Great Elm Capital Corp. - 公司债券/票据
US ˙ NasdaqGM ˙ US3903206049

介绍

本页面提供了有关 Steinberg David J. 已知的内部交易历史的全面分析。内部人士包括公司的高管、董事或重要投资者。一般而言，基于内幕、非公开信息进行交易是非法的。这并不意味着他们在自己的公司进行任何交易都是非法的。但是，他们必须通过Form 4向美国证券交易委员会（SEC）报告所有交易。尽管存在这些限制，学术研究表明，整体而言，内部人士在自己公司中的投资表现往往优于市场。

平均交易盈利能力

“平均交易盈利能力”衡量了内部人士在过去三年中所有非计划性的公开市场买入交易的平均回报率。计算过程包括检查每笔交易，排除了作为10b5-1交易计划的一部分的交易。然后，对每笔交易在3、6和12个月的表现进行平均，以生成该笔交易最终的表现指标。然后，将所有交易的表现指标进行平均，计算出内部人士的总体平均表现指标。列表仅包含在过去两年中进行过至少三笔交易的内部人士。

如果内部人士的交易盈利能力显示为"N/A"，则可能是因为该内部人士在过去三年内没有进行任何公开市场买入交易，或者他们进行的交易距离现在时间太近，无法计算出可靠的表现指标。

更新频率：每日

查看收益最高的的内幕交易者列表。

查看排名最高的内部人士。
报告内部持仓的公司

美国证券交易委员会（SEC）文件显示Steinberg David J.已报告在以下公司拥有持仓或进行了交易：

证券 职位 最新报告的持仓
US:GECC / Great Elm Capital Corp. 10% Owner 1,015,508
10% Owner 0
US:EVRI / Everi Holdings Inc. 10% Owner 784,002
US:GNCMA / General Communication, Inc. 10% Owner 734,312
如何解读这些图表

以下图表显示了在Steinberg David J.进行的每笔公开市场非计划交易后证券的股价表现。非计划交易是指没有作为10b5-1交易计划的一部分而进行的交易。股价表现以累积百分比变化的方式绘制。例如，如果一笔内部人士交易是在2019年1月1日进行的，该图表将显示该证券的每日百分比变化直至当前日期。如果在此期间股价从10美元涨至15美元，则股价的累积百分比变化将为50%。从10美元涨至20美元的价格变化将为100%，而从10美元跌至5美元的价格变化将为-50%。

最终，我们将评估内部人士的交易与股价的超额回报（正向或负向）之间的相关性，以判断内部人士是否在交易中利用内部信息获利。如果内部人士有这样的行为，我们预期看到（a）买入后的正回报，或者（b）卖出后的负回报。对于情况（a），买入图表将显示一系列向上倾斜的曲线，表示每次买入后都有正回报。对于情况（b），卖出图表将显示一系列向下倾斜的曲线，表示每次卖出后都有负回报。

然而，仅凭这一点还不足以得出结论。例如，如果公司的股价在多年内呈现非周期性上升，我们会预期所有买入后的图表都呈现向上倾斜。同样地，多年来呈现非周期性下降的股价会导致卖出后的图表也呈现向下倾斜。这两种情况的图表都不能表示内部人士在进行内幕交易。

最有力的指标是在公司股价呈极度循环波动的情况下，“买入”图表显示正向信号，而“卖出”图表显示负向趋势。这种情况强烈暗示内部人士可能根据内幕信息精确地计时进行交易，以获得财务优势。

GECCO / Great Elm Capital Corp. - Corporate Bond/Note内部人士买入 - 短期收益分析

在这一部分，我们分析了在 GECCO / Great Elm Capital Corp. - Corporate Bond/Note 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
当前未知该内部人士进行过任何未预先计划的公开市场交易。

