Great Elm Capital
Finances middle-market companies through corporate credit, specialty-finance platforms, and CLO equity.
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Breakdown13F · Form 4
Shares outstanding 11.53M · Float 6.90M · 59.9% free float
A Form 4 total here can count shares the filer formally disclaims — an award voted by proxy, for instance — which the holder's own Schedule 13D/G excludes, so where the two disagree the schedule's smaller figure is used.
Institutions13F, as of Mar 31, 2026
23 holders · 869.0K shares · 5 new positions · 9 increased · 7 reduced · 8 closed
| Holder | Shares | % outstanding | Chg q/q | Filed |
|---|---|---|---|---|
| Northern Right Capital Management, L.P. | 384.0K | 3.33% | −414.5K | May 15, 2026 |
| Cruiser Capital Advisors, LLC | 127.5K | 1.11% | −3.4K | May 15, 2026 |
| Squarepoint Ops LLC | 64.9K | 0.56% | −41.1K | May 15, 2026 |
| RMB Capital Management, LLC | 60.0K | 0.52% | 0 | May 15, 2026 |
| Jane Street Group, LLC | 41.2K | 0.36% | +10.0K | May 12, 2026 |
| Papamarkou Wellner Asset Management Inc. | 30.2K | 0.26% | 0 | May 15, 2026 |
| Crestwood Advisors Group LLC | 26.6K | 0.23% | 0 | May 5, 2026 |
| Ethos Financial Group, LLC | 26.3K | 0.23% | 0 | May 5, 2026 |
Beneficial owners13D/G · 5% or more, as filed
| Holder | % of class | Shares | Form | Filed |
|---|---|---|---|---|
| Great Elm Strategic Partnership I, LLC | 11.13% | 1.56M | 13G | Nov 10, 2025 ↗ |
| Poor Richard LLC | 9.90% | 1.29M | 13G | Sep 4, 2025 ↗ |
| Great Elm Group, Inc. | 9.70% | 1.36M | 13D | Oct 9, 2025 ↗ |
| Summit Grove Partners, LLC | 9.50% | 1.09M | 13G | Dec 12, 2024 ↗ |
| Matthew A. Drapkinincl. Northern Right Capital (QP), L.P., Northern Right Fund GP LLC +3 more | 7.60% | 874.2K | 13D | Jan 21, 2025 ↗ |
InsidersForm 4
| Insider | Role | Shares | % outstanding | Filed |
|---|---|---|---|---|
| Great Elm Strategic Partnership I, LLC | 10 percent owner | 1.38M | 11.95% | Jun 30, 2026 |
| Great Elm Group, Inc. | 10 percent owner | 1.36M | 11.78% | Sep 23, 2025 |
| Jason W. Reese | director | 229.5K | 1.99% | Mar 5, 2026 |
| Matthew D. Kaplan | officer: CEO and President | 142.4K | 1.23% | Nov 10, 2025 |
| Adam M. Kleinman | officer: CCO and Secretary | 44.6K | 0.39% | Sep 23, 2025 |
| Keri Davis | officer: CFO | 21.9K | 0.19% | Sep 23, 2025 |
| Richard M. Cohen | director | 18.1K | 0.16% | Jun 13, 2025 |
| Chad Perry | director | 1.9K | 0.02% | Jun 5, 2025 |
6 ten-percent owners hold 3.90M shares by Form 4 — the 13D/G table above shows those stakes, the figure above counts officers and directors only · 8 people have not refiled in the last 18 months (88.0K shares), so they are not in the figure above
Latest trades
| Date | Insider | Type | Shares | Avg price | Owned after |
|---|---|---|---|---|---|
| Nov 7, 2025 | Matthew D. Kaplanofficer: CEO and President | Purchase | 19,650 | $7.64 | 142,400 |
| Sep 26, 2025 | Great Elm Strategic Partnership I, LLC10 percent owner | Sale | 2,313 | $11.45 | 1,558,260 |
| Sep 25, 2025 | Great Elm Strategic Partnership I, LLC10 percent owner | Sale | 1,696 | $11.45 | 1,560,573 |
| Sep 23, 2025 | Great Elm Strategic Partnership I, LLC10 percent owner | Sale | 1,490 | $11.45 | 1,562,269 |
| Sep 22, 2025 | Great Elm Strategic Partnership I, LLC10 percent owner | Sale | 48,248 | $11.45 | 1,563,759 |
| Sep 19, 2025 | Great Elm Strategic Partnership I, LLC10 percent owner | Sale | 14,737 | $11.45 | 1,612,007 |
| Sep 18, 2025 | Great Elm Strategic Partnership I, LLC10 percent owner | Sale | 100 | $11.45 | 1,626,744 |
| Sep 15, 2025 | Great Elm Strategic Partnership I, LLC10 percent owner | Sale | 20,938 | $11.45 | 1,626,844 |
CongressHouse and Senate disclosures
Not reported.