0001104659-20-060982.txt : 20200513 0001104659-20-060982.hdr.sgml : 20200513 20200513181012 ACCESSION NUMBER: 0001104659-20-060982 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200513 FILED AS OF DATE: 20200513 DATE AS OF CHANGE: 20200513 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Klein Mark D CENTRAL INDEX KEY: 0001322402 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00852 FILM NUMBER: 20874676 MAIL ADDRESS: STREET 1: 21255 BURBANK BOULEVARD STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SUTTER ROCK CAPITAL CORP. CENTRAL INDEX KEY: 0001509470 IRS NUMBER: 274443543 STATE OF INCORPORATION: NY 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) 235-4777 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 730 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 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 FORMER COMPANY: FORMER CONFORMED NAME: NeXt BDC Capital Corp. DATE OF NAME CHANGE: 20110105 4 1 tm2019644d1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-05-13 0 0001509470 SUTTER ROCK CAPITAL CORP. SSSS 0001322402 Klein Mark D C/O SUTTER ROCK CAPITAL CORP. ONE SANSOME STREET, SUITE 730 SAN FRANCISCO CA 94104 1 1 0 0 CEO and President Common Stock 2020-05-13 4 P 0 8500 6.11 A 161015 D The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $6.06 to $6.16 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Sutter Rock Capital Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein. /s/ Mark D. Klein 2020-05-13