Form 8-K
8-K — Great Elm Capital Corp.
Accession: 0000950103-26-010841
Filed: 2026-07-20
Period: 2026-07-20
CIK: 0001675033
Item: Other Events
Item: Financial Statements and Exhibits
Documents
8-K — dp250280_8k.htm (Primary)
EX-99.1 — EXHIBIT 99.1 (dp250280_ex9901.htm)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities
Exchange Act of 1934
Date of Report (Date of earliest event reported):
July 20, 2026
Great Elm Capital
Corp.
(Exact name of Registrant as Specified in Its
Charter)
Maryland
814-01211
81-2621577
(State or
Other Jurisdiction
of Incorporation)
(Commission File Number)
(IRS Employer
Identification No.)
3801 PGA Boulevard, Suite 603,
Palm Beach Gardens, FL
33410
(Address of Principal Executive Offices)
(Zip Code)
Registrant’s Telephone Number, Including
Area Code: (617) 375-3006
Check the appropriate box below if
the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange
Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under
the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under
the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common stock, $0.01 par value
GECC
Nasdaq Global Market
8.50% Notes due 2029
GECCI
Nasdaq Global Market
8.125% Notes due 2029
GECCH
Nasdaq Global Market
7.75% Notes due 2030
GECCG
Nasdaq Global Market
Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange
Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant
to Section 13(a) of the Exchange Act. ☐
Item 8.01 Other Events.
On July 20, 2026, Great Elm Capital Corp. (the “Company”)
caused a notice (the “Notice”) to be issued to the holders of its 8.50% Notes due 2029 (CUSIP No. 390320 885; NASDAQ: GECCI)
(the “Notes”) regarding the Company’s exercise of its option to redeem $6,500,000 aggregate principal amount of the
issued and outstanding Notes on August 19, 2026 (the “Redemption Date”), pursuant to Section 1104 of the Indenture, dated
as of September 18, 2017, by and between the Company and Equiniti Trust Company, LLC (f/k/a American Stock Transfer & Trust Company,
LLC), as trustee (the “Trustee”), and Section 1.01(h) of the Sixth Supplemental Indenture, dated as of April 17, 2024, by
and between the Company and the Trustee. Pursuant to the Notice, the Notes will be redeemed at 100% of their principal amount, plus accrued
and unpaid interest thereon, if any, through, but excluding, the Redemption Date.
A copy of the Notice is attached to this Current Report on Form 8-K
as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
The following exhibits are furnished with this report but shall not
be deemed filed:
Exhibit
Number
Description
99.1
Notice
of Redemption to Holders of 8.50% Notes due 2029.
104
The cover page of this Current Report on Form 8-K, formatted as inline XBRL.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934,
the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
GREAT ELM CAPITAL CORP.
Date: July 20, 2026
/s/ Keri A. Davis
By:
Keri A. Davis
Title:
Chief Financial Officer
EX-99.1 — EXHIBIT 99.1
EX-99.1
Filename: dp250280_ex9901.htm · Sequence: 2
Exhibit 99.1
NOTICE OF REDEMPTION TO THE HOLDERS OF THE
8.50% Notes due 2029
of Great Elm Capital Corp.
(CUSIP No. 390320 885)*
Redemption Date: August 19, 2026
NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture,
dated as of September 18, 2017 (the “Base Indenture”), by and between Great Elm Capital Corp., a Maryland corporation
(the “Company”), and Equiniti Trust Company, LLC (f/k/a American Stock Transfer & Trust Company, LLC) (the “Trustee”),
and Section 1.01(h) of the Sixth Supplemental Indenture, dated as of April 17, 2024 (the “Sixth Supplemental Indenture”
and, together with the Base Indenture, the “Indenture”), that the Company is electing to exercise its option to redeem,
in part, the 8.50% Notes due 2029 (the “Notes”). Capitalized terms used but not defined herein shall have the meaning
ascribed to them in the Indenture.
The Company will redeem $6,500,000 aggregate principal amount of the
issued and outstanding Notes, or 260,000 Notes, on August 19, 2026 (the “Redemption Date”). The redemption price
for the Notes equals 100% of the principal amount per Note being redeemed, or $25.00 per Note, plus the accrued and unpaid interest thereon,
if any, through, but excluding, the Redemption Date (the “Redemption Price”). The accrued interest per Note being redeemed
that is payable on the Redemption Date will be $0.28924.
On the Redemption Date, the Redemption Price will become due and payable
to the Holders of the Notes on July 21, 2026. Interest on the Notes being redeemed will cease to accrue on and after the Redemption Date.
Unless the Company defaults in paying the Redemption Price with respect to such Notes, the only remaining right of the Holders with respect
to such Notes will be to receive payment of the Redemption Price upon presentation and surrender of such Notes to the Trustee in its capacity
as Paying Agent.
Notes held in book-entry form will be redeemed and the Redemption Price
with respect to such Notes will be paid in accordance with the applicable procedures of The Depository Trust Company.
Payment of the Redemption Price to the Holders will be made upon presentation
and surrender of the Notes in the following manner:
If by Mail, Hand or Overnight Mail:
Equiniti Trust Company, LLC
1110 Centre Pointe Curve, Suite # 101, Mendota Heights, MN 55120
5Onbase – Reorganization Dept.
Questions relating to this notice of redemption should be directed
to Equiniti Trust Company, LLC via telephone at 1–800-937-5449.
No representation is made as to the correctness or accuracy of the
CUSIP numbers listed in this notice or printed on the Notes.
Under U.S. federal income tax law, the Trustee or other withholding
agent may be required to withhold twenty-four percent (24%) of any gross payment to a holder who fails to provide a taxpayer identification
number and other required certifications. To avoid backup withholding, please complete a Form W-9 or an appropriate Form W-8, as applicable,
which should be furnished in connection with the presentment and surrender of the Notes called for redemption. Any amounts withheld under
the backup withholding rules will be allowed as a refund or a credit against a holder’s U.S. federal income tax liability provided
the required information is furnished to the Internal Revenue Service. Holders should consult their tax advisors regarding the withholding
and other tax consequences of the redemption.
Date: July 20, 2026
Great Elm Capital Corp.
By: Equiniti Trust Company, LLC, as Trustee and Paying Agent
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