0001104659-20-037806.txt : 20200324 0001104659-20-037806.hdr.sgml : 20200324 20200324165546 ACCESSION NUMBER: 0001104659-20-037806 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200320 FILED AS OF DATE: 20200324 DATE AS OF CHANGE: 20200324 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Birch Robert S. CENTRAL INDEX KEY: 0001794501 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00852 FILM NUMBER: 20739045 MAIL ADDRESS: STREET 1: 765 PARK AVENUE STREET 2: APT. 10A CITY: NEW YORK STATE: NY ZIP: 10021 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 tm2013618d1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-03-20 0 0001509470 SUTTER ROCK CAPITAL CORP. SSSS 0001794501 Birch Robert S. C/O OPPENHEIMER & CO INC., 666 THIRD AVENUE, 12TH FLOOR NEW YORK NY 10017 0 0 1 0 Common Stock 2020-03-20 4 P 0 50000 4.37 A 2196176 D Common Stock 2020-03-23 4 P 0 25000 3.88 A 2221176 D Common Stock 2020-03-23 4 P 0 10000 3.93 A 2231176 D /s/ Robert S. Birch 2020-03-24