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GECCO / Great Elm Capital Corp. - Corporate Bond/Note Insider Trades
GECCO / Great Elm Capital Corp. - Corporate Bond/Note内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 GECCO / Great Elm Capital Corp. - Corporate Bond/Note 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2019-06-05 GECC Mast Capital Management, LLC 55,100 8.4812 37,450 12.4785 467,314 303 15 94,421 20.21
2019-06-04 GECC Mast Capital Management, LLC 5,700 8.4744 3,874 12.4685 48,304
2019-06-03 GECC Mast Capital Management, LLC 7,400 8.4650 5,030 12.4546 62,641
2019-05-31 GECC Mast Capital Management, LLC 58,200 8.5991 39,557 12.6519 500,468
2019-05-30 GECC Mast Capital Management, LLC 7,000 8.8616 4,758 13.0382 62,031
2019-05-29 GECC Mast Capital Management, LLC 5,300 8.9000 3,602 13.0947 47,170
2019-05-28 GECC Mast Capital Management, LLC 8,800 8.8812 5,981 13.0670 78,155
2019-05-24 GECC Mast Capital Management, LLC 10,500 8.8485 7,136 13.0189 92,909
2019-05-23 GECC Mast Capital Management, LLC 258,100 8.6028 175,422 12.6574 2,220,383
2019-05-22 GECC Mast Capital Management, LLC 5,400 8.7742 3,670 12.9096 47,381
2019-05-21 GECC Mast Capital Management, LLC 6,900 8.8485 4,690 13.0189 61,055
2019-05-20 GECC Mast Capital Management, LLC 6,200 8.8323 4,214 12.9950 54,760
2019-05-17 GECC Mast Capital Management, LLC 5,400 8.7221 3,670 12.8329 47,099
2019-05-16 GECC Mast Capital Management, LLC 134,700 8.6943 91,551 12.7920 1,171,122
2019-05-15 GECC Mast Capital Management, LLC 9,400 8.5580 6,389 12.5915 80,445
2019-05-14 GECC Mast Capital Management, LLC 4,900 8.5460 3,330 12.5738 41,875
2019-05-13 GECC Mast Capital Management, LLC 5,000 8.4071 3,398 12.3694 42,036
2019-05-10 GECC Mast Capital Management, LLC 2,100 8.4327 1,427 12.4071 17,709
2019-05-09 GECC Mast Capital Management, LLC 1,700 8.3899 1,155 12.3441 14,263
2019-04-25 GECC Mast Capital Management, LLC 13,300 8.3616 9,040 12.3025 111,209
2019-04-24 GECC Mast Capital Management, LLC 20,500 8.4107 13,933 12.3747 172,419
2019-04-23 GECC Mast Capital Management, LLC 16,200 8.3901 11,011 12.3444 135,920
2019-04-22 GECC Mast Capital Management, LLC 11,300 8.3436 7,680 12.2760 94,283
2019-04-18 GECC Mast Capital Management, LLC 13,000 8.3581 8,836 12.2974 108,655
2019-04-17 GECC Mast Capital Management, LLC 7,400 8.3576 5,030 12.2966 61,846
2019-04-16 GECC Mast Capital Management, LLC 16,700 8.3392 11,350 12.2695 139,265
2019-04-01 GECC Mast Capital Management, LLC 102,900 8.2016 69,938 12.0671 843,945
2019-03-29 GECC Mast Capital Management, LLC 5,900 8.2688 4,010 12.1660 48,786
2019-03-28 GECC Mast Capital Management, LLC 6,400 8.2938 4,350 12.2027 53,080
2019-03-26 GECC Mast Capital Management, LLC 16,000 8.3540 10,875 12.2913 133,664
2019-03-25 GECC Mast Capital Management, LLC 205,200 8.2217 139,468 12.0967 1,687,093
2019-03-22 GECC Mast Capital Management, LLC 16,000 8.2391 10,875 12.1223 131,826
2019-03-21 GECC Mast Capital Management, LLC 4,300 8.3089 2,923 12.2250 35,728
2019-03-20 GECC Mast Capital Management, LLC 3,700 8.3168 2,515 12.2366 30,772
2019-03-19 GECC Mast Capital Management, LLC 9,500 8.2816 6,457 12.1848 78,675
2019-03-18 GECC Mast Capital Management, LLC 4,800 8.1696 3,262 12.0200 39,214
2019-03-15 GECC Mast Capital Management, LLC 18,009 8.1532 12,240 11.9959 146,831
2019-03-14 GECC Mast Capital Management, LLC 10,400 8.0975 7,069 11.9139 84,214
2019-03-13 GECC Mast Capital Management, LLC 35,900 8.1376 24,400 11.9729 292,140
2019-03-12 GECC Mast Capital Management, LLC 17,700 8.2087 12,030 12.0775 145,294
2019-03-11 GECC Mast Capital Management, LLC 9,800 8.1600 6,661 12.0059 79,968
2019-03-08 GECC Mast Capital Management, LLC 8,400 8.0884 5,709 11.9005 67,943
2019-03-07 GECC Mast Capital Management, LLC 17,600 8.1693 11,962 12.0196 143,780
2019-03-06 GECC Mast Capital Management, LLC 6,300 8.2030 4,282 12.0692 51,679
2019-03-05 GECC Mast Capital Management, LLC 14,500 8.1613 9,855 12.0078 118,339
2019-03-04 GECC Mast Capital Management, LLC 16,700 8.2904 11,350 12.1977 138,450
2019-03-01 GECC Mast Capital Management, LLC 40,000 8.4181 27,187 12.3856 336,724
2019-02-28 GECC Mast Capital Management, LLC 11,400 8.3302 7,748 12.2563 94,964
2019-02-27 GECC Mast Capital Management, LLC 10,000 8.3794 6,797 12.3287 83,794
2019-02-26 GECC Mast Capital Management, LLC 29,400 8.5034 19,982 12.5111 250,000
2019-02-25 GECC Mast Capital Management, LLC 32,500 8.4790 22,089 12.4752 275,568
2019-02-22 GECC Mast Capital Management, LLC 15,700 8.4493 10,671 12.4315 132,654
2019-02-21 GECC Mast Capital Management, LLC 6,400 8.3891 4,350 12.3430 53,690
2019-02-20 GECC Mast Capital Management, LLC 11,600 8.3200 7,884 12.2413 96,512
2019-02-19 GECC Mast Capital Management, LLC 20,900 8.3200 14,205 12.2413 173,888
2019-02-15 GECC Mast Capital Management, LLC 12,000 8.3054 8,156 12.2198 99,665
2019-02-14 GECC Mast Capital Management, LLC 16,400 8.2848 11,147 12.1895 135,871
2019-02-13 GECC Mast Capital Management, LLC 12,000 8.2648 8,156 12.1601 99,178
2019-02-12 GECC Mast Capital Management, LLC 8,400 8.1626 5,709 12.0097 68,566
2019-02-11 GECC Mast Capital Management, LLC 5,900 8.1330 4,010 11.9662 47,985
2019-02-08 GECC Mast Capital Management, LLC 6,000 8.1475 4,078 11.9875 48,885
2019-02-07 GECC Mast Capital Management, LLC 9,000 8.1372 6,117 11.9723 73,235
2019-02-06 GECC Mast Capital Management, LLC 14,700 8.1374 9,991 11.9726 119,620
2019-02-05 GECC Mast Capital Management, LLC 16,100 8.0759 10,943 11.8821 130,022
2019-02-04 GECC Mast Capital Management, LLC 25,000 8.0128 16,992 11.7893 200,320
2019-02-01 GECC Mast Capital Management, LLC 5,200 8.0003 3,534 11.7709 41,602
2019-01-31 GECC Mast Capital Management, LLC 9,000 8.0053 6,117 11.7783 72,048
2019-01-30 GECC Mast Capital Management, LLC 9,750 8.0049 6,627 11.7777 78,048
2019-01-29 GECC Mast Capital Management, LLC 7,000 8.0076 4,758 11.7817 56,053
2019-01-28 GECC Mast Capital Management, LLC 15,100 7.9882 10,263 11.7531 120,622
2019-01-25 GECC Mast Capital Management, LLC 18,500 7.9513 12,574 11.6988 147,099
2019-01-24 GECC Mast Capital Management, LLC 4,666 7.9521 3,171 11.7000 37,104
