0001104659-21-122688.txt : 20211004 0001104659-21-122688.hdr.sgml : 20211004 20211004211751 ACCESSION NUMBER: 0001104659-21-122688 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211004 DATE AS OF CHANGE: 20211004 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: 211304963 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: SURO CAPITAL CORP. CENTRAL INDEX KEY: 0001509470 IRS NUMBER: 274443543 STATE OF INCORPORATION: MD 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) 235-4769 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 730 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 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 tm2129265d2_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-09-30 0 0001509470 SURO CAPITAL CORP. SSSS 0001742297 Green Allison C/O SURO CAPITAL CORP. ONE SANSOME STREET, SUITE 730 SAN FRANCISCO CA 94104 0 1 0 0 See Remarks Common Stock 2021-09-30 4 J 0 8458 0 A 59397 D Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash. This total includes (i) 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which have dividend rights and vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (ii) 11,097 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 schedule as such restricted shares. Chief Financial Officer, Chief Compliance Officer, Treasurer and Secretary /s/ Allison Green 2021-10-04