Every Form 4 that SuRo Capital Corp. (SSSS) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow SSSS and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full SSSS filings page.
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.
SuRo Capital Corp. officer Allison Green reported equity compensation changes. On June 12, 2026, Green was granted 60,000 restricted common shares that vest one-third each on June 12, 2027, 2028, and 2029 under the Second Amended and Restated 2019 Equity Incentive Plan.
On June 15, 2026, SuRo Capital’s board approved acceleration of Green’s unvested restricted shares in connection with stockholder approval of the company’s externalization, conditioned on a lock-up agreement mirroring the original vesting schedules. That day, 41,815 shares were withheld at $13.56 per share to cover tax obligations, leaving 207,990 common shares held directly.
SuRo Capital Corp. Chairman, CEO and President Mark D. Klein reported compensation-related stock transactions. On June 12, 2026, he received a grant of 350,000 restricted shares of common stock at no cost, vesting in three equal parts on June 12, 2027, 2028 and 2029.
On June 15, 2026, 293,265 shares were withheld to cover his tax obligations upon vesting of restricted shares at a price of $13.56 per share, a disposition treated as a tax payment rather than an open-market sale. After these transactions, he directly owned 1,732,756 shares, including shares previously granted and shares beneficially owned through his spouse. The filing also notes that, in connection with stockholder approval of the company’s externalization, the board accelerated the vesting of his remaining unvested restricted shares subject to his entry into a lock-up agreement mirroring the original vesting periods.
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.
Mazur Marc reported acquisition or exercise transactions in this Form 4 filing.
SuRo Capital Corp. director Marc Mazur received a grant of 3,536 shares of common stock as an equity award. The shares are restricted and were granted at no cash cost per share. Following the award, Mazur directly holds 68,950 shares of SuRo Capital common stock.
The restricted shares are scheduled to vest in full on the earlier of the first anniversary of the award date, with that anniversary falling on June 10, 2027, or the date of SuRo Capital’s annual stockholder meeting closest to that anniversary. The Board of Directors may, in its sole discretion, accelerate vesting of these shares in connection with stockholder approval of the company’s externalization.
Szuch Richard C. reported acquisition or exercise transactions in this Form 4 filing.
SuRo Capital Corp. director Richard C. Szuch received a grant of 3,536 shares of common stock as a restricted stock award. The shares were granted at no cash cost and increase his direct holdings to 9,303 shares.
The restricted shares were granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan 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 stockholder meeting closest to that date. The board may, in its sole discretion, accelerate vesting in connection with stockholder approval of the company’s externalization.
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.
Potter Leonard reported acquisition or exercise transactions in this Form 4 filing.
SuRo Capital Corp. director Leonard Potter received a grant of 3,536 restricted shares of common stock as compensation. The award was made at no cash cost per share and increases his directly held stake to 105,815 shares. These restricted shares are scheduled to vest in full on the earlier of June 10, 2027 or the company’s annual stockholder meeting closest to that date. The board may, in its sole discretion, accelerate vesting in connection with stockholder approval of the company’s externalization.
SuRo Capital Corp. director Ronald M. Lott reported an open-market sale of common stock by the Ronald M. Lott Family Trust, an entity associated with him. The trust sold 10,669 shares at a weighted-average price of $12.90 per share. Lott may be deemed a beneficial owner of these trust shares but disclaims ownership beyond his pecuniary interest. Following the transactions, he also holds 7,812 shares directly, including restricted shares granted under SuRo Capital’s equity incentive plan that fully vest on the earlier of May 28, 2026 or the company’s next annual meeting closest to that date.
SURO CAPITAL CORP. Chairman, CEO and President Mark D. Klein reported two open-market purchases of the company’s common stock. He bought 2,500 shares on April 21, 2026 at $13.08 per share and 2,500 shares on April 22, 2026 at $13.25 per share.
After these transactions, he directly beneficially owned 1,676,021 shares of common stock, a total that includes 811,646 shares owned by his spouse and multiple restricted share grants that are subject to vesting under SuRo Capital’s equity incentive plans.
SuRo Capital Corp. chairman, CEO and president Mark D. Klein reported two share-withholding transactions related to vesting of restricted stock. On December 10, 2025 and December 15, 2025, a total of 17,017 shares on each date were withheld at prices of $9.59 and $9.24 per share to satisfy his tax obligations, and these transactions are noted as exempt from Section 16(b) under Rule 16b-3.
After these transactions, Klein beneficially owns 1,671,021 shares of SuRo Capital common stock. This figure includes 779,014 shares held by his spouse, which may be deemed beneficially owned by him, as well as restricted shares granted under SuRo Capital’s Amended and Restated 2019 Equity Incentive Plan and Second Amended and Restated 2019 Equity Incentive Plan, which remain subject to vesting schedules.
SuRo Capital Corp. reported insider tax-withholding stock transactions by a senior executive. Chief Financial Officer, Chief Compliance Officer, Treasurer and Corporate Secretary Allison Green had company common shares withheld to cover taxes when restricted stock vested.
On December 10, 2025, 4,232 shares of common stock were disposed of at $9.59 per share in a transaction coded as tax withholding and identified as a delinquent transaction. On December 15, 2025, another 4,232 shares were disposed of at $9.24 per share for the same tax-withholding purpose. Both were reported as exempt from Section 16(b) under Rule 16b-3. After these events, Green directly beneficially owned 189,805 shares, including restricted shares granted under SuRo Capital’s equity incentive plans that remain subject to vesting schedules.
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.
SuRo Capital Corp. reported an equity grant to a senior executive. On 11/21/2025, an officer of SuRo Capital received 956 shares of restricted common stock at a price of $0 under the company’s Second Amended and Restated 2019 Equity Incentive Plan. These restricted shares vest in three equal installments, with one-third vesting on December 1, 2026, one-third on December 1, 2027, and the final third on December 1, 2028.
Following this grant, the reporting person beneficially owns 198,269 shares of SuRo Capital common stock, including other restricted shares granted on December 15, 2023, December 10, 2024, and May 16, 2025 that remain subject to vesting schedules. The reporting person serves as Chief Financial Officer, Chief Compliance Officer, Treasurer and Corporate Secretary.
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.