2019-01-23 GECC Mast Capital Management, LLC 9,533 7.9510 6,479 11.6984 75,797
2019-01-22 GECC Mast Capital Management, LLC 6,525 7.9553 4,435 11.7047 51,908
2019-01-18 GECC Mast Capital Management, LLC 4,950 7.9515 3,364 11.6991 39,360
2019-01-17 GECC Mast Capital Management, LLC 2,950 7.9500 2,005 11.6969 23,452
2019-01-16 GECC Mast Capital Management, LLC 3,750 7.9608 2,549 11.7128 29,853
2019-01-15 GECC Mast Capital Management, LLC 1,325 7.9504 901 11.6975 10,534
2019-01-14 GECC Mast Capital Management, LLC 200 7.9500 136 11.6969 1,590
2019-01-11 GECC Mast Capital Management, LLC 2,100 7.9515 1,427 11.6991 16,698
2019-01-10 GECC Mast Capital Management, LLC 3,700 7.9559 2,515 11.7056 29,437
2019-01-09 GECC Mast Capital Management, LLC 1,300 7.9508 884 11.6981 10,336
2019-01-08 GECC Mast Capital Management, LLC 1,450 7.9507 986 11.6979 11,529
2019-01-07 GECC Mast Capital Management, LLC 1,690 7.9559 1,149 11.7056 13,445
2019-01-04 GECC Mast Capital Management, LLC 40,750 7.9012 27,696 11.6251 321,974
2019-01-03 GECC Mast Capital Management, LLC 475 7.9800 323 11.7410 3,790
2019-01-02 GECC Mast Capital Management, LLC 750 8.0000 510 11.7705 6,000
2018-12-31 GECC Mast Capital Management, LLC 250 8.0000 170 11.7705 2,000
2018-12-28 GECC Mast Capital Management, LLC 1,375 8.0066 935 11.7802 11,009
2018-12-13 GECC Mast Capital Management, LLC 862 8.1603 586 12.0063 7,034
2018-12-11 GECC Mast Capital Management, LLC 300 8.1500 204 11.9912 2,445
2018-12-11 GECC Mast Capital Management, LLC 2,000 8.1909 1,359 12.0513 16,382
2018-12-10 GECC Mast Capital Management, LLC 2,800 8.1539 1,903 11.9969 22,831
2018-12-07 GECC Mast Capital Management, LLC 2,000 8.2455 1,359 12.1317 16,491
2018-10-22 GECC Mast Capital Management, LLC 2,276,279 7.5500 1,547,111 11.1084 17,185,906
2018-09-12 GECC Mast Capital Management, LLC 45,448 9.6773 30,889 14.2383 439,814
2018-04-27 GECC Mast Capital Management, LLC 2,000 9.2358 1,359 13.5887 18,472
2018-04-26 GECC Mast Capital Management, LLC 2,500 9.2676 1,699 13.6355 23,169
2018-04-25 GECC Mast Capital Management, LLC 2,000 9.2309 1,359 13.5815 18,462
2018-04-18 GECC Mast Capital Management, LLC 1,900 9.1979 1,291 13.5330 17,476
2018-04-17 GECC Mast Capital Management, LLC 1,000 9.1724 680 13.4954 9,172
2018-04-13 GECC Mast Capital Management, LLC 500 9.2500 340 13.6096 4,625
2018-04-11 GECC Mast Capital Management, LLC 2,600 9.2081 1,767 13.5480 23,941
2018-04-10 GECC Mast Capital Management, LLC 4,656 9.1724 3,165 13.4954 42,707
2018-04-09 GECC Mast Capital Management, LLC 1,000 9.2500 680 13.6096 9,250
2018-04-06 GECC Mast Capital Management, LLC 902 9.2438 613 13.6005 8,338
2018-04-05 GECC Mast Capital Management, LLC 864 9.3510 587 13.7582 8,079
2018-04-04 GECC Mast Capital Management, LLC 940 9.3964 639 13.8250 8,833
2018-04-03 GECC Mast Capital Management, LLC 180 9.3472 122 13.7526 1,682
2018-04-02 GECC Mast Capital Management, LLC 900 9.2368 612 13.5902 8,313
2018-03-29 GECC Mast Capital Management, LLC 698 9.3442 474 13.7482 6,522
2018-03-28 GECC Mast Capital Management, LLC 17,006 9.2176 11,558 13.5619 156,755
2018-03-27 GECC Mast Capital Management, LLC 1,100 9.1864 748 13.5160 10,105
2018-03-26 GECC Mast Capital Management, LLC 500 9.1680 340 13.4890 4,584
2018-03-23 GECC Mast Capital Management, LLC 500 9.2220 340 13.5684 4,611
2018-03-22 GECC Mast Capital Management, LLC 2,700 8.9780 1,835 13.2094 24,241
2018-03-21 GECC Mast Capital Management, LLC 3,945 9.1837 2,681 13.5121 36,230
2017-11-01 GECC Mast Capital Management, LLC 200 10.1250 136 14.8970 2,025
2017-10-30 GECC Mast Capital Management, LLC 200 10.1000 136 14.8602 2,020
2017-10-27 GECC Mast Capital Management, LLC 201 10.2797 137 15.1246 2,066
2017-10-26 GECC Mast Capital Management, LLC 200 10.2150 136 15.0294 2,043
2017-10-25 GECC Mast Capital Management, LLC 200 10.2400 136 15.0662 2,048
2017-10-24 GECC Mast Capital Management, LLC 200 10.2400 136 15.0662 2,048
2017-10-20 GECC Mast Capital Management, LLC 1,569 10.2542 1,066 15.0871 16,089
2017-10-19 GECC Mast Capital Management, LLC 2,500 10.1714 1,699 14.9653 25,428
2017-10-18 GECC Mast Capital Management, LLC 16,702 10.1415 11,352 14.9213 169,383
2017-10-17 GECC Mast Capital Management, LLC 29,954 10.0904 20,359 14.8461 302,248
2017-10-16 GECC Mast Capital Management, LLC 8,738 10.1554 5,939 14.9417 88,738
2017-10-13 GECC Mast Capital Management, LLC 28,506 10.1048 19,375 14.8673 288,047
2017-10-12 GECC Mast Capital Management, LLC 13,300 10.1165 9,040 14.8845 134,549
2017-10-11 GECC Mast Capital Management, LLC 6,192 10.1537 4,208 14.9392 62,872
2017-10-10 GECC Mast Capital Management, LLC 5,700 10.1523 3,874 14.9372 57,868
2017-10-09 GECC Mast Capital Management, LLC 2,500 10.2099 1,699 15.0219 25,525
2017-10-06 GECC Mast Capital Management, LLC 13,445 10.3151 9,138 15.1767 138,687
2017-10-05 GECC Mast Capital Management, LLC 13,722 10.3344 9,326 15.2051 141,809
2017-10-04 GECC Mast Capital Management, LLC 4,340 10.3629 2,950 15.2470 44,975
2017-10-03 GECC Mast Capital Management, LLC 7,242 10.4036 4,922 15.3069 75,343
2017-10-02 GECC Mast Capital Management, LLC 7,023 10.4331 4,773 15.3503 73,272
2017-09-29 GECC Mast Capital Management, LLC 15,000 10.4691 10,195 15.4033 157,036
2017-09-28 GECC Mast Capital Management, LLC 54,504 10.4514 37,045 15.3772 569,643
2017-09-27 GECC Mast Capital Management, LLC 13,276 10.5542 9,023 15.5285 140,118
2017-09-26 GECC Mast Capital Management, LLC 6,432 10.5541 4,372 15.5283 67,884
2017-09-25 GECC Mast Capital Management, LLC 10,791 10.6000 7,334 15.5959 114,385
2017-09-21 GECC Mast Capital Management, LLC 42,348 10.6189 28,783 15.6237 449,689
2017-09-20 GECC Mast Capital Management, LLC 17,328 10.7307 11,777 15.7882 185,942
2017-09-19 GECC Mast Capital Management, LLC 11,216 10.6611 7,623 15.6858 119,575
2017-09-18 GECC Mast Capital Management, LLC 25,000 10.7540 16,992 15.8225 268,850
2017-09-15 GECC Mast Capital Management, LLC 12,461 10.7744 8,469 15.8525 134,260
2017-09-14 GECC Mast Capital Management, LLC 300 10.8617 204 15.9809 3,259
2017-09-08 GECC Mast Capital Management, LLC 600 10.9325 408 16.0851 6,560

