Mark D. Klein - 28 Nov 2023 Form 4 Insider Report for SURO CAPITAL CORP. (SSSS)

Role: Chairman, CEO and President, Director
Signature: /s/ Mark D. Klein
Issuer symbol: SSSS
Transactions as of: 28 Nov 2023
Transactions value $: $160,537
Form type: 4
Filing time: 30 Nov 2023, 17:17:13 UTC
Previous filing: 17 Nov 2023
Next filing: 05 Dec 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SSSS	Common Stock	Purchase	$9.5K	+2.4K	+0.25%	$3.96	969K	28 Nov 2023	Direct	F1
transaction	SSSS	Common Stock	Purchase	$76K	+19K	+1.96%	$4.00	988K	29 Nov 2023	Direct	F1
transaction	SSSS	Common Stock	Purchase	$75K	+18.9K	+1.91%	$3.97	1.01M	30 Nov 2023	Direct	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	This total includes (i) 2,659 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, and (ii)(A) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021, December 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (B) 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 schedules as such restricted shares.

Content

This total includes (i) 2,659 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, and (ii)(A) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021, December 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (B) 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 schedules as such restricted shares.