0001104659-21-104406.txt : 20210812
0001104659-21-104406.hdr.sgml : 20210812
20210812194639
ACCESSION NUMBER: 0001104659-21-104406
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210810
FILED AS OF DATE: 20210812
DATE AS OF CHANGE: 20210812
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LOTT RONALD M.
CENTRAL INDEX KEY: 0001055003
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00852
FILM NUMBER: 211169282
MAIL ADDRESS:
STREET 1: C/O ONEMAIN HOLDINGS, INC.
STREET 2: 601 N.W. SECOND STREET
CITY: EVANSVILLE
STATE: IN
ZIP: 47708
FORMER NAME:
FORMER CONFORMED NAME: LOTT RONALD
DATE OF NAME CHANGE: 20000229
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SURO CAPITAL CORP.
CENTRAL INDEX KEY: 0001509470
IRS NUMBER: 274443543
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: ONE SANSOME STREET
STREET 2: SUITE 730
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: (650) 235-4769
MAIL ADDRESS:
STREET 1: ONE SANSOME STREET
STREET 2: SUITE 730
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
FORMER COMPANY:
FORMER CONFORMED NAME: SUTTER ROCK CAPITAL CORP.
DATE OF NAME CHANGE: 20190731
FORMER COMPANY:
FORMER CONFORMED NAME: GSV Capital Corp.
DATE OF NAME CHANGE: 20110531
FORMER COMPANY:
FORMER CONFORMED NAME: NeXt Innovation Corp.
DATE OF NAME CHANGE: 20110331
4
1
tm2125000-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-08-10
0
0001509470
SURO CAPITAL CORP.
SSSS
0001055003
LOTT RONALD M.
C/O SURO CAPITAL CORP.
ONE SANSOME STREET, SUITE 730
SAN FRANCISCO
CA
94104
1
0
0
0
Common Stock
2021-08-10
4
P
0
325
15.57
A
10675
D
The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $15.55 to $15.61, inclusive. The reporting person undertakes to provide to SuRo Capital Corp. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Total includes 3,770 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of the (i) first anniversary of the award date for such restricted shares (with such first anniversary being July 9, 2022) and (ii) date of the Company's annual meeting of stockholders that is closest to such first anniversary of the award date.
/s/ Ronald M. Lott
2021-08-12