SuRo Capital director granted 3,536 restricted shares

Westley Lisa reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Westley Lisa reported acquisition or exercise transactions in this Form 4 filing.

SuRo Capital Corp. director Lisa Westley received a grant of 3,536 shares of restricted common stock as equity compensation. The shares were granted at no cash cost and are scheduled to vest in full on the earlier of the first anniversary of the award date, June 10, 2027, or the company’s annual shareholder meeting closest to that date. Following this award, Westley directly holds 58,831 common shares. The board may, in its sole discretion, accelerate vesting in connection with stockholder approval of the company’s externalization.

Insider Trade Summary

Grant/Award: 3,536 shares

Grant/Award 1 txn

Insider Westley Lisa

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	3,536	$0.00	$0.00

Holdings After Transaction: Common Stock — 58,831 shares (Direct)

Footnotes (1)

1. F1. Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which are 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 may, in its sole discretion, accelerate the vesting of these shares.

Key Figures

Restricted share grant: 3,536 shares Grant price: $0.0000 per share Holdings after transaction: 58,831 shares +1 more

4 metrics

Restricted share grant 3,536 shares Common Stock award on June 10, 2026

Grant price $0.0000 per share Compensation grant, not open-market purchase

Holdings after transaction 58,831 shares Total direct common stock held after award

Scheduled vesting date June 10, 2027 First anniversary of the award date

Key Terms

restricted shares, Equity Incentive Plan, vest in full, externalization

4 terms

restricted shares financial

"Relates to restricted shares granted under the SuRo Capital Corp. Second Amended..."

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

"Relates to restricted shares granted under the 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.

vest in full financial

"which are scheduled to vest in full on the earlier of (i) the first anniversary..."

externalization financial

"In connection with the approval of the Company's externalization by its stockholders..."

FAQ

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

What insider transaction did SuRo Capital (SSSS) report for director Lisa Westley?

SuRo Capital reported that director Lisa Westley received a grant of 3,536 restricted common shares. The award was made at no cash cost and is part of equity compensation, increasing her direct holdings and aligning interests with stockholders through future vesting conditions.

How many SuRo Capital (SSSS) shares does Lisa Westley hold after this Form 4 grant?

After the grant, Lisa Westley directly holds 58,831 shares of SuRo Capital common stock. This total includes the 3,536 newly granted restricted shares, which are subject to vesting conditions before becoming fully unrestricted and freely transferable under the company’s equity incentive plan.

When do Lisa Westley’s newly granted SuRo Capital (SSSS) restricted shares vest?

The 3,536 restricted shares are scheduled to vest in full on the earlier of June 10, 2027, which is the first anniversary of the award date, or the SuRo Capital annual stockholders’ meeting that occurs closest to that first anniversary, subject to plan and board terms.

Under which plan were the SuRo Capital (SSSS) restricted shares granted to Lisa Westley?

The restricted shares were granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan. This plan provides stock-based awards, such as restricted shares, to directors and others to support long-term incentives and align compensation with company performance.

Can the vesting of Lisa Westley’s SuRo Capital (SSSS) restricted shares be accelerated?

Yes. The board of directors may, in its sole discretion, accelerate vesting of these restricted shares in connection with stockholder approval of SuRo Capital’s externalization. This means the shares could become fully vested earlier than the scheduled vesting date or meeting trigger.

What does the Form 4 say about the price of the SuRo Capital (SSSS) restricted share grant?

The Form 4 shows a transaction price per share of $0.0000 for the 3,536 restricted shares. This reflects that the award was a compensation grant rather than an open-market purchase, so Westley did not pay cash consideration for the newly issued restricted shares.

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

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Accepted by SEC EDGAR 06/12/2026 - 06:58 PM 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^*

Westley Lisa

(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)
06/10/2026

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	06/10/2026		A(1)		3,536	A	$0	58,831	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. Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which are 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 may, in its sole discretion, accelerate the vesting of these shares.

	/s/ Lisa Westley	06/12/2026
	** 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)