0001104659-20-054596.txt : 20200430 0001104659-20-054596.hdr.sgml : 20200430 20200430172459 ACCESSION NUMBER: 0001104659-20-054596 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200428 FILED AS OF DATE: 20200430 DATE AS OF CHANGE: 20200430 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Green Allison CENTRAL INDEX KEY: 0001742297 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00852 FILM NUMBER: 20836924 MAIL ADDRESS: STREET 1: C/O GSV CAPITAL CORP. STREET 2: 2925 WOODSIDE ROAD CITY: WOODSIDE STATE: CA ZIP: 94062 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SUTTER ROCK CAPITAL CORP. CENTRAL INDEX KEY: 0001509470 IRS NUMBER: 274443543 STATE OF INCORPORATION: NY 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) 235-4777 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 730 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 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 FORMER COMPANY: FORMER CONFORMED NAME: NeXt BDC Capital Corp. DATE OF NAME CHANGE: 20110105 4 1 tm2018266d2_4.xml OWNERSHIP DOCUMENT X0306 4 2020-04-28 0 0001509470 SUTTER ROCK CAPITAL CORP. SSSS 0001742297 Green Allison C/O SUTTER ROCK CAPITAL CORP. ONE SANSOME STREET, SUITE 730 SAN FRANCISCO CA 94104 0 1 0 0 See Remarks Employee Stock Option (right to buy) 6.57 2020-04-28 4 J 0 175000 0 D 2029-07-17 Common Stock 175000 0 D The reporting person and the Company agreed to the cancellation of all of the stock options (vested and unvested) for no value or payment and the Board of Directors of the Company approved such cancellation on April 28, 2020. The reporting person is voluntarily reporting this transaction despite being exempt from reporting this transaction under Section 16 of the Securities Exchange Act of 1934, as amended. The stock options granted vest as follows: 1/3 vested on July 17, 2019, 1/3 would have vested on July 17, 2020, and 1/3 would have vested on July 17, 2021. Chief Financial Officer, Chief Compliance Officer, Treasurer and Secretary /s/ Allison Green 2020-04-30