Great Elm Capital Corp
For the period ended Jun 30, 2024. Filed Aug 1, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2024 · Filed Aug 1, 2024
GECC$5.000.0%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
Unless otherwise indicated, all references are to exhibits to the applicable filing by Great Elm Capital Corp. (the “Registrant”) under File No. 814-01211 with the Securities and Exchange Commission.
| ExhibitNumber | Description |
| 3.1 | Amended and Restated Charter of the Registrant (incorporated by reference to Exhibit 3.1 to the Form 8-K filed on November 7, 2016) |
| 3.2 | Amendment to Amended and Restated Articles of Incorporation of the Registrant (incorporated by reference to Exhibit 3.1 to the Form 8-K filed on March 2, 2022) |
| 3.3 | Bylaws of the Registrant (incorporated by reference to Exhibit 2 to the Registration Statement on Form N-14 (File No. 333-212817) filed on August 1, 2016) |
| 4.1 | Sixth Supplemental Indenture, dated as of April 17, 2024, between Great Elm Capital Corp. and Equiniti Trust Company, LLC (f/k/a American Stock Transfer & Trust Company, LLC), as Trustee (incorporated by reference to Exhibit 4.1 to the Form 8-K filed on April 17, 2024) |
| 4.2 | Global Note (8.50% Note due 2029) (incorporated by reference to Exhibit 4.2 to the Form 8-K filed on April 17, 2024) |
| 10.1 | Amended and Restated Limited Liability Company Agreement of CLO Formation JV, LLC dated as of April 23, 2024 (incorporated by reference to Exhibit 10.1 to the Form 8-K filed on April 24, 2024) |
| 10.2 | Share Purchase Agreement, dated June 21, 2024 by and between Great Elm Capital Corp. and Prosper Peak Holdings, LLC (incorporated by reference to Exhibit 10.1 to the Form 8-K filed on June 24, 2024) |
| 31.1* | Certification of the Registrant’s Chief Executive Officer (“CEO”) |
| 31.2* | Certification of the Registrant’s Chief Financial Officer (“CFO”) |
| 32.1* | Certification of the Registrant’s CEO and CFO |
| 101 | Materials from the Registrant’s Quarterly Report on Form 10-Q for the fiscal quarter ended June 30, 2024, formatted in inline Extensible Business Reporting Language (XBRL): (i) consolidated statements of assets and liabilities, (ii) consolidated statements of operations, (iii) consolidated statements of changes in net assets, (iv) consolidated statements of cash flows, (v) consolidated schedules of investments, and (vi) related notes to the consolidated financial statements, tagged in detail (furnished herewith) |
| 104 | The cover page from the Registrant’s Quarterly Report on Form 10-Q for the fiscal quarter ended June 30, 2024, formatted in inline XBRL (included as Exhibit 101) |
- Filed herewith
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