SuRo Capital director sells 500 shares

SuRo Capital Corp. director Ronald M. Lott reported an open-market sale of 500 shares of Common Stock at $12.35 per share.

Rhea-AI Filing Summary

SuRo Capital Corp. director Ronald M. Lott reported an open-market sale of 500 shares of Common Stock at $12.35 per share. After this sale on June 23, 2026, he directly holds 3,036 shares. He also has indirect ownership of 18,481 shares through a family trust.

A footnote explains that these indirectly held shares include restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan. Vesting of the company’s unvested restricted shares was accelerated in full effective June 15, 2026, following stockholder approval of the company’s externalization and related board action.

Insider Trade Summary

Net Seller: 500 shares

Net Sell 2 txns

Insider LOTT RONALD M.

Role Director

Sold 500 shs ($6K)

Type	Security	Shares	Price	Value
Sale	Common Stock	500	$12.35	$6K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 3,036 shares (Direct); Common Stock — 18,481 shares (Indirect, By Family Trust)

Footnotes (2)

1. F1. Includes shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which were scheduled to vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being June 10, 2027) and (ii) the date of SuRo Capital Corp.'s annual meeting of stockholders that is closest to the first anniversary of the award date. In connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company approved the acceleration in full of the vesting of the Company's unvested restricted shares, effective as of June 15, 2026.
2. F2. These shares are held of record by the Ronald M. Lott Family Trust dtd 3/9/1992 (the "Trust"), of which Mr. Lott is a trustee and beneficiary, and may be deemed to be beneficially owned by Mr. Lott. Mr. Lott disclaims beneficial ownership of the shares held by the Trust except to the extent of his pecuniary interest therein.

Key Figures

Shares sold: 500 shares Sale price: $12.35 per share Direct holdings after sale: 3,036 shares +3 more

6 metrics

Shares sold 500 shares Open-market sale of Common Stock on June 23, 2026

Sale price $12.35 per share Price for 500-share open-market sale

Direct holdings after sale 3,036 shares Common Stock directly owned after June 23, 2026 transaction

Indirect trust holdings 18,481 shares Held by Ronald M. Lott Family Trust dtd 3/9/1992

Net shares sold 500 shares Net buy/sell shares in this Form 4

Vesting acceleration date June 15, 2026 Full acceleration of unvested restricted shares

Key Terms

Form 4, open-market sale, restricted shares, Equity Incentive Plan, +2 more

6 terms

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

restricted shares financial

"the acceleration in full of the vesting of the Company's unvested restricted shares"

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

"SuRo Capital Corp. Second 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.

externalization regulatory

"approval of the Company's externalization by its stockholders"

Family Trust financial

"These shares are held of record by the Ronald M. Lott Family Trust"

FAQ

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

What insider transaction did SuRo Capital (SSSS) report for Ronald M. Lott?

SuRo Capital reported that director Ronald M. Lott sold 500 shares of Common Stock in an open-market transaction at $12.35 per share. Following this sale, he continues to hold shares both directly and indirectly through a family trust.

How many SuRo Capital (SSSS) shares does Ronald M. Lott hold after the sale?

After the reported transaction, Ronald M. Lott directly holds 3,036 SuRo Capital Common Stock shares. He also has indirect ownership of 18,481 shares through the Ronald M. Lott Family Trust, where he is a trustee and beneficiary, subject to his pecuniary interest.

At what price were Ronald M. Lott’s SuRo Capital (SSSS) shares sold?

Ronald M. Lott’s 500 SuRo Capital shares were sold at $12.35 per share in an open-market sale. This price reflects the per-share transaction value disclosed, providing a clear view of the dollar size of the director’s recent sale.

What does the SuRo Capital (SSSS) Form 4 say about Lott’s family trust holdings?

The Form 4 states that 18,481 shares are held by the Ronald M. Lott Family Trust dated March 9, 1992. Lott is a trustee and beneficiary and may be deemed to beneficially own these shares, though he disclaims ownership except for his pecuniary interest.

How were SuRo Capital (SSSS) restricted shares affected by the externalization approval?

Upon stockholder approval of SuRo Capital’s externalization, the board approved full acceleration of vesting for the company’s unvested restricted shares, effective June 15, 2026. This applied to awards under the Second Amended and Restated 2019 Equity Incentive Plan, including those referenced in Lott’s holdings.

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

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Accepted by SEC EDGAR 06/25/2026 - 04:29 PM EDT Learn about SEC filing dates

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^*

LOTT RONALD M.

(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
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/23/2026

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	06/23/2026		S		500	D	$12.35	3,036(1)	D
Common Stock								18,481	I	By Family Trust(2)

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. Includes shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which were scheduled to vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being June 10, 2027) and (ii) the date of SuRo Capital Corp.'s annual meeting of stockholders that is closest to the first anniversary of the award date. In connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company approved the acceleration in full of the vesting of the Company's unvested restricted shares, effective as of June 15, 2026.

2. These shares are held of record by the Ronald M. Lott Family Trust dtd 3/9/1992 (the "Trust"), of which Mr. Lott is a trustee and beneficiary, and may be deemed to be beneficially owned by Mr. Lott. Mr. Lott disclaims beneficial ownership of the shares held by the Trust except to the extent of his pecuniary interest therein.

	/s/ Ronald Lott	06/25/2026
	** 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)