0001104659-22-023278.txt : 20220214 0001104659-22-023278.hdr.sgml : 20220214 20220214173538 ACCESSION NUMBER: 0001104659-22-023278 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220214 DATE AS OF CHANGE: 20220214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Potter Leonard CENTRAL INDEX KEY: 0001476217 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00852 FILM NUMBER: 22635344 MAIL ADDRESS: STREET 1: C/O SOLAR CAPITAL LLC STREET 2: 500 PARK AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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 5 1 tm226713d2_5.xml OWNERSHIP DOCUMENT X0306 5 2021-12-31 0 0 0 0001509470 SURO CAPITAL CORP. SSSS 0001476217 Potter Leonard C/O SURO CAPITAL CORP. 640 FIFTH AVENUE, 12TH FLOOR NEW YORK NY 10019 1 0 0 0 Common Stock 60720 D Total includes (1) 3,770 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of the (A) first anniversary of the award date (with such first anniversary being July 9, 2022) and (B) date of SuRo Capital Corp.'s (the "Company") annual meeting of stockholders that is closest to the first anniversary of the award date (the "Vesting Schedule), (2) 1,282 shares of the Company's common stock received in connection with dividends on such 3,770 restricted shares, which are also restricted and subject to the Vesting Schedule, and (3) unrestricted shares of the Company's common stock received in connection with dividends. /s/ Leonard Potter 2022-02-14