0001104659-23-123661.txt : 20231205
0001104659-23-123661.hdr.sgml : 20231205
20231205171808
ACCESSION NUMBER: 0001104659-23-123661
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231201
FILED AS OF DATE: 20231205
DATE AS OF CHANGE: 20231205
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: 231467605
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
tm2332244-1_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-12-01
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
0
Common Stock
2023-12-01
4
P
0
11885
4
A
1018681
D
Common Stock
2023-12-04
4
P
0
19000
4.03
A
1037681
D
Common Stock
2023-12-05
4
P
0
19000
4.02
A
1056681
D
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.
/s/ Mark D. Klein
2023-12-05