0001104659-24-124149.txt : 20241129 0001104659-24-124149.hdr.sgml : 20241129 20241129171048 ACCESSION NUMBER: 0001104659-24-124149 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20241126 FILED AS OF DATE: 20241129 DATE AS OF CHANGE: 20241129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Klein Mark D CENTRAL INDEX KEY: 0001322402 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00852 FILM NUMBER: 241516909 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 ORGANIZATION NAME: 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 tm2429769-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-11-26 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 2024-11-26 4 P 0 10000 5.03 A 1098666 D Common Stock 2024-11-27 4 P 0 32257 5.1 A 1130923 D Common Stock 2024-11-29 4 P 0 39000 5.2 A 1169923 D The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $5.00 to $5.07 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Company"), or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. This total includes (i) 14,659 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 December 10, 2021, February 9, 2022, and December 15, 2023, 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. The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $5.00 to $5.15 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Company, or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $5.13 to $5.25 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Company, or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. /s/ Mark D. Klein 2024-11-29