0001104659-23-067712.txt : 20230602 0001104659-23-067712.hdr.sgml : 20230602 20230602201402 ACCESSION NUMBER: 0001104659-23-067712 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230531 FILED AS OF DATE: 20230602 DATE AS OF CHANGE: 20230602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Westley Lisa CENTRAL INDEX KEY: 0001783266 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00852 FILM NUMBER: 23990970 MAIL ADDRESS: STREET 1: C/O GSV CAPITAL CORP. STREET 2: ONE SANSOME STREET, SUITE 730 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 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: 640 FIFTH AVENUE STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (650) 235-4769 MAIL ADDRESS: STREET 1: 640 FIFTH AVENUE STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 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 tm2317630-2_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-05-31 0 0001509470 SURO CAPITAL CORP. SSSS 0001783266 Westley Lisa C/O SURO CAPITAL CORP. 640 FIFTH AVENUE, 12TH FLOOR NEW YORK NY 10019 1 0 0 0 0 Common Stock 2023-05-31 4 A 0 15015 0 A 35435 D Relates to restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being May 31, 2024) and (ii) the date of SuRo Capital Corp.'s (the "Company's") annual meeting of stockholders that is closest to the first anniversary of the award date. /s/ Lisa Westley 2023-06-02