0001104659-21-143602.txt : 20211124 0001104659-21-143602.hdr.sgml : 20211124 20211124163107 ACCESSION NUMBER: 0001104659-21-143602 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211124 ITEM INFORMATION: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing FILED AS OF DATE: 20211124 DATE AS OF CHANGE: 20211124 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SURO CAPITAL CORP. CENTRAL INDEX KEY: 0001509470 IRS NUMBER: 274443543 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 814-00852 FILM NUMBER: 211447246 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 8-K 1 tm2133919d1_8k.htm FORM 8-K

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

Current Report Pursuant to Section 13 or 15(d) of

the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported):

November 24, 2021

 

SURO CAPITAL CORP.

(Exact name of registrant as specified in its charter)

 

Maryland 1-35156 27-4443543
(State or other jurisdiction of
incorporation)		 (Commission File Number) (I.R.S. Employer Identification No.)

 

One Sansome Street

Suite 730

San Francisco, CA 94104

(Address of principal executive offices and zip code)

 

Registrant’s telephone number, including area code: (650) 235-4769

 

Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class: Trading symbol: Name of each exchange on which
registered:
Common Stock, par value $0.01 per share SSSS Nasdaq Global Select Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

 

Emerging growth company ¨

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

 

 

 

 

 

 

Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.

 

On November 22, 2021, SuRo Capital Corp. (the “Company”) received approval from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) to transfer the listing of the Company’s common stock from the Nasdaq Capital Market to the Nasdaq Global Select Market, effective as of the open of business on November 24, 2021. The Company’s common stock will continue to trade under the symbol “SSSS”. The Nasdaq Global Select Market operates in substantially the same manner as the Nasdaq Capital Market and listed companies must meet certain financial requirements and comply with Nasdaq’s corporate governance requirements.

 

 

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: November 24, 2021 SURO CAPITAL CORP.
   
  By:  /s/ Allison Green
    Allison Green
    Chief Financial Officer, Chief Compliance Officer, Treasurer and Corporate Secretary