0001104659-23-020017.txt : 20230213
0001104659-23-020017.hdr.sgml : 20230213
20230213192437
ACCESSION NUMBER: 0001104659-23-020017
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230209
FILED AS OF DATE: 20230213
DATE AS OF CHANGE: 20230213
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: 23621052
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: 640 FIFTH AVENUE
STREET 2: 12TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: (650) 235-4769
MAIL ADDRESS:
STREET 1: 640 FIFTH AVENUE
STREET 2: 12TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
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
tm236498-2_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2023-02-09
0
0001509470
SURO CAPITAL CORP.
SSSS
0001322402
Klein Mark D
C/O SURO CAPITAL CORP.
640 FIFTH AVENUE, 12TH FLOOR
NEW YORK
NY
10019
1
1
0
0
Chairman, CEO and President
Common Stock
2023-02-09
4
F
0
31900
3.83
D
998277
D
Common Stock
2023-02-10
4
F
0
40781
3.86
D
957496
D
Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 9, 2023. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.
This total includes (i) 2,659 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)(A) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021, December 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (B) shares of the Company's common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.
Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 10, 2023. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.
/s/ Mark D. Klein
2023-02-13