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GECCO / Great Elm Capital Corp. - Corporate Bond/Note Insider Trades
内幕交易历史

该表格显示了由 Steinberg David J. 进行的所有内幕交易的完整列表，这些交易已向美国证券交易委员会（SEC）披露。

备案日期 交易日期 表格 股票代码 证券 代码 10b5-1 股数 剩余股数 %
变化		 每股
股价		 交易
金额		 剩余
金额
2019-06-07 2019-06-05 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -55,100 1,015,508 -5.15 8.48 -467,314 8,612,726
2019-06-04 2019-06-04 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -5,700 1,070,608 -0.53 8.47 -48,304 9,072,760
2019-06-04 2019-06-03 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -7,400 1,076,308 -0.68 8.46 -62,641 9,110,947
2019-06-04 2019-05-31 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -58,200 1,083,708 -5.10 8.60 -500,468 9,318,913
2019-05-30 2019-05-30 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -7,000 1,141,908 -0.61 8.86 -62,031 10,119,132
2019-05-30 2019-05-29 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -5,300 1,148,908 -0.46 8.90 -47,170 10,225,281
2019-05-30 2019-05-28 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -8,800 1,154,208 -0.76 8.88 -78,155 10,250,752
2019-05-24 2019-05-24 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -10,500 1,163,008 -0.89 8.85 -92,909 10,290,876
2019-05-24 2019-05-23 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -258,100 1,173,508 -18.03 8.60 -2,220,383 10,095,455
2019-05-24 2019-05-22 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -5,400 1,431,608 -0.38 8.77 -47,381 12,561,215
2019-05-21 2019-05-21 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -6,900 1,437,008 -0.48 8.85 -61,055 12,715,365
2019-05-21 2019-05-20 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -6,200 1,443,908 -0.43 8.83 -54,760 12,753,029
2019-05-21 2019-05-17 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -5,400 1,450,108 -0.37 8.72 -47,099 12,647,987
2019-05-16 2019-05-16 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -134,700 1,455,508 -8.47 8.69 -1,171,122 12,654,623
2019-05-16 2019-05-15 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -9,400 1,590,208 -0.59 8.56 -80,445 13,609,000
2019-05-16 2019-05-14 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -4,900 1,599,608 -0.31 8.55 -41,875 13,670,250
2019-05-13 2019-05-13 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -5,000 1,604,508 -0.31 8.41 -42,036 13,489,259
2019-05-13 2019-05-10 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,100 1,609,508 -0.13 8.43 -17,709 13,572,498
2019-05-13 2019-05-09 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,700 1,611,608 -0.11 8.39 -14,263 13,521,230
2019-04-29 2019-04-25 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -13,300 1,613,308 -0.82 8.36 -111,209 13,489,836
2019-04-24 2019-04-24 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -20,500 1,626,608 -1.24 8.41 -172,419 13,680,912
2019-04-24 2019-04-23 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -16,200 1,647,108 -0.97 8.39 -135,920 13,819,401
2019-04-24 2019-04-22 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -11,300 1,663,308 -0.67 8.34 -94,283 13,877,977
2019-04-18 2019-04-18 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -13,000 1,674,608 -0.77 8.36 -108,655 13,996,541
2019-04-18 2019-04-17 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -7,400 1,687,608 -0.44 8.36 -61,846 14,104,353
2019-04-18 2019-04-16 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -16,700 1,695,008 -0.98 8.34 -139,265 14,135,011
2019-04-01 2019-04-01 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -102,900 1,711,708 -5.67 8.20 -843,945 14,038,744
2019-04-01 2019-03-29 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -5,900 1,814,608 -0.32 8.27 -48,786 15,004,631
2019-04-01 2019-03-28 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -6,400 1,820,508 -0.35 8.29 -53,080 15,098,929
2019-03-27 2019-03-26 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -16,000 1,826,908 -0.87 8.35 -133,664 15,261,989
2019-03-27 2019-03-25 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -205,200 1,842,908 -10.02 8.22 -1,687,093 15,151,837
2019-03-22 2019-03-22 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -16,000 2,048,108 -0.78 8.24 -131,826 16,874,567
2019-03-22 2019-03-21 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -4,300 2,064,108 -0.21 8.31 -35,728 17,150,467
2019-03-22 2019-03-20 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -3,700 2,068,408 -0.18 8.32 -30,772 17,202,536
2019-03-19 2019-03-19 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -9,500 2,072,108 -0.46 8.28 -78,675 17,160,370
2019-03-19 2019-03-18 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -4,800 2,081,608 -0.23 8.17 -39,214 17,005,905
2019-03-19 2019-03-15 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -18,009 2,086,408 -0.86 8.15 -146,831 17,010,902
2019-03-14 2019-03-14 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -10,400 2,104,417 -0.49 8.10 -84,214 17,040,517
2019-03-14 2019-03-13 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -35,900 2,114,817 -1.67 8.14 -292,140 17,209,535
2019-03-14 2019-03-12 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -17,700 2,150,717 -0.82 8.21 -145,294 17,654,591
2019-03-11 2019-03-11 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -9,800 2,168,417 -0.45 8.16 -79,968 17,694,283
2019-03-11 2019-03-08 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -8,400 2,178,217 -0.38 8.09 -67,943 17,618,290
2019-03-11 2019-03-07 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -17,600 2,186,617 -0.80 8.17 -143,780 17,863,130
2019-03-06 2019-03-06 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -6,300 2,204,217 -0.29 8.20 -51,679 18,081,192
2019-03-06 2019-03-05 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -14,500 2,210,517 -0.65 8.16 -118,339 18,040,692
2019-03-06 2019-03-04 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -16,700 2,225,017 -0.74 8.29 -138,450 18,446,281
2019-03-01 2019-03-01 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -40,000 2,241,717 -1.75 8.42 -336,724 18,870,998
2019-03-01 2019-02-28 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -11,400 2,281,717 -0.50 8.33 -94,964 19,007,159
2019-03-01 2019-02-27 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -10,000 2,293,117 -0.43 8.38 -83,794 19,214,945
2019-02-26 2019-02-26 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -29,400 2,307,791 -1.26 8.50 -250,000 19,624,070
2019-02-26 2019-02-25 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -32,500 2,337,191 -1.37 8.48 -275,568 19,817,042
