Welcome to our dedicated page for Suro Capital SEC filings (Ticker: SSSS), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The SuRo Capital Corp. (Nasdaq: SSSS) SEC filings page provides access to the company’s official regulatory documents as filed with the U.S. Securities and Exchange Commission. SuRo Capital operates as a non-diversified closed-end management investment company and a publicly traded investment fund focused on high-growth, venture-backed private companies. Its filings offer detailed insight into the fund’s portfolio composition, net asset value (NAV), capital structure, and material events.
Investors researching SSSS can use this page to review periodic reports such as annual reports on Form 10-K and quarterly reports on Form 10-Q, which describe SuRo Capital’s investment objective of seeking to maximize total return primarily through capital gains on equity and equity-related investments. These reports typically include discussions of holdings in sectors like AI infrastructure, fintech, emerging consumer brands, and software solutions, as well as information on special purpose vehicles and investment funds such as CW Opportunity 2 LP and ARK Type One Deep Ventures Fund LLC.
Current reports on Form 8-K, several of which are referenced in the input data, disclose material events including preliminary and final financial results, portfolio updates, dividend declarations, at-the-market offerings, and changes in the Board of Directors. They may also furnish press releases that summarize SuRo Capital’s investment activity, realized gains, and capital allocation decisions, including share repurchase and note repurchase programs and the issuance of 6.50% Convertible Notes due 2029.
On Stock Titan, SuRo Capital’s SEC filings are paired with AI-powered tools that summarize lengthy documents and highlight key points, such as changes in NAV, shifts in portfolio concentration, or updates related to AI and AI infrastructure investments. Users can quickly scan new 10-Q and 10-K filings, review 8-Ks tied to portfolio developments or dividends, and access information about listed securities like the 6.00% Notes due 2026 (SSSSL). This makes it easier to interpret SuRo Capital’s regulatory disclosures and understand how its venture-focused portfolio and capital structure evolve over time.
SuRo Capital Corp. filed an 8-K sharing a portfolio update, recent dividends, and timing for full results. As of December 31, 2025, it held positions in 35 portfolio companies, mostly privately held. In Q4 2025 it realized net proceeds of $9.0 million and a $6.7 million gain from CW Opportunity 2 LP and fully exited Forge Global, Inc. common shares for $3.1 million in proceeds and a $1.1 million gain. Other activity included a $1.0 million realized loss on Rebric, Inc. and $0.1 million of proceeds from True Global Ventures 4 Plus Pte Ltd.
After year-end, SuRo Capital funded $5.0 million into Magnetar Opportunity 2025-4 LP, part of an up to $20.0 million commitment tied to TensorWave, Inc., with up to $15.0 million remaining subject to conditions. The board previously declared two cash dividends of $0.25 per share, paid in July and December 2025. Management provided unaudited preliminary estimates and expects to announce full fourth-quarter and 2025 results during the week of March 9th.
SuRo Capital Corp. chairman, CEO and president Mark D. Klein reported two share-withholding transactions related to vesting of restricted stock. On December 10, 2025 and December 15, 2025, a total of 17,017 shares on each date were withheld at prices of $9.59 and $9.24 per share to satisfy his tax obligations, and these transactions are noted as exempt from Section 16(b) under Rule 16b-3.
After these transactions, Klein beneficially owns 1,671,021 shares of SuRo Capital common stock. This figure includes 779,014 shares held by his spouse, which may be deemed beneficially owned by him, as well as restricted shares granted under SuRo Capital’s Amended and Restated 2019 Equity Incentive Plan and Second Amended and Restated 2019 Equity Incentive Plan, which remain subject to vesting schedules.
SuRo Capital Corp. reported insider tax-withholding stock transactions by a senior executive. Chief Financial Officer, Chief Compliance Officer, Treasurer and Corporate Secretary Allison Green had company common shares withheld to cover taxes when restricted stock vested.
On December 10, 2025, 4,232 shares of common stock were disposed of at $9.59 per share in a transaction coded as tax withholding and identified as a delinquent transaction. On December 15, 2025, another 4,232 shares were disposed of at $9.24 per share for the same tax-withholding purpose. Both were reported as exempt from Section 16(b) under Rule 16b-3. After these events, Green directly beneficially owned 189,805 shares, including restricted shares granted under SuRo Capital’s equity incentive plans that remain subject to vesting schedules.
SuRo Capital Corp. reported an insider equity grant to its Chairman, CEO and President, Mark D. Klein. On 11/21/2025, he acquired 174,465 shares of SuRo Capital common stock as a restricted stock award at a stated price of $0, reflecting a compensatory grant rather than an open‑market purchase.
After this award, he beneficially owned a total of 1,705,055 shares directly and indirectly. The new restricted shares were granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan and vest in three equal installments on December 1 of 2026, 2027, and 2028. The total beneficial ownership figure includes 779,014 shares held by his spouse and earlier restricted stock grants that are subject to their own vesting schedules.
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.
SuRo Capital Corp. furnished preliminary third-quarter 2025 results, including an estimated net asset value between $9.00 and $9.50 per share as of September 30, 2025, compared with $9.18 per share at June 30, 2025 and $6.73 per share at September 30, 2024.
As of September 30, 2025, the company had 25,119,091 common shares outstanding and held positions in 37 portfolio companies. During the quarter, it invested $0.3 million in a Liquid Death convertible note and $5.0 million in HL Digital Assets preferred shares, while realizing net proceeds of $7.2 million and a $3.7 million gain from CW Opportunity 2 LP and $0.7 million in proceeds with a $0.5 million gain from GrabAGun Digital Holdings public warrants.
The company sold 1,230,984 shares via its at-the-market equity program for gross proceeds of about $10.8 million, with roughly $88.0 million of capacity remaining, and paid a $0.25 per share cash dividend on July 31, 2025.
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.
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