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