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