SuRo Capital (SSSS) director sells small blocks; holds 29,150

SuRo Capital (SSSS) director reported small open‑market sales.

Accepted by SEC EDGAR 10/28/2025 - 02:21 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

SuRo Capital (SSSS) director reported small open‑market sales. The filing shows sales of 434 shares at $6.06 on 12/26/2024 and 39 shares at $7.42 on 06/11/2025. Following these transactions, the director beneficially owned 29,189 shares and then 29,150 shares, respectively, held directly.

The reported total includes restricted shares granted under the company’s 2019 Equity Incentive Plan, which vest in full on the earlier of the first anniversary of the award date (May 28, 2026) or the annual stockholders meeting closest to that date.

Insider Trade Summary

Net Seller: 473 shares

Net Sell 2 txns

Insider LOTT RONALD M.

Role Director

Sold 473 shs ($3K)

Share of Position Sold 1.6%

Type	Security	Shares	Price	Value
Sale	Common Stock	39	$7.42	$289.38
Sale	Common Stock	434	$6.06	$3K

Holdings After Transaction: Common Stock — 29,150 shares (Direct)

Holdings Before and After: Common Stock, 29,623 to 29,150 shares (Direct)

Footnotes (1)

1. F1. 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.

FAQ

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

What did SuRo Capital (SSSS) insider report selling?

The director sold 434 shares at $6.06 on 12/26/2024 and 39 shares at $7.42 on 06/11/2025.

How many SSSS shares did the insider own after the transactions?

Beneficial ownership was 29,189 shares after the 12/26/2024 sale and 29,150 shares after the 06/11/2025 sale, held directly.

What is the insider’s relationship to SuRo Capital?

The reporting person is a Director.

Were the holdings direct or indirect?

The holdings are reported as Direct (D) ownership.

Do the reported SSSS holdings include restricted shares?

Yes. The total includes restricted shares granted under the 2019 Equity Incentive Plan.

When do the restricted shares vest?

They vest in full on the earlier of the first anniversary of the award date (May 28, 2026) or the annual meeting closest to that date.

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

Form 4 Insider Transactions: What Each Field Means →

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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 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)
12/26/2024

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	12/26/2024		S		434	D	$6.06	29,189(1)	D
Common Stock	06/11/2025		S		39	D	$7.42	29,150(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 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	10/28/2025
	** 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.