Neostellar Capital (NSLR) CEO Mark Klein buys 26,040 shares in open market

Rhea-AI Filing Summary

Neostellar Capital Corp. director and Chairman, CEO and President Mark D. Klein reported an open-market purchase of 26,040 shares of common stock on August 10, 2026 at a weighted-average price of $9.60 per share. After this transaction, he beneficially owns 1,758,796 shares, including shares held by his spouse and multiple grants of restricted shares that have fully vested but remain subject to transfer restrictions under prior equity incentive plans and a lock-up agreement.

Insider Trade Summary

Net Buyer: 26,040 shares

Net Buy 1 txn

Insider Klein Mark D

Role Chairman, CEO and President

Bought 26,040 shs ($250K)

Type	Security	Shares	Price	Value
Purchase	Common Stock F1, F2	26,040	$9.60	$250K

Holdings After Transaction: Common Stock — 1,758,796 shares (Direct)

Footnotes (2)

1. F1. The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Neostellar Capital Corp. (the "Company"), or a security holder of the Company, full information regarding the number of shares purchased at each separate price.
2. F2. This total includes (i) 811,646 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein; (ii) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026. On June 15, 2026, in connection with the approval of the Company's externalization by its stockholders and the approval by the Company's Board of Directors of the acceleration of the vesting of all unvested restricted shares, the Reporting Person entered into a lock-up agreement and, accordingly, such shares are fully vested but remain subject to transfer restrictions that expire on the dates on which such shares otherwise would have vested.

Key Figures

Shares purchased: 26,040 shares Purchase price: $9.60 per share Shares owned after transaction: 1,758,796 shares +2 more

5 metrics

Shares purchased 26,040 shares Common stock purchased on August 10, 2026 in open-market transaction

Purchase price $9.60 per share Weighted-average price, rounded to nearest hundredth

Shares owned after transaction 1,758,796 shares Total beneficial ownership following the reported purchase

Spouse-held shares 811,646 shares Common stock owned by Mr. Klein's spouse, deemed beneficially owned by him

Buy transactions in filing 1 transaction Single reported open-market purchase of common stock

Key Terms

weighted-average price, beneficially owned, restricted shares, Equity Incentive Plan, +2 more

6 terms

weighted-average price financial

"The price reported in Column 4 is a weighted-average price, rounded"

Weighted-average price is the average of multiple prices where each price is counted according to its size or importance—larger trades carry more weight than smaller ones, like averaging course grades by credit hours. It matters to investors because it gives a more realistic picture of the true price paid or received, helping assess trade execution, compare performance, calculate cost basis, and value positions more accurately than a simple average.

beneficially owned financial

"which may be deemed to be beneficially owned by Mr. Klein"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

restricted shares financial

"restricted shares granted under the SuRo Capital Corp. Amended"

Restricted shares are company stock that cannot be sold or transferred immediately because they are subject to legal or contractual limits, such as a required holding period or performance conditions. They matter to investors because these locked-up shares can affect a company’s available stock for trading, future dilution, and insider incentives—imagine a gift that can’t be cashed until certain conditions are met, which changes when and how much supply can suddenly enter the market.

Equity Incentive Plan financial

"granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan"

An equity incentive plan is a program that gives employees, executives or directors the right to receive company stock or options to buy stock as part of their pay. Think of it as offering slices of future company profit to motivate people to boost long‑term performance; for investors it matters because it can align employee goals with shareholder value but also increases the number of shares outstanding, which can dilute existing ownership.

lock-up agreement financial

"the Reporting Person entered into a lock-up agreement and, accordingly"

A lock-up agreement is a contract that prevents company insiders and early investors from selling their shares for a fixed period after a stock sale, often after an initial public offering. It matters to investors because it temporarily limits the number of shares that can hit the market, which can keep the share price steadier; when the lock-up ends, a sudden increase in available shares can create extra volatility, revealing insiders’ confidence or lack thereof.

transfer restrictions financial

"such shares are fully vested but remain subject to transfer restrictions"

Transfer restrictions are legal or contractual limits that prevent or delay selling, gifting, or otherwise moving ownership of a security. Think of them like a temporary lock on a share that can be imposed by law, a contract, or a registrar: they matter to investors because they reduce liquidity, can delay when holders can realize cash, and often affect a security’s market value and attractiveness to buyers.

FAQ

What insider transaction did Neostellar Capital Corp. (NSLR) report?

Neostellar Capital Corp. reported that Mark D. Klein, its Chairman, CEO and President, purchased 26,040 shares of common stock in an open-market transaction on August 10, 2026 at a weighted-average price of $9.60 per share.

How many Neostellar Capital Corp. (NSLR) shares does Mark D. Klein now beneficially own?

Following the reported purchase, Mark D. Klein beneficially owns 1,758,796 shares of Neostellar Capital Corp. common stock, including 811,646 shares held by his spouse and multiple fully vested but transfer-restricted restricted share grants.

Was the NSLR insider purchase by Mark D. Klein made under a Rule 10b5-1 trading plan?

The filing indicates the Rule 10b5-1 checkbox is not affirmatively marked, and the footnotes describe pricing details and ownership composition but do not state that this purchase was executed under a Rule 10b5-1 trading plan.

What is the reported price for Mark D. Klein’s NSLR share purchase?

The transaction reports a weighted-average price of $9.60 per share, rounded to the nearest hundredth. The insider notes he can provide details on the number of shares purchased at each separate price upon request.

What types of shares are included in Mark D. Klein’s total NSLR holdings?

Klein’s 1,758,796-share total includes 811,646 shares held by his spouse, along with restricted shares granted under equity incentive plans. These restricted shares are fully vested but remain subject to transfer restrictions under a lock-up agreement.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/10/2026 - 05:27 PM Accepted by SEC EDGAR 08/10/2026 - 05:27 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Klein Mark D

(Last) (First) (Middle)

C/O NEOSTELLAR CAPITAL CORP.

640 FIFTH AVENUE, 12TH FLOOR

(Street)

NEW YORK NEW YORK 10019

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Neostellar Capital Corp. [ NSLR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chairman, CEO and President

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/10/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/10/2026		P		26,040	A	$9.6(1)	1,758,796(2)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Neostellar Capital Corp. (the "Company"), or a security holder of the Company, full information regarding the number of shares purchased at each separate price.

2. This total includes (i) 811,646 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein; (ii) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026. On June 15, 2026, in connection with the approval of the Company's externalization by its stockholders and the approval by the Company's Board of Directors of the acceleration of the vesting of all unvested restricted shares, the Reporting Person entered into a lock-up agreement and, accordingly, such shares are fully vested but remain subject to transfer restrictions that expire on the dates on which such shares otherwise would have vested.

	/s/ Mark D. Klein	08/10/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)