0001104659-22-125948.txt : 20221209
0001104659-22-125948.hdr.sgml : 20221209
20221209171813
ACCESSION NUMBER: 0001104659-22-125948
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221208
FILED AS OF DATE: 20221209
DATE AS OF CHANGE: 20221209
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: 221455650
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: 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
4
1
tm2232400-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-12-08
0
0001509470
SURO CAPITAL CORP.
SSSS
0001742297
Green Allison
C/O SURO CAPITAL CORP.
640 FIFTH AVENUE, 12TH FLOOR
NEW YORK
NY
10019
0
1
0
0
See Remarks
Common Stock
2022-12-08
4
P
0
5058
3.73
A
119935
D
Common Stock
2022-12-09
4
P
0
7850
3.80
A
127785
D
The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $3.72 to $3.73 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Company"), or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.
The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $3.78 to $3.83 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Company, or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Chief Financial Officer, Chief Compliance Officer, Treasurer and Corporate Secretary
/s/ Allison Green
2022-12-09