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Filing Details

Accession Number:: 0001104659-21-149649
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-12-14 19:11:01
Reporting Period:: 2021-12-10

Accepted Time:: 2021-12-14 19:11:01
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1509470	Suro Capital Corp.	SSSS	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1322402	D Mark Klein	C/O Suro Capital Corp. One Sansome Street, Suite 730 San Francisco CA 94104	Chairman, Ceo And President	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-12-10	125,000	$0.00	689,696	No	4	A	Direct
Common Stock	Acquisiton	2021-12-13	10,000	$11.76	699,696	No	4	P	Direct
Common Stock	Acquisiton	2021-12-14	11,600	$11.37	711,296	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	P	Direct
No	4	P	Direct

Footnotes

Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 10, 2022, 1/3 vests on December 10, 2023 and 1/3 vests on December 10, 2024.
This total includes (i) 1,667 shares of the SuRo Capital Corp.'s (the "Company") common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, (ii)(A) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which 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 (B) 60,060 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, and (iii) 125,000 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 10, 2022, 1/3 vests on December 10, 2023 and 1/3 vests on December 10, 2024.
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 $11.74 to $11.78 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.
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 $11.34 to $11.38 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.