SuRo Capital (SSSS) CEO adds 5,000 shares in open-market buys

Rhea-AI Filing Summary

SURO CAPITAL CORP. Chairman, CEO and President Mark D. Klein reported two open-market purchases of the company’s common stock. He bought 2,500 shares on April 21, 2026 at $13.08 per share and 2,500 shares on April 22, 2026 at $13.25 per share.

After these transactions, he directly beneficially owned 1,676,021 shares of common stock, a total that includes 811,646 shares owned by his spouse and multiple restricted share grants that are subject to vesting under SuRo Capital’s equity incentive plans.

Insider Trade Summary

Net Buyer: 5,000 shares ($65,825)

Net Buy 2 txns

Insider Klein Mark D

Role Chairman, CEO and President

Bought 5,000 shs ($66K)

Type	Security	Shares	Price	Value
Purchase	Common Stock	2,500	$13.25	$33K
Purchase	Common Stock	2,500	$13.08	$33K

Holdings After Transaction: Common Stock — 1,676,021 shares (Direct, null)

Footnotes (1)

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Key Figures

Open-market purchase 1: 2,500 shares at $13.25 Open-market purchase 2: 2,500 shares at $13.08 Total shares bought: 5,000 shares +2 more

5 metrics

Open-market purchase 1 2,500 shares at $13.25 Common Stock on April 22, 2026

Open-market purchase 2 2,500 shares at $13.08 Common Stock on April 21, 2026

Total shares bought 5,000 shares Net open-market purchases reported in this Form 4

Post-transaction holdings 1,676,021 shares Total common stock beneficially owned after April 22, 2026 trades

Spouse-owned shares 811,646 shares Common stock owned by spouse, deemed beneficially owned

Key Terms

open-market purchase, beneficially owned, restricted shares, Equity Incentive Plan, +1 more

5 terms

open-market purchase financial

"transaction_action": "open-market purchase""

An open-market purchase is when an investor or a company buys shares on a public stock exchange at the going market price, rather than through a private deal. It matters to investors because these purchases change how many shares are available, can push the stock price up or signal confidence from large buyers, and often affect per-share metrics like earnings—think of it like someone buying lots of apples off a grocery shelf, reducing supply and potentially raising the price.

beneficially owned financial

"which may be deemed to be beneficially owned by Mr. Klein"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

restricted shares financial

"restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan"

Restricted shares are company stock that cannot be sold or transferred immediately because they are subject to legal or contractual limits, such as a required holding period or performance conditions. They matter to investors because these locked-up shares can affect a company’s available stock for trading, future dilution, and insider incentives—imagine a gift that can’t be cashed until certain conditions are met, which changes when and how much supply can suddenly enter the market.

Equity Incentive Plan financial

"under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan"

An equity incentive plan is a program that gives employees, executives or directors the right to receive company stock or options to buy stock as part of their pay. Think of it as offering slices of future company profit to motivate people to boost long‑term performance; for investors it matters because it can align employee goals with shareholder value but also increases the number of shares outstanding, which can dilute existing ownership.

vesting schedules financial

"which are subject to certain vesting schedules"

Form 4 Insider Transactions: What Each Field Means →

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

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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 NEW YORK 10019

(City) (State) (Zip)

UNITED STATES

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/21/2026

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

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

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

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	04/21/2026		P		2,500	A	$13.08	1,673,521(1)	D
Common Stock	04/22/2026		P		2,500	A	$13.25	1,676,021(1)	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. This total includes (i) 811,646 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein; (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; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025, which are subject to certain vesting schedules.

	/s/ Mark D. Klein	04/22/2026
	** 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.
* Form 4: SEC 1474 (03-26)

FAQ

What insider transactions did SuRo Capital (SSSS) report for Mark D. Klein?

Mark D. Klein reported two open-market stock purchases. He bought 2,500 SuRo Capital common shares on April 21, 2026 at $13.08 and another 2,500 shares on April 22, 2026 at $13.25, for a total of 5,000 additional shares.

How many SuRo Capital (SSSS) shares does Mark D. Klein own after these trades?

After the trades, Klein beneficially owned 1,676,021 shares. This total includes his direct holdings, 811,646 shares owned by his spouse that may be deemed beneficially owned, and restricted shares granted under SuRo Capital’s equity incentive plans that are subject to vesting.

Were Mark D. Klein’s SuRo Capital (SSSS) trades open-market purchases?

Yes, both transactions were open-market purchases of common stock. The Form 4 identifies each transaction with code “P” and describes them as open-market or private purchases, with per-share prices of $13.08 and $13.25 on consecutive days.

What does the footnote in Mark D. Klein’s SuRo Capital (SSSS) Form 4 explain?

The footnote explains what is included in Klein’s reported share total. It notes 811,646 shares owned by his spouse and several restricted share grants from 2023, 2024 and 2025 under SuRo Capital’s equity incentive plans, all subject to vesting schedules.

Do the SuRo Capital (SSSS) Form 4 transactions involve derivative securities?

No, the reported transactions involve only common stock. Both entries are classified as non-derivative securities, with no exercise or conversion prices listed and no remaining derivative positions shown in the derivative summary section of the filing.