2019-02-26 2019-02-22 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -15,700 2,369,691 -0.66 8.45 -132,654 20,022,230
2019-02-21 2019-02-21 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -6,400 2,385,391 -0.27 8.39 -53,690 20,011,284
2019-02-21 2019-02-20 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -11,600 2,391,791 -0.48 8.32 -96,512 19,899,701
2019-02-21 2019-02-19 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -20,900 2,403,391 -0.86 8.32 -173,888 19,996,213
2019-02-15 2019-02-15 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -12,000 2,424,291 -0.49 8.31 -99,665 20,134,706
2019-02-15 2019-02-14 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -16,400 2,436,291 -0.67 8.28 -135,871 20,184,184
2019-02-15 2019-02-13 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -12,000 2,452,691 -0.49 8.26 -99,178 20,271,001
2019-02-12 2019-02-12 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -8,400 2,464,691 -0.34 8.16 -68,566 20,118,287
2019-02-12 2019-02-11 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -5,900 2,473,091 -0.24 8.13 -47,985 20,113,649
2019-02-12 2019-02-08 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -6,000 2,478,991 -0.24 8.15 -48,885 20,197,579
2019-02-07 2019-02-07 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -9,000 2,484,991 -0.36 8.14 -73,235 20,220,869
2019-02-07 2019-02-06 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -14,700 2,493,991 -0.59 8.14 -119,620 20,294,602
2019-02-07 2019-02-05 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -16,100 2,508,691 -0.64 8.08 -130,022 20,259,938
2019-02-04 2019-02-04 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -25,000 2,524,791 -0.98 8.01 -200,320 20,230,645
2019-02-04 2019-02-01 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -5,200 2,549,791 -0.20 8.00 -41,602 20,399,093
2019-02-04 2019-01-31 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -9,000 2,554,991 -0.35 8.01 -72,048 20,453,469
2019-01-30 2019-01-30 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -9,750 2,563,991 -0.38 8.00 -78,048 20,524,492
2019-01-30 2019-01-29 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -7,000 2,573,741 -0.27 8.01 -56,053 20,609,488
2019-01-30 2019-01-28 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -15,100 25,807,417 -0.06 7.99 -120,622 206,154,808
2019-01-25 2019-01-25 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -18,500 2,595,841 -0.71 7.95 -147,099 20,640,311
2019-01-25 2019-01-24 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -4,666 2,614,341 -0.18 7.95 -37,104 20,789,501
2019-01-25 2019-01-23 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -9,533 2,619,007 -0.36 7.95 -75,797 20,823,725
2019-01-22 2019-01-22 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -6,525 2,628,540 -0.25 7.96 -51,908 20,910,824
2019-01-22 2019-01-18 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -4,950 2,635,065 -0.19 7.95 -39,360 20,952,719
2019-01-22 2019-01-17 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,950 2,640,015 -0.11 7.95 -23,452 20,988,119
2019-01-16 2019-01-16 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -3,750 2,642,965 -0.14 7.96 -29,853 21,040,116
2019-01-16 2019-01-15 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,325 2,646,715 -0.05 7.95 -10,534 21,042,443
2019-01-16 2019-01-14 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -200 2,648,040 -0.01 7.95 -1,590 21,051,918
2019-01-11 2019-01-11 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,100 2,648,240 -0.08 7.95 -16,698 21,057,480
2019-01-11 2019-01-10 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -3,700 2,650,340 -0.14 7.96 -29,437 21,085,840
2019-01-11 2019-01-09 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,300 2,654,040 -0.05 7.95 -10,336 21,101,741
2019-01-08 2019-01-08 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,450 2,655,340 -0.05 7.95 -11,529 21,111,812
2019-01-08 2019-01-07 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,690 2,656,790 -0.06 7.96 -13,445 21,137,156
2019-01-08 2019-01-04 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -40,750 2,658,480 -1.51 7.90 -321,974 21,005,182
2019-01-04 2019-01-03 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -475 2,699,230 -0.02 7.98 -3,790 21,539,855
2019-01-04 2019-01-02 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -750 2,699,705 -0.03 8.00 -6,000 21,597,640
2019-01-02 2018-12-31 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -250 2,700,455 -0.01 8.00 -2,000 21,603,640
2019-01-02 2018-12-28 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,375 2,700,705 -0.05 8.01 -11,009 21,623,465
2018-12-17 2018-12-13 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -862 2,702,080 -0.03 8.16 -7,034 22,049,783
2018-12-12 2018-12-11 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,000 2,704,774 -0.07 8.19 -16,382 22,154,533
2018-12-12 2018-12-11 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -300 2,706,774 -0.01 8.15 -2,445 22,060,208
2018-12-12 2018-12-10 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,800 2,707,074 -0.10 8.15 -22,831 22,073,211
2018-12-10 2018-12-07 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,000 2,709,874 -0.07 8.25 -16,491 22,344,266
2018-10-24 2018-10-22 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,276,279 2,711,874 -45.63 7.55 -17,185,906 20,474,649
2018-09-14 2018-09-12 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -45,448 4,988,153 -0.90 9.68 -439,814 48,271,853
2018-04-27 2018-04-27 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,000 5,033,601 -0.04 9.24 -18,472 46,489,332
2018-04-27 2018-04-26 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,500 5,035,601 -0.05 9.27 -23,169 46,667,936
2018-04-27 2018-04-25 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,000 5,038,101 -0.04 9.23 -18,462 46,506,207
2018-04-20 2018-04-18 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,900 5,040,101 -0.04 9.20 -17,476 46,358,345
2018-04-17 2018-04-17 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,000 5,042,001 -0.02 9.17 -9,172 46,247,250
2018-04-17 2018-04-13 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -500 5,043,001 -0.01 9.25 -4,625 46,647,759
2018-04-11 2018-04-11 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,600 5,043,501 -0.05 9.21 -23,941 46,441,062
2018-04-11 2018-04-10 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -4,656 5,046,101 -0.09 9.17 -42,707 46,284,857
