,076,308	SEC↗
Reed Peter A	President and CEO	P Buy	2019-05-31	2019-06-04	2,000	$8.58	$17.2K	76,852	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-31	2019-06-04	58,200	$8.60	$500.5K	1,083,708	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-30	2019-05-30	7,000	$8.86	$62.0K	1,141,908	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-29	2019-05-30	5,300	$8.90	$47.2K	1,148,908	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-28	2019-05-30	8,800	$8.88	$78.1K	1,154,208	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-24	2019-05-24	10,500	$8.85	$92.9K	1,163,008	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-23	2019-05-24	258,100	$8.60	$2.22M	1,173,508	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-22	2019-05-24	5,400	$8.77	$47.4K	1,431,608	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-21	2019-05-21	6,900	$8.85	$61.1K	1,437,008	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-20	2019-05-21	6,200	$8.83	$54.7K	1,443,908	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-17	2019-05-21	5,400	$8.72	$47.1K	1,450,108	SEC↗
Steinberg David J.	10% Owner	S Sale	2019-05-16	2019-05-16	134,700	$8.69	$1.17M	1,455,508	SEC↗
Steinberg David J.	10% Owner	S Sale	2019-05-15	2019-05-16	9,400	$8.56	$80.5K	1,590,208	SEC↗
Steinberg David J.	10% Owner	S Sale	2019-05-14	2019-05-16	4,900	$8.55	$41.9K	1,599,608	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-13	2019-05-13	5,000	$8.41	$42.0K	1,604,508	SEC↗
Mast Capital Management, LLC	10% Owner	S Sale	2019-05-10	2019-05-13	2,100	$8.43	$17.7K	1,609,508	SEC↗