[D] Great Elm Capital. Corp. SEC Filing
Great Elm Capital Corp. filed a Form D reporting a completed Regulation D equity offering of $15,028,500. The issuer, a Maryland corporation operating as a pooled investment/other investment fund, indicates it is registered as an investment company under the Investment Company Act of 1940. The offering relied on Rule 506(b) and was a new notice for a first sale on 2025-08-27. The filing shows $15,028,500 sold with $0 remaining, a minimum outside investment of $0, and that gross proceeds did not pay any named executives or directors. The filing discloses $450,855 in finders\' fees and reports one investor participated.
Great Elm Capital Corp. ha depositato un Modulo D segnalando un'offerta azionaria completata ai sensi del Regulation D per 15.028.500 USD. L'emittente, una societ脿 del Maryland che opera come fondo di investimento collettivo/altro fondo di investimento, dichiara di essere registrata come societ脿 di investimento ai sensi dell'Investment Company Act del 1940. L'offerta si 猫 fondata sulla Rule 506(b) ed 猫 stata una nuova comunicazione per una prima vendita avvenuta il 27/08/2025. Il deposito indica 15.028.500 USD venduti e 0 USD residui, un investimento esterno minimo di 0 USD e che i proventi lordi non sono stati versati a dirigenti o amministratori nominativi. Il deposito rivela 450.855 USD in commissioni per intermediari e segnala la partecipazione di un investitore.
Great Elm Capital Corp. present贸 un Formulario D informando una oferta de capital completada bajo el Regulation D por 15.028.500 USD. El emisor, una corporaci贸n de Maryland que opera como un fondo de inversi贸n agrupado/otro fondo de inversi贸n, indica que est谩 registrada como compa帽铆a de inversi贸n seg煤n el Investment Company Act de 1940. La oferta se bas贸 en la Rule 506(b) y fue una nueva notificaci贸n por una primera venta el 27/08/2025. La presentaci贸n muestra 15.028.500 USD vendidos y 0 USD restantes, una inversi贸n m铆nima externa de 0 USD, y que los ingresos brutos no se pagaron a ejecutivos o directores nombrados. La presentaci贸n revela 450.855 USD en honorarios de intermediarios e informa que particip贸 un inversor.
Great Elm Capital Corp.電� Regulation D鞐� 霐半ジ 15,028,500雼煬鞚� 歆攵� 氚滍枆鞚� 鞕勲霅橃棃鞚岇潉 氤搓碃頃橂姅 Form D毳� 鞝滌稖頄堨姷雼堧嫟. 氚滍枆鞚胳潃 歆戫暕韴瀽順�/旮绊儉 韴瀽韼霌滊 鞖挫榿霅橂姅 氅旊Υ霝滊摐 氩曥澑鞙茧, 1940雲� 韴瀽須岇偓氩�(Investment Company Act)鞐� 霐半澕 韴瀽須岇偓搿� 霌彪霅橃柎 鞛堧嫟瓿� 氇呾嫓頄堨姷雼堧嫟. 鞚措矆 瓿惦電� Rule 506(b)鞐� 攴缄卑頄堨溂氅� 2025-08-27鞐� 斓滌磮 毵り皝鞐� 雽頃� 鞁犼窚 韱奠鞓鞀惦媹雼�. 鞝滌稖靹滊電� 15,028,500雼煬臧 毵り皝霅橁碃 鞛旍棳旮堨潃 0雼煬鞚措┌, 斓滌唽 鞕鸽秬 韴瀽旮堨潃 0雼煬, 齑濎垬鞚奠潃 氇呾嫓霅� 鞛勳洂鞚措倶 鞚挫偓鞐愱矊 歆旮夒悩歆 鞎婌晿鞚岇潉 氤挫棳欷嶋媹雼�. 鞝滌稖靹滊姅 霕愴暅 欷戧皽靾橃垬耄岆 450,855雼煬臧 氚滌儩頄堨溂氅� 1氇呾潣 韴瀽鞛�臧 彀胳棳頄堨潓鞚� 氤搓碃頃╇媹雼�.
