Common Contracts

Up to [•] Shares of Common Stock Issuable Upon the Exercise of Non-Transferable Rights DEALER MANAGER AGREEMENT

Dealer Manager Agreement • April 19th, 2022 • Great Elm Capital Corp. • New York

• Contract Type
  Dealer Manager Agreement
• Filed
  April 19th, 2022
• Company
  Great Elm Capital Corp.
• Jurisdiction
  New York

Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, Inc., a Delaware corporation (the “Adviser”), each confirms their respective agreements with and the appointment by the Company of Oppenheimer & Co. Inc. and Imperial Capital, LLC to act as dealer managers (each, a “Dealer Manager” and together, the “Dealer Managers”) in connection with the issuance by the Company to the holders of record (the “Holders”) at 5:00 p.m. (New York City time) on [•], 2022 (the “Record Date”) of shares of common stock, par value $0.01 per share (the “Common Stock”), of the Company, of non-transferable rights (each, a “Right” and collectively, the “Rights”) entitling such Holders to subscribe collectively for up to an aggregate of [•] whole shares (each, a “Share” and collectively, the “Shares”) of Common Stock (the “Rights Offering”). Pursuant to the terms of the Rights Offering, the Company is issuing each Holder one Right for each share of Common Stock held b

GREAT ELM CAPITAL CORP. Up to 10,761,950 Shares of Common Stock Issuable Upon the Exercise of Non-Transferable Rights DEALER MANAGER AGREEMENT

Dealer Manager Agreement • August 27th, 2020 • Great Elm Capital Corp. • New York

• Contract Type
  Dealer Manager Agreement
• Filed
  August 27th, 2020
• Company
  Great Elm Capital Corp.
• Jurisdiction
  New York

Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, Inc., a Delaware corporation (the “Adviser”), each confirms their respective agreements with and the appointment by the Company of Imperial Capital, LLC and Piper Sandler & Co. to act as dealer managers (each, a “Dealer Manager” and together, the “Dealer Managers”) in connection with the issuance by the Company to the holders of record (the “Holders”) at 5:00 p.m. (New York City time) on September 4, 2020 (the “Record Date”) of shares of common stock, par value $0.01 per share (the “Common Stock”), of the Company, of non-transferable rights (each, a “Right” and collectively, the “Rights”) entitling such Holders to subscribe collectively for up to an aggregate of 10,761,950 whole shares (each, a “Share” and collectively, the “Shares”) of Common Stock (the “Rights Offering”). Pursuant to the terms of the Rights Offering, the Company is issuing each Holder one Right for each share of Common