Suro Capital Corp SEC Filings

SuRo Capital Corp. reported an equity grant to a senior executive. On 11/21/2025, an officer of SuRo Capital received 956 shares of restricted common stock at a price of $0 under the company’s Second Amended and Restated 2019 Equity Incentive Plan. These restricted shares vest in three equal installments, with one-third vesting on December 1, 2026, one-third on December 1, 2027, and the final third on December 1, 2028.

Following this grant, the reporting person beneficially owns 198,269 shares of SuRo Capital common stock, including other restricted shares granted on December 15, 2023, December 10, 2024, and May 16, 2025 that remain subject to vesting schedules. The reporting person serves as Chief Financial Officer, Chief Compliance Officer, Treasurer and Corporate Secretary.

SuRo Capital Corp. filed its Q3 2025 report, highlighting stronger portfolio marks and higher equity. Net assets were $231.8 million as of September 30, 2025, up from $157.6 million at year-end. Net asset value per share rose to $9.23 from $6.68.

For Q3, the net change in net assets resulting from operations was $7.4 million, driven by $5.7 million in net unrealized appreciation and $5.2 million in realized gains. Investment income was $459,269, while operating expenses were $3.9 million, resulting in a net investment loss for the quarter. Year-to-date, operations added $68.9 million to net assets.

Liquidity improved: cash was $54.5 million versus $20.0 million at December 31, 2024. The company reported 6.00% Notes due 2026 (carrying value $39.4 million) and 6.50% Convertible Notes due 2029 (carrying value $34.1 million). Capital actions included $10.6 million from a common stock offering, $5.0 million of new 2029 converts, and repurchases of $5.0 million of 2026 notes. Dividends declared totaled $6.0 million. Shares outstanding were 25,119,091 as of November 5, 2025.

SuRo Capital Corp. furnished an 8-K announcing its financial results for the fiscal quarter ended September 30, 2025. The company attached a press release as Exhibit 99.1 and incorporated it by reference into Item 2.02.

The information in Item 2.02 and Exhibit 99.1 is being furnished and not deemed filed under the Exchange Act. SuRo Capital’s securities listed include common stock (SSSS) and 6.00% notes due 2026 (SSSSL) on the Nasdaq Global Select Market.

SuRo Capital (SSSS) director reported small open‑market sales. The filing shows sales of 434 shares at $6.06 on 12/26/2024 and 39 shares at $7.42 on 06/11/2025. Following these transactions, the director beneficially owned 29,189 shares and then 29,150 shares, respectively, held directly.

The reported total includes restricted shares granted under the company’s 2019 Equity Incentive Plan, which vest in full on the earlier of the first anniversary of the award date (May 28, 2026) or the annual stockholders meeting closest to that date.

Richard C. Szuch, a director of SuRo Capital Corp. (SSSS), reported acquiring 5,767 shares of the company's common stock on 09/03/2025 at a weighted-average price of $8.66 per share. The filing states the shares were purchased using a $50,000 cash grant approved by the board on July 30, 2025, intended to align his equity holding with other independent directors who received equity grants at the Annual Shareholder Meeting. The report was signed on 09/05/2025 and indicates direct ownership of 5,767 shares following the transactions.

Ronald Lott, a director of SuRo Capital Corp. (SSSS), reported a sale of common stock on 08/19/2025. He disposed of 7,500 shares at a weighted-average price of $8.81 per share, with individual trade prices ranging from $8.80 to $8.83. After the sale, Mr. Lott beneficially owned 29,623 shares, held directly. The filing also notes that the reported total includes restricted shares granted under the companys 2019 Equity Incentive Plan that vest in full on the earlier of May 28, 2026 or the companys next annual meeting closest to that anniversary. The Form 4 is signed by Mr. Lott on 08/22/2025 and indicates the transaction was reported by one reporting person.

SuRo Capital Corp. (SSSS) filed a Form 144 disclosing a proposed sale of 7,500 common shares through Goldman Sachs & Co. LLC on 08/19/2025. The aggregate market value of the shares at filing is $63,600 and the filing lists 23,888,107 shares outstanding. The shares were acquired on 05/31/2024 as restricted stock units issued as compensation by the issuer; payment is recorded as compensation. The filer reports no securities sold in the past three months and affirms they do not possess undisclosed material adverse information about the issuer. This notice serves as the required public disclosure of a planned insider sale under Rule 144.

On 08/11/2025 and 08/12/2025, Mark D. Klein, who serves as Chairman, Chief Executive Officer, President and a director of SuRo Capital Corp. (SSSS), reported purchases of the company's common stock. He acquired 4,571 shares on 08/11/2025 at a weighted-average price of $8.69 and 10,000 shares on 08/12/2025 at a weighted-average price of $8.45, for a total of 14,571 shares purchased.

Following these reported transactions his beneficial ownership increased to 1,530,590 shares. The filing's footnotes state this total includes 14,659 shares owned by Mr. Klein's spouse and restricted shares granted under the SuRo Capital Amended and Restated 2019 Equity Incentive Plan on Dec 15, 2023, Dec 10, 2024 and May 16, 2025. The Form 4 is signed and dated 08/12/2025.