2018-04-11 2018-04-09 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,000 5,050,757 -0.02 9.25 -9,250 46,719,502
2018-04-06 2018-04-06 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -902 5,051,757 -0.02 9.24 -8,338 46,697,431
2018-04-06 2018-04-05 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -864 5,052,659 -0.02 9.35 -8,079 47,247,414
2018-04-06 2018-04-04 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -940 5,053,523 -0.02 9.40 -8,833 47,484,924
2018-04-03 2018-04-03 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -180 5,054,463 0.00 9.35 -1,682 47,245,077
2018-04-03 2018-04-02 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -900 5,054,643 -0.02 9.24 -8,313 46,688,726
2018-04-03 2018-03-29 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -698 5,055,543 -0.01 9.34 -6,522 47,240,005
2018-03-28 2018-03-28 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -17,006 5,056,241 -0.34 9.22 -156,755 46,606,407
2018-03-28 2018-03-27 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,100 5,073,247 -0.02 9.19 -10,105 46,604,876
2018-03-28 2018-03-26 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -500 5,074,347 -0.01 9.17 -4,584 46,521,613
2018-03-23 2018-03-23 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -500 5,074,847 -0.01 9.22 -4,611 46,800,239
2018-03-23 2018-03-22 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,700 5,075,347 -0.05 8.98 -24,241 45,566,465
2018-03-23 2018-03-21 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -3,945 5,078,047 -0.08 9.18 -36,230 46,635,260
2017-11-03 2017-11-01 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -200 5,081,992 0.00 10.12 -2,025 51,455,169
2017-10-31 2017-10-30 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -200 5,082,192 0.00 10.10 -2,020 51,330,139
2017-10-31 2017-10-27 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -201 5,082,392 0.00 10.28 -2,066 52,245,465
2017-10-26 2017-10-26 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -200 5,082,593 0.00 10.22 -2,043 51,918,687
2017-10-26 2017-10-25 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -200 5,082,793 0.00 10.24 -2,048 52,047,800
2017-10-26 2017-10-24 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -200 5,082,993 0.00 10.24 -2,048 52,049,848
2017-10-23 2017-10-20 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -1,569 5,083,193 -0.03 10.25 -16,089 52,124,078
2017-10-19 2017-10-19 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,500 5,084,762 -0.05 10.17 -25,428 51,719,148
2017-10-19 2017-10-18 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -16,702 5,087,262 -0.33 10.14 -169,383 51,592,468
2017-10-19 2017-10-17 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -29,954 5,103,964 -0.58 10.09 -302,248 51,501,038
2017-10-16 2017-10-16 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -8,738 5,133,918 -0.17 10.16 -88,738 52,136,991
2017-10-16 2017-10-13 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -28,506 5,142,656 -0.55 10.10 -288,047 51,965,510
2017-10-16 2017-10-12 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -13,300 51,711,623 -0.03 10.12 -134,549 523,140,634
2017-10-11 2017-10-11 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -6,192 5,184,462 -0.12 10.15 -62,872 52,641,472
2017-10-11 2017-10-10 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -5,700 5,190,654 -0.11 10.15 -57,868 52,697,077
2017-10-10 2017-10-09 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -2,500 5,196,354 -0.05 10.21 -25,525 53,054,255
2017-10-10 2017-10-06 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -13,445 5,198,854 -0.26 10.32 -138,687 53,626,699
2017-10-10 2017-10-05 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -13,722 5,212,299 -0.26 10.33 -141,809 53,865,983
2017-10-04 2017-09-19 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -11,216 5,404,305 -0.21 10.66 -119,575 57,615,836
2017-10-04 2017-09-18 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -25,000 5,415,521 -0.46 10.75 -268,850 58,238,513
2017-10-04 2017-10-04 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -4,340 5,226,021 -0.08 10.36 -44,975 54,156,733
2017-10-04 2017-10-03 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -7,242 5,230,361 -0.14 10.40 -75,343 54,414,584
2017-10-04 2017-10-02 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -7,023 5,237,603 -0.13 10.43 -73,272 54,644,436
2017-09-29 2017-09-29 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -15,000 5,244,626 -0.29 10.47 -157,036 54,906,514
2017-09-29 2017-09-28 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -54,504 5,259,626 -1.03 10.45 -569,643 54,970,455
2017-09-29 2017-09-27 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -13,276 5,314,130 -0.25 10.55 -140,118 56,086,391
2017-09-27 2017-09-26 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -6,432 5,327,406 -0.12 10.55 -67,884 56,225,976
2017-09-27 2017-09-25 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -10,791 5,333,838 -0.20 10.60 -114,385 56,538,683
2017-09-22 2017-09-21 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -42,348 5,344,629 -0.79 10.62 -449,689 56,754,081
2017-09-22 2017-09-20 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -17,328 5,386,977 -0.32 10.73 -185,942 57,806,034
2017-09-18 2017-09-15 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -12,461 5,440,521 -0.23 10.77 -134,260 58,618,349
2017-09-18 2017-09-14 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -300 5,452,982 -0.01 10.86 -3,259 59,228,655
2017-09-12 2017-09-08 4 GECC Great Elm Capital Corp.
Common Stock 		S - Sale -600 5,453,282 -0.01 10.93 -6,560 59,618,005
2017-05-19 2017-05-08 4 GECC Great Elm Capital Corp.
Common Stock 		J - Other -17,030 157,725 -9.75 11.50 -195,845 1,813,838
2017-05-19 2017-05-08 4 GECC Great Elm Capital Corp.
Common Stock 		J - Other -302,543 2,802,018 -9.75 11.50 -3,479,244 32,223,207
2017-05-19 2017-05-08 4 GECC Great Elm Capital Corp.
Common Stock 		J - Other -162,345 2,494,139 -6.11 11.50 -1,866,968 28,682,598
2017-05-16 2017-05-12 4 GEC Great Elm Capital Group, Inc.
Common Stock 		S - Sale -488,486 0 -100.00 3.30 -1,612,004
2017-05-16 2017-05-12 4 GEC Great Elm Capital Group, Inc.
Common Stock 		S - Sale -482,900 488,486 -49.71 3.30 -1,593,570 1,612,004
2017-05-16 2017-05-12 4 GEC Great Elm Capital Group, Inc.
Common Stock 		S - Sale -1,136,792 971,386 -53.92 3.35 -3,808,253 3,254,143
2017-04-20 2016-12-30 4 GEC Great Elm Capital Group, Inc.
Common Stock 		P - Purchase 1,104,596 1,947,735 131.01 3.29 3,634,121 6,408,048
