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SuRo Capital (SSSS) director Lott granted 3,536 restricted shares and updates trust holdings

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

LOTT RONALD M. reported acquisition or exercise transactions in this Form 4 filing.

SuRo Capital Corp. director Ronald M. Lott reported an equity grant and updated his holdings. He received a grant of 3,536 restricted shares of common stock at no cost under the Second Amended and Restated 2019 Equity Incentive Plan. These restricted shares are scheduled to vest in full on the earlier of the first anniversary of the award date, June 10, 2027, or the SuRo Capital Corp. annual stockholder meeting closest to that date, with potential acceleration at the board’s discretion in connection with stockholder approval of the company’s externalization. Following this grant, Lott holds 3,536 shares directly and 18,481 shares indirectly through the Ronald M. Lott Family Trust, where he is trustee and beneficiary and disclaims beneficial ownership except for his pecuniary interest.

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Insider LOTT RONALD M.
Role null
Type Security Shares Price Value
Grant/Award Common Stock 3,536 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 3,536 shares (Direct, null); Common Stock — 18,481 shares (Indirect, By Family Trust)
Footnotes (1)
  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. 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.
Restricted share grant 3,536 shares Restricted common stock granted at $0.0000 per share
Grant price $0.0000 per share Price for the 3,536 restricted shares
Direct holdings after grant 3,536 shares Total direct SuRo Capital common stock held by Lott
Indirect trust holdings 18,481 shares Shares held by the Ronald M. Lott Family Trust
Scheduled vesting date June 10, 2027 First anniversary of the award date for restricted shares
restricted shares financial
"Relates to restricted shares granted under the SuRo Capital Corp. Second 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.
Second Amended and Restated 2019 Equity Incentive Plan financial
"Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan"
vest in full financial
"which are scheduled to vest in full on the earlier of (i) the first anniversary"
beneficially owned financial
"and may be deemed to be beneficially owned by Mr. Lott"
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.
pecuniary interest financial
"Mr. Lott disclaims beneficial ownership of the shares held by the Trust except to the extent of his pecuniary interest therein"
Family Trust financial
"These shares are held of record by the Ronald M. Lott Family Trust dtd 3/9/1992"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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)
XDirector10% 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)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock06/10/2026A(1)3,536A$03,536D
Common Stock18,481IBy 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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.
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 Lott06/12/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

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

Ronald M. Lott reported receiving a grant of 3,536 restricted shares of SuRo Capital common stock at no cost. The filing also updates his indirect holdings held through the Ronald M. Lott Family Trust as part of his overall ownership disclosure.

How many SuRo Capital (SSSS) shares did Ronald M. Lott receive in this Form 4?

He received 3,536 restricted shares of SuRo Capital common stock as a grant. These shares were awarded under the company’s Second Amended and Restated 2019 Equity Incentive Plan and carry a zero dollar grant price per share according to the filing.

When do Ronald M. Lott’s new restricted shares in SuRo Capital (SSSS) vest?

The 3,536 restricted shares are scheduled to vest in full on the earlier of June 10, 2027, the first anniversary of the award date, or SuRo Capital’s annual stockholder meeting closest to that anniversary, with possible acceleration at the board’s discretion.

What SuRo Capital (SSSS) equity plan is referenced in Ronald M. Lott’s Form 4 grant?

The grant relates to restricted shares issued under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan. This plan provides equity-based compensation to directors and other participants through stock awards such as the reported restricted shares.

How many SuRo Capital (SSSS) shares does Ronald M. Lott hold indirectly?

The filing shows 18,481 shares of SuRo Capital common stock held indirectly by the Ronald M. Lott Family Trust. Lott is a trustee and beneficiary of this trust and disclaims beneficial ownership except to the extent of his pecuniary interest.

What is the role of the Ronald M. Lott Family Trust in his SuRo Capital (SSSS) holdings?

The Ronald M. Lott Family Trust holds 18,481 SuRo Capital shares of record. Lott serves as trustee and beneficiary, and the shares may be deemed beneficially owned by him, though he disclaims such ownership beyond his pecuniary interest in the trust’s holdings.