Great Elm Capital Corp
For the period ended Sep 30, 2024. Filed Oct 31, 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.
Sep 30, 2024 · Filed Oct 31, 2024
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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 | Seventh Supplemental Indenture, dated as of September 19, 2024, between Great Elm Capital Corp. and Equiniti Trust Company, LLC, as Trustee (incorporated by reference to Exhibit 4.1 to the Form 8-K filed on September 19, 2024) |
| 10.1 | Purchase Agreement, dated as of July 9, 2024, by and among the Company, Great Elm Capital Management, LLC and the purchasers named in Appendix A thereto (incorporated by reference to Exhibit 10.1 to the Form 8-K filed on July 9, 2024) |
| 10.2+ | Second Amended and Restated Limited Liability Company Agreement of CLO Formation JV, LLC dated as of August 20, 2024 (incorporated by reference to Exhibit 10.1 to the Form 8-K filed on August 22, 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 September 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 September 30, 2024, formatted in inline XBRL (included as Exhibit 101) |
- Certain portions of this exhibit were redacted pursuant to Item 601(b)(10)(iv) of Regulation S-K.
- Filed herewith
This certification is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended ("Exchange Act"), or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act.
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