0001104659-21-088306.txt : 20210701
0001104659-21-088306.hdr.sgml : 20210701
20210701170248
ACCESSION NUMBER: 0001104659-21-088306
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210630
FILED AS OF DATE: 20210701
DATE AS OF CHANGE: 20210701
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Klein Mark D
CENTRAL INDEX KEY: 0001322402
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00852
FILM NUMBER: 211066784
MAIL ADDRESS:
STREET 1: 21255 BURBANK BOULEVARD
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SURO CAPITAL CORP.
CENTRAL INDEX KEY: 0001509470
IRS NUMBER: 274443543
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: ONE SANSOME STREET
STREET 2: SUITE 730
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: (650) 235-4769
MAIL ADDRESS:
STREET 1: ONE SANSOME STREET
STREET 2: SUITE 730
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
FORMER COMPANY:
FORMER CONFORMED NAME: SUTTER ROCK CAPITAL CORP.
DATE OF NAME CHANGE: 20190731
FORMER COMPANY:
FORMER CONFORMED NAME: GSV Capital Corp.
DATE OF NAME CHANGE: 20110531
FORMER COMPANY:
FORMER CONFORMED NAME: NeXt Innovation Corp.
DATE OF NAME CHANGE: 20110331
4
1
tm2121294d2_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-06-30
0
0001509470
SURO CAPITAL CORP.
SSSS
0001322402
Klein Mark D
C/O SURO CAPITAL CORP.
ONE SANSOME STREET, SUITE 730
SAN FRANCISCO
CA
94104
1
1
0
0
Chairman, CEO and President
Common Stock
2021-06-30
4
J
0
49907
0
A
500257
D
Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.50 per share dividend declared by the Board of Directors of the Company on May 4, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.
This total includes (i) 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, and (ii) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023, and 1/3 vests on February 10, 2024. Such restricted shares have dividend rights, with the cash or stock dividends paid or distributed with respect thereto being fully vested and nonforfeitable upon receipt.
/s/ Mark D. Klein
2021-07-01