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