SSSS Form 4: Ronald Lott Disposes of 7,500 Shares; Holds 29,623

Rhea-AI Filing Summary

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.

Positive

• Timely disclosure of insider transaction fulfilling Section 16 reporting obligations
• Vesting clarity provided for restricted shares included in beneficial ownership totals

Negative

• Insider sale of 7,500 shares reduces directors direct holdings to 29,623 shares
• Sale price indicates disposition at market prices near $8.80-$8.83 which may be perceived negatively by some investors

Insights

Securities Analyst

TL;DR: Routine insider sale disclosed; size and timing appear non-material based on filing details alone.

The filing documents a single-date sale of 7,500 common shares by a director at a weighted-average price of $8.81, with executed prices between $8.80 and $8.83. The director retains 29,623 shares after the transaction and holds restricted shares that vest by May 28, 2026 or at the next annual meeting. There is no indication in the filing of any derivative transactions, hedging arrangements, or Rule 10b5-1 plan election. Absent broader context on total outstanding shares or recent trading patterns, this appears to be a standard disclosure of an insider disposition rather than a material corporate event.

Corporate Governance Expert

TL;DR: Disclosure meets Section 16 reporting requirements and clarifies vesting of restricted awards.

The Form 4 is properly executed and includes an explanatory footnote about the weighted-average sale price and the inclusion of restricted shares in the beneficial ownership total. The filing clarifies vesting timing for equity awards, which helps investors understand when additional shares may become freely tradable. No amendments or additional related-party transactions are indicated. From a governance perspective, the filing demonstrates compliance and transparency but does not by itself signal a governance change or material event.

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

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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^*

LOTT RONALD M.

(Last) (First) (Middle)

C/O SURO CAPITAL CORP.

640 FIFTH AVENUE, 12TH FLOOR

(Street)

NEW YORK NY 10019

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
SURO CAPITAL CORP. [ SSSS ]

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

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
08/19/2025

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

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

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

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	08/19/2025		S		7,500	D	$8.81(1)	29,623(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. These shares were purchased in multiple transactions at prices ranging from $8.80 to $8.83 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Company"), or a security holder of the Company's, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

2. This total includes restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being May 28, 2026) and (ii) the date of the Company's annual meeting of stockholders that is closest to the first anniversary of the award date.

	/s/ Ronald Lott	08/22/2025
	** 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.

FAQ

What did Ronald Lott report for SuRo Capital Corp. (SSSS)?

He reported a sale of 7,500 common shares on 08/19/2025 at a weighted-average price of $8.81 per share.

How many SuRo Capital shares does Ronald Lott own after the transaction?

The filing reports he beneficially owned 29,623 shares following the reported sale.

What price range were the shares sold at in the Form 4?

The footnote states the shares were purchased (sold) in multiple transactions at prices ranging from $8.80 to $8.83 per share.

Are any of Mr. Lotts shares restricted or subject to vesting?

Yes. The total includes restricted shares under the 2019 Equity Incentive Plan that vest in full on the earlier of May 28, 2026 or the company's next annual meeting closest to that date.

When was the Form 4 signed by the reporting person?

The Form 4 is signed by Ronald Lott on 08/22/2025.