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