Mark Klein raises SuRo Capital stake to 1.53M shares after purchases

Rhea-AI Filing Summary

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.

Positive

• Insider purchases disclosed: CEO Mark D. Klein purchased a total of 14,571 shares over two days.
• Transparent pricing disclosure: Filing provides weighted-average price ranges and offers to provide per-transaction details on request.
• Beneficial ownership updated: Reported holdings rose to 1,530,590 shares and footnotes explain inclusion of spouse and restricted shares.

Negative

• None.

Insights

Financial Analyst

TL;DR: CEO Mark Klein purchased 14,571 shares across two days, increasing reported beneficial ownership to 1,530,590 shares.

The filing documents two open-market purchases by the company’s Chairman and CEO: 4,571 shares on 08/11/2025 at a weighted-average price of $8.69 and 10,000 shares on 08/12/2025 at $8.45. These transactions raise his reported beneficial holding to 1,530,590 shares, a total that explicitly includes spouse-held shares and unvested restricted awards. The report discloses weighted-average price ranges and commits to provide per-transaction breakdowns on request, which supports transparency around execution prices.

Corporate Governance Expert

TL;DR: Form 4 appears properly executed and includes standard disclosure footnotes on spouse holdings and restricted shares.

The Form 4 is signed and dated 08/12/2025 and identifies Mr. Klein as a director and officer (Chairman, CEO, President). Footnotes clarify the composition of beneficial ownership and note the weighted-average pricing ranges for the purchases, with an undertaking to furnish detailed price-by-price information on request. The filing reports the purchases individually and updates beneficial ownership totals, consistent with Section 16 reporting requirements.

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^*

Klein Mark D

(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
X	Officer (give title below)		Other (specify below)
	Chairman, CEO and President

3. Date of Earliest Transaction (Month/Day/Year)
08/11/2025

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	08/11/2025		P		4,571	A	$8.69(1)	1,520,590(2)	D
Common Stock	08/12/2025		P		10,000	A	$8.45(3)	1,530,590(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 $8.67 to $8.69 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, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

2. This total includes (i) 14,659 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein; and (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, which are subject to certain vesting schedules.

3. 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 $8.42 to $8.46 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Company, or a security holder of the Company, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

	/s/ Mark D. Klein	08/12/2025
	** 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.
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FAQ

What transactions did Mark D. Klein report on the Form 4 for SSSS?

The Form 4 reports purchases of 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.

How many shares does Mark D. Klein beneficially own after these transactions (SSSS)?

Following the reported transactions his beneficial ownership is reported as 1,530,590 shares, per the Form 4.

Do the Form 4 footnotes explain the composition of the beneficial ownership total?

Yes. Footnote 2 states the total includes 14,659 shares owned by Mr. Klein's spouse and restricted shares granted under the company's equity plan on Dec 15, 2023, Dec 10, 2024, and May 16, 2025.

Are the reported purchase prices exact single prices or averages for ranges?

The filing reports weighted-average prices and discloses that the purchases occurred at prices within specified ranges ($8.67–$8.69 and $8.42–$8.46), with an undertaking to provide detailed breakdowns on request.

When was the Form 4 signed and filed?

The Form 4 is signed by Mark D. Klein and dated 08/12/2025.