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SSSS insider filing: CEO Mark D. Klein now holds 1.71M shares

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

Rhea-AI Filing Summary

SuRo Capital Corp. reported an insider equity grant to its Chairman, CEO and President, Mark D. Klein. On 11/21/2025, he acquired 174,465 shares of SuRo Capital common stock as a restricted stock award at a stated price of $0, reflecting a compensatory grant rather than an open‑market purchase.

After this award, he beneficially owned a total of 1,705,055 shares directly and indirectly. The new restricted shares were granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan and vest in three equal installments on December 1 of 2026, 2027, and 2028. The total beneficial ownership figure includes 779,014 shares held by his spouse and earlier restricted stock grants that are subject to their own vesting schedules.

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Insider Klein Mark D
Role Chairman, CEO and President
Type Security Shares Price Value
Grant/Award Common Stock 174,465 $0.00 --
Holdings After Transaction: Common Stock — 1,705,055 shares (Direct)
Footnotes (1)
  1. Restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 1, 2026, 1/3 vests on December 1, 2027, and 1/3 vests on December 1, 2028. This total includes (i) 779,014 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein; and (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.
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 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
X Officer (give title below) Other (specify below)
Chairman, CEO and President
3. Date of Earliest Transaction (Month/Day/Year)
11/21/2025
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 11/21/2025 A(1) 174,465 A $0 1,705,055(2) 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. Restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 1, 2026, 1/3 vests on December 1, 2027, and 1/3 vests on December 1, 2028.
2. This total includes (i) 779,014 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein; and (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.
/s/ Mark D. Klein 11/25/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

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

SuRo Capital Corp. reported that Mark D. Klein, its Chairman, CEO and President, received a grant of 174,465 restricted shares of common stock on 11/21/2025 under the company’s equity incentive plan.

At what price were the 174,465 SuRo Capital (SSSS) shares acquired by Mark D. Klein?

The 174,465 restricted shares of SuRo Capital common stock acquired by Mark D. Klein were reported at a price of $0, indicating an equity compensation grant rather than a market purchase.

How do the new restricted shares for SSSS’s CEO vest over time?

The 174,465 restricted shares granted to Mark D. Klein vest in three equal installments: 1/3 on December 1, 2026, 1/3 on December 1, 2027, and 1/3 on December 1, 2028.

What is Mark D. Klein’s total beneficial ownership in SuRo Capital (SSSS) after the transaction?

Following the reported transaction, Mark D. Klein beneficially owned 1,705,055 shares of SuRo Capital common stock, including shares held directly, 779,014 shares owned by his spouse, and prior restricted stock grants subject to vesting.

Which equity plan governed the latest restricted stock grant at SuRo Capital (SSSS)?

The 174,465 restricted shares granted to Mark D. Klein were issued under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan.

Does the reported total for SSSS’s CEO include previous restricted stock awards?

Yes. The 1,705,055-share beneficial ownership total includes restricted shares previously granted on December 15, 2023, December 10, 2024, and May 16, 2025 that are subject to vesting schedules.