2017-04-20 2016-12-30 4 GEC Great Elm Capital Group, Inc.
Common Stock 		P - Purchase 1,195,586 2,108,178 131.01 3.29 3,933,478 6,935,906
2017-04-20 2016-12-30 4 GEC Great Elm Capital Group, Inc.
Common Stock 		P - Purchase 62,341 283,264 28.22 3.29 205,102 931,939
2017-04-20 2016-12-09 4 GEC Great Elm Capital Group, Inc.
Warrant to purchase Common Stock 		P - Purchase 54,733 54,733
2017-04-20 2016-11-03 4 GEC Great Elm Capital Group, Inc.
Common Stock 		P - Purchase 220,923 220,923
2016-11-03 3 GECC Great Elm Capital Corp.
Common Stock, par value $.01 per share 		8,592,284
2016-11-03 3 GECC Great Elm Capital Corp.
Common Stock, par value $.01 per share 		9,040,361
2016-11-03 3 GECC Great Elm Capital Corp.
Common Stock, par value $.01 per share 		6,110,555
2016-11-03 3 GECC Great Elm Capital Corp.
Common Stock, par value $.01 per share 		8,592,284
2016-11-03 3 GECC Great Elm Capital Corp.
Common Stock, par value $.01 per share 		9,040,361
2016-11-03 3 GECC Great Elm Capital Corp.
Common Stock, par value $.01 per share 		6,110,555
2016-11-03 3 GECC Great Elm Capital Corp.
Common Stock, par value $.01 per share 		8,592,284
2016-11-03 3 GECC Great Elm Capital Corp.
Common Stock, par value $.01 per share 		9,040,361
2016-11-03 3 GECC Great Elm Capital Corp.
Common Stock, par value $.01 per share 		6,110,555
2016-05-16 2016-05-13 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		S - Sale -422,345 784,002 -35.01 1.45 -612,400 1,136,803
2016-05-16 2016-05-13 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		S - Sale -667,318 1,238,747 -35.01 1.45 -967,611 1,796,183
2016-05-16 2016-05-13 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		S - Sale -1,721,754 3,196,101 -35.01 1.45 -2,496,543 4,634,346
2016-05-16 2016-05-13 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		S - Sale -641,683 1,191,160 -35.01 1.45 -930,440 1,727,182
2015-12-09 2015-12-08 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 505,100 1,832,843 38.04 3.37 1,702,187 6,176,681
2015-12-09 2015-12-07 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 91,500 1,327,743 7.40 3.43 313,799 4,553,495
2015-10-29 2015-10-28 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 48,925 4,917,855 1.00 4.77 233,167 23,437,513
2015-10-29 2015-10-28 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 6,075 1,236,243 0.49 4.77 28,952 5,891,687
2015-10-29 2015-10-27 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 117,382 4,868,930 2.47 4.19 492,218 20,416,884
2015-10-29 2015-10-27 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 14,575 1,230,168 1.20 4.19 61,117 5,158,463
2015-10-28 2015-10-28 4 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		P - Purchase 8,849,389 10,117,671 697.75 0.88 7,756,489 8,868,139
2015-10-28 2015-10-28 4 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		S - Sale -4,338,000 0 -100.00 0.88 -3,802,257
2015-10-28 2015-10-28 4 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		S - Sale -4,511,389 0 -100.00 0.88 -3,954,232
2015-10-21 2015-10-21 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 68,000 1,215,593 5.93 4.70 319,600 5,713,287
2015-10-21 2015-10-19 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 35,000 1,147,593 3.15 4.97 173,789 5,698,258
2015-10-15 2015-10-15 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 97,200 1,112,593 9.57 5.11 496,449 5,682,569
2015-10-15 2015-10-13 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 17,300 1,015,393 1.73 5.10 88,169 5,174,950
2015-10-13 2015-09-18 4/A EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 54,354 911,991 6.34 5.35 290,712 4,877,784
2015-10-13 2015-09-18 4/A EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 164,074 1,643,849 11.09 5.35 877,550 8,792,126
2015-10-13 2015-09-18 4/A EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 411,572 4,081,666 11.21 5.35 2,201,293 21,830,791
2015-10-07 2015-10-02 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 16,400 1,002,406 1.66 4.90 80,360 4,911,789
2015-10-07 2015-10-02 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 50,500 1,919,091 2.70 4.90 247,450 9,403,546
2015-10-07 2015-10-02 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 132,100 4,784,209 2.84 4.90 647,290 23,442,624
2015-10-01 2015-10-01 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 20,700 986,006 2.14 4.85 100,434 4,784,003
2015-10-01 2015-10-01 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 63,800 1,868,591 3.54 4.85 309,551 9,066,217
2015-10-01 2015-10-01 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 167,100 4,652,109 3.73 4.85 810,752 22,571,568
2015-10-01 2015-09-30 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 31,229 965,306 3.34 5.18 161,766 5,000,285
2015-10-01 2015-09-30 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 94,190 1,804,791 5.51 5.18 487,904 9,348,817
2015-10-01 2015-09-30 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 236,081 4,485,009 5.56 5.18 1,222,900 23,232,347
2015-09-28 2015-09-25 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 6,000 934,077 0.65 5.33 31,978 4,978,257
2015-09-28 2015-09-25 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 18,300 1,710,601 1.08 5.33 97,532 9,116,819
2015-09-28 2015-09-25 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 45,700 4,248,928 1.09 5.33 243,563 22,645,087
2015-09-25 2015-09-24 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 2,073 928,077 0.22 5.21 10,803 4,836,580
2015-09-25 2015-09-24 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 6,266 1,692,301 0.37 5.21 32,655 8,819,257
2015-09-25 2015-09-24 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 15,761 4,203,228 0.38 5.21 82,137 21,904,702
2015-09-25 2015-09-23 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 7,120 926,004 0.77 5.23 37,223 4,841,149
2015-09-25 2015-09-23 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 21,360 1,686,035 1.28 5.23 111,670 8,814,591
2015-09-25 2015-09-23 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 53,520 4,187,467 1.29 5.23 279,803 21,892,077
2015-09-23 2015-09-21 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 2,580 918,884 0.28 5.49 14,155 5,041,549
2015-09-23 2015-09-21 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 7,800 1,664,675 0.47 5.49 42,795 9,133,406
2015-09-23 2015-09-21 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 19,620 4,133,947 0.48 5.49 107,647 22,681,314
2015-09-22 2015-09-18 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 58,667 916,304 6.84 5.35 313,780 4,900,852