Great Elm Capital Corp. a d茅pos茅 un Formulaire D signalant une offre en actions conclue en vertu du Regulation D pour 15 028 500 USD. L'茅metteur, une soci茅t茅 du Maryland op茅rant comme fonds d'investissement mutualis茅/autre fonds d'investissement, indique 锚tre enregistr茅e en tant que soci茅t茅 d'investissement en vertu de l'Investment Company Act de 1940. L'offre s'est appuy茅e sur la Rule 506(b) et constituait un nouvel avis pour une premi猫re vente le 27/08/2025. le d茅p么t indique 15 028 500 USD vendus et 0 USD restants, un investissement externe minimum de 0 USD, et que les produits bruts n'ont pas 茅t茅 vers茅s 脿 des dirigeants ou administrateurs nomm茅s. Le d茅p么t divulgue 450 855 USD de frais d'apporteurs et signale la participation de un investisseur.
Great Elm Capital Corp. reichte ein Formular D ein und meldete ein abgeschlossenes Regulation-D-Eigenkapitalangebot in H枚he von 15.028.500 USD. Der Emittent, eine Gesellschaft aus Maryland, die als gepoolter Investment-/anderer Investmentfonds t盲tig ist, gibt an, gem盲脽 dem Investment Company Act von 1940 als Investmentgesellschaft registriert zu sein. Das Angebot beruhte auf Rule 506(b) und war eine neue Meldung f眉r einen Erstverkauf am 27.08.2025. Die Einreichung weist 15.028.500 USD verkauft und 0 USD verbleibend aus, ein minimales externes Investment von 0 USD, und dass die Bruttoerl枚se nicht an namentlich genannte F眉hrungskr盲fte oder Direktoren gezahlt wurden. Die Meldung offenbart 450.855 USD an Vermittlungsgeb眉hren und berichtet von der Teilnahme von einem Investor.
- Offering fully sold for $15,028,500
- No proceeds paid to named executives, directors, or promoters
- Filing relied on Rule 506(b), a common Regulation D exemption
- $450,855 in finders\' fees
- Concentration risk: filing reports only 1 investor to date
Insights
TL;DR: Completed $15.0M Rule 506(b) equity offering, fully subscribed; sizable finders\' fees and concentration of investment are notable.
The issuer executed a $15,028,500 equity raise under Rule 506(b) and reports the offering is fully sold. For investors, the key financial facts are the total offering amount, the fact that no proceeds were paid to named insiders, and the disclosed $450,855 of finders\' fees which reduces net proceeds. The filing also reports a single investor to date, indicating concentration risk in the subscription base. The company identifies itself as an Investment Company under the 1940 Act, consistent with its pooled fund classification.
TL;DR: Routine Form D filing with full subscription; governance attention warranted for high finder\'s fees and investor concentration.
The Form D provides standard disclosure of principals and officers, including the Chief Compliance Officer\'s signature. The filing states no proceeds were used to pay executive officers or directors, which is favorable. However, the disclosure of $450,855 in finders\' fees and only one reported investor raise governance and disclosure questions about fee reasonableness and investor concentration, which should be documented in offering materials and board records.
Great Elm Capital Corp. ha depositato un Modulo D segnalando un'offerta azionaria completata ai sensi del Regulation D per 15.028.500 USD. L'emittente, una societ脿 del Maryland che opera come fondo di investimento collettivo/altro fondo di investimento, dichiara di essere registrata come societ脿 di investimento ai sensi dell'Investment Company Act del 1940. L'offerta si 猫 fondata sulla Rule 506(b) ed 猫 stata una nuova comunicazione per una prima vendita avvenuta il 27/08/2025. Il deposito indica 15.028.500 USD venduti e 0 USD residui, un investimento esterno minimo di 0 USD e che i proventi lordi non sono stati versati a dirigenti o amministratori nominativi. Il deposito rivela 450.855 USD in commissioni per intermediari e segnala la partecipazione di un investitore.
