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