Form 144: RSUs listed for sale via Goldman Sachs

Goldman Sachs & Co. LLC submitted a Form 144 notice reporting proposed sales of restricted stock units acquired as compensation.

Rhea-AI Filing Summary

Goldman Sachs & Co. LLC submitted a Form 144 notice reporting proposed sales of restricted stock units acquired as compensation. The filing lists specific grant dates and amounts, including 6,082 units (acquired 05/31/2024) and 4,548 units (acquired 06/05/2025), plus smaller grant line items dated 09/30/2021, 12/30/2021, and 12/20/2018.

The form records the broker as Goldman Sachs & Co. LLC and contains administrative sale-transaction fields; the filing does not state aggregate proceeds, offering mechanics, or timing for completed sales.

Key Figures

Broker reported: Goldman Sachs & Co. LLC RSUs (05/31/2024): 6,082 shares RSUs (06/05/2025): 4,548 shares +4 more

7 metrics

Broker reported Goldman Sachs & Co. LLC listed as the broker/dealer in the filing

RSUs (05/31/2024) 6,082 shares Acquired as compensation on 05/31/2024

RSUs (06/05/2025) 4,548 shares Acquired as compensation on 06/05/2025

RSUs (09/30/2021) 9 shares Acquired as compensation on 09/30/2021

RSUs (12/30/2021) 10 shares Acquired as compensation on 12/30/2021

RSUs (12/20/2018) 11 shares Acquired as compensation on 12/20/2018

Filing reference number 10669 administrative field from the excerpt

Key Terms

Restricted Stock Units, Form 144, Broker/Dealer

3 terms

Restricted Stock Units financial

"Acquired as compensation -- Restricted Stock Units"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Form 144 regulatory

"144: Securities To Be Sold"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Broker/Dealer financial

"Goldman Sachs & Co. LLC 200 West Street New York NY 10282"

A broker/dealer is a firm or person that both carries out trades for clients (broker) and buys or sells securities from its own inventory (dealer). Think of it as a shop that can take customer orders and also sell items off its own shelves. Investors care because broker/dealers connect buyers and sellers, influence the price and speed of trades, hold securities or cash for short periods, and can create conflicts of interest that affect trade cost and reliability.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 filed under SSSS report?

It reports proposed sales of restricted stock units acquired as compensation. The filing lists grant dates and unit counts, a broker (Goldman Sachs & Co. LLC), and identifies securities intended for sale under Rule 144 procedures.

How many RSUs are listed for the 05/31/2024 grant in the SSSS Form 144?

The filing shows 6,082 restricted stock units for the 05/31/2024 grant. This line item is labeled as acquired as compensation and intended to be sold under Rule 144 notice procedures.

Does the Form 144 disclose sales proceeds or timing for the proposed transactions?

No. The notice lists securities, grant dates, and a broker but does not disclose aggregate proceeds, sale prices, or specific execution dates for the proposed sales in the provided excerpt.

Who is the broker or dealer listed on this Form 144 filing?

The filing lists Goldman Sachs & Co. LLC as the broker/dealer. That name appears alongside the securities lines and broker-related fields in the excerpted content.

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

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Accepted by SEC EDGAR 04/28/2026 - 04:59 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001055003
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	SuRo Capital Corp.
SEC File Number	814-00852
Address of Issuer	640 Fifth Avenue 12th Floor New York NEW YORK 10019
Phone	1-212-931-6331
Name of Person for Whose Account the Securities are To Be Sold	Ronald Lott
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Goldman Sachs & Co. LLC 200 West Street New York NY 10282	10669	141577.63	25401049	04/28/2026	NASD

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	05/31/2024	Acquired as compensation -- Restricted Stock Units	Issuer			6082	05/31/2024	Compensation
Common	09/30/2021	Acquired as compensation -- Restricted Stock Units	Issuer			9	09/30/2021	Compensation
Common	12/30/2021	Acquired as compensation -- Restricted Stock Units	Issuer			10	12/30/2021	Compensation
Common	06/30/2021	Acquired as compensation -- Restricted Stock Units	Issuer			9	06/30/2021	Compensation
Common	06/05/2025	Acquired as compensation -- Restricted Stock Units	Issuer			4548	06/05/2025	Compensation
Common	12/20/2018	Acquired as compensation -- Restricted Stock Units	Issuer			11	12/20/2018	Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks	All shares to be sold by Ronald M. Lott Family Trust dtd 3/9/1992.
Date of Notice	04/28/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	Goldman Sachs & Co. LLC on behalf of Ronald Lott
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)