Great Elm Capital Corp. present贸 un Formulario D informando una oferta de capital completada bajo el Regulation D por 15.028.500 USD. El emisor, una corporaci贸n de Maryland que opera como un fondo de inversi贸n agrupado/otro fondo de inversi贸n, indica que est谩 registrada como compa帽铆a de inversi贸n seg煤n el Investment Company Act de 1940. La oferta se bas贸 en la Rule 506(b) y fue una nueva notificaci贸n por una primera venta el 27/08/2025. La presentaci贸n muestra 15.028.500 USD vendidos y 0 USD restantes, una inversi贸n m铆nima externa de 0 USD, y que los ingresos brutos no se pagaron a ejecutivos o directores nombrados. La presentaci贸n revela 450.855 USD en honorarios de intermediarios e informa que particip贸 un inversor.
Great Elm Capital Corp.電� Regulation D鞐� 霐半ジ 15,028,500雼煬鞚� 歆攵� 氚滍枆鞚� 鞕勲霅橃棃鞚岇潉 氤搓碃頃橂姅 Form D毳� 鞝滌稖頄堨姷雼堧嫟. 氚滍枆鞚胳潃 歆戫暕韴瀽順�/旮绊儉 韴瀽韼霌滊 鞖挫榿霅橂姅 氅旊Υ霝滊摐 氩曥澑鞙茧, 1940雲� 韴瀽須岇偓氩�(Investment Company Act)鞐� 霐半澕 韴瀽須岇偓搿� 霌彪霅橃柎 鞛堧嫟瓿� 氇呾嫓頄堨姷雼堧嫟. 鞚措矆 瓿惦電� Rule 506(b)鞐� 攴缄卑頄堨溂氅� 2025-08-27鞐� 斓滌磮 毵り皝鞐� 雽頃� 鞁犼窚 韱奠鞓鞀惦媹雼�. 鞝滌稖靹滊電� 15,028,500雼煬臧 毵り皝霅橁碃 鞛旍棳旮堨潃 0雼煬鞚措┌, 斓滌唽 鞕鸽秬 韴瀽旮堨潃 0雼煬, 齑濎垬鞚奠潃 氇呾嫓霅� 鞛勳洂鞚措倶 鞚挫偓鞐愱矊 歆旮夒悩歆 鞎婌晿鞚岇潉 氤挫棳欷嶋媹雼�. 鞝滌稖靹滊姅 霕愴暅 欷戧皽靾橃垬耄岆 450,855雼煬臧 氚滌儩頄堨溂氅� 1氇呾潣 韴瀽鞛�臧 彀胳棳頄堨潓鞚� 氤搓碃頃╇媹雼�.
Great Elm Capital Corp. a d茅pos茅 un Formulaire D signalant une offre en actions conclue en vertu du Regulation D pour 15 028 500 USD. L'茅metteur, une soci茅t茅 du Maryland op茅rant comme fonds d'investissement mutualis茅/autre fonds d'investissement, indique 锚tre enregistr茅e en tant que soci茅t茅 d'investissement en vertu de l'Investment Company Act de 1940. L'offre s'est appuy茅e sur la Rule 506(b) et constituait un nouvel avis pour une premi猫re vente le 27/08/2025. le d茅p么t indique 15 028 500 USD vendus et 0 USD restants, un investissement externe minimum de 0 USD, et que les produits bruts n'ont pas 茅t茅 vers茅s 脿 des dirigeants ou administrateurs nomm茅s. Le d茅p么t divulgue 450 855 USD de frais d'apporteurs et signale la participation de un investisseur.
Great Elm Capital Corp. reichte ein Formular D ein und meldete ein abgeschlossenes Regulation-D-Eigenkapitalangebot in H枚he von 15.028.500 USD. Der Emittent, eine Gesellschaft aus Maryland, die als gepoolter Investment-/anderer Investmentfonds t盲tig ist, gibt an, gem盲脽 dem Investment Company Act von 1940 als Investmentgesellschaft registriert zu sein. Das Angebot beruhte auf Rule 506(b) und war eine neue Meldung f眉r einen Erstverkauf am 27.08.2025. Die Einreichung weist 15.028.500 USD verkauft und 0 USD verbleibend aus, ein minimales externes Investment von 0 USD, und dass die Bruttoerl枚se nicht an namentlich genannte F眉hrungskr盲fte oder Direktoren gezahlt wurden. Die Meldung offenbart 450.855 USD an Vermittlungsgeb眉hren und berichtet von der Teilnahme von einem Investor.