2015-09-22 2015-09-18 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 177,100 1,656,875 11.97 5.35 947,219 8,861,796
2015-09-22 2015-09-18 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 444,233 4,114,327 12.10 5.35 2,375,980 22,005,478
2015-09-21 2015-09-17 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 6,039 857,637 0.71 5.25 31,708 4,503,109
2015-09-21 2015-09-17 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 18,238 1,479,775 1.25 5.25 95,760 7,769,707
2015-09-21 2015-09-17 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 45,723 3,670,094 1.26 5.25 240,073 19,270,196
2015-09-18 2015-09-16 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 3,019 851,598 0.36 5.25 15,852 4,471,571
2015-09-18 2015-09-16 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 9,120 1,461,537 0.63 5.25 47,887 7,674,238
2015-09-18 2015-09-16 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 22,861 3,624,371 0.63 5.25 120,039 19,030,847
2015-09-17 2015-09-15 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 12,900 848,579 1.54 4.96 63,984 4,208,952
2015-09-17 2015-09-15 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 39,100 1,452,417 2.77 4.96 193,936 7,203,988
2015-09-17 2015-09-15 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 98,000 3,601,510 2.80 4.96 486,080 17,863,490
2015-09-16 2015-09-14 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 19,900 835,679 2.44 4.98 99,052 4,159,592
2015-09-16 2015-09-14 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 59,900 1,413,317 4.43 4.98 298,152 7,034,785
2015-09-16 2015-09-14 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 150,200 3,503,510 4.48 4.98 747,620 17,438,721
2015-09-15 2015-09-11 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 8,600 815,779 1.07 5.00 42,984 4,077,345
2015-09-15 2015-09-11 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 26,100 1,353,417 1.97 5.00 130,450 6,764,514
2015-09-15 2015-09-11 4 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		P - Purchase 65,300 3,353,310 1.99 5.00 326,376 16,760,179
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		7,835,200
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		9,916,863
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		7,956,170
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		7,436,032
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		7,835,200
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		9,916,863
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		7,956,170
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		7,436,032
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		7,835,200
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		9,916,863
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		7,956,170
2015-09-14 3 EVRI Everi Holdings Inc.
Common Stock, $0.001 par value per share 		7,436,032
2015-08-18 2015-08-14 4 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		P - Purchase 401,365 1,268,282 46.30 1.00 401,365 1,268,282
2015-08-18 2015-08-14 4 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		P - Purchase 1,351,329 4,338,000 45.25 1.00 1,351,329 4,338,000
2015-08-18 2015-08-14 4 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		P - Purchase 3,411,849 10,951,109 45.25 1.00 3,411,849 10,951,109
2015-08-18 2015-08-14 4 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		P - Purchase 1,404,237 4,511,389 45.19 1.00 1,404,237 4,511,389
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		17,607,152
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		22,039,260
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		17,486,671
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		15,366,917
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		17,607,152
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		22,039,260
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		17,486,671
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		15,366,917
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		17,607,152
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		22,039,260
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		17,486,671
2015-08-11 3 UPIP UNWIRED PLANET, INC.
Common Stock, $0.001 Par Value 		15,366,917
2015-01-15 2015-01-13 4 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		S - Sale -259,353 734,312 -26.10 14.75 -3,825,457 10,831,102
2015-01-15 2015-01-13 4 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		S - Sale -435,750 1,233,753 -26.10 14.75 -6,427,312 18,197,857
2015-01-15 2015-01-13 4 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		S - Sale -255,512 723,439 -26.10 14.75 -3,768,802 10,670,725
2015-01-15 2015-01-13 4 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		S - Sale -107,793 305,196 -26.10 14.75 -1,589,947 4,501,641
2015-01-14 2015-01-13 4 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		S - Sale -809 993,665 -0.08 14.65 -11,850 14,555,205
2015-01-14 2015-01-13 4 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		S - Sale -1,358 1,669,503 -0.08 14.65 -19,892 24,454,880
2015-01-14 2015-01-13 4 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		S - Sale -797 978,951 -0.08 14.65 -11,674 14,339,674
2015-01-14 2015-01-13 4 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		S - Sale -336 412,989 -0.08 14.65 -4,922 6,049,463
2014-10-01 2014-09-29 4 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		S - Sale -15,000 413,325 -3.50 10.98 -164,626 4,536,283
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		5,053,156
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		5,744,269
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		5,067,882
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		4,501,733
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		5,053,156
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		5,744,269
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		5,067,882
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		4,501,733
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		5,053,156
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		5,744,269
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		5,067,882
2014-10-01 3 GNCMA GENERAL COMMUNICATION INC
Class A common stock 		4,501,733
P
非衍生或衍生证券的公开市场或私下买入
S
非衍生或衍生证券的公开市场或私下卖出
A
公司向内部人员授予、奖励或以其他方式获取证券（例如股票期权）
C
衍生工具转换
D
将证券卖出或转让回公司
F
使用从公司收到的证券的一部分来支付行使价或税务负担。
G
内部人士赠送或接收他人赠送公司股票
K
股权掉期和类似的避险交易
M
行使或转换从公司获得的衍生证券（例如期权）
V
内部人士通过Form 4自愿报告的一笔交易
J
其他（附有交易描述的脚注）