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[Form 4] SuRo Capital Corp. Insider Trading Activity

Filing Impact
(Moderate)
Filing Sentiment
(Positive)
Form Type
4
Rhea-AI Filing Summary

On 08/11/2025 and 08/12/2025, Mark D. Klein, who serves as Chairman, Chief Executive Officer, President and a director of SuRo Capital Corp. (SSSS), reported purchases of the company's common stock. He acquired 4,571 shares on 08/11/2025 at a weighted-average price of $8.69 and 10,000 shares on 08/12/2025 at a weighted-average price of $8.45, for a total of 14,571 shares purchased.

Following these reported transactions his beneficial ownership increased to 1,530,590 shares. The filing's footnotes state this total includes 14,659 shares owned by Mr. Klein's spouse and restricted shares granted under the SuRo Capital Amended and Restated 2019 Equity Incentive Plan on Dec 15, 2023, Dec 10, 2024 and May 16, 2025. The Form 4 is signed and dated 08/12/2025.

Il 08/11/2025 e il 08/12/2025, Mark D. Klein, che ricopre le cariche di Chairman, Chief Executive Officer, President e membro del consiglio di SuRo Capital Corp. (SSSS), ha segnalato l'acquisto di azioni ordinarie della societ脿. Ha acquisito 4,571 azioni l'08/11/2025 a un prezzo medio ponderato di $8.69 e 10,000 azioni l'08/12/2025 a un prezzo medio ponderato di $8.45, per un totale di 14,571 azioni acquistate.

A seguito di queste operazioni la sua partecipazione beneficiaria 猫 salita a 1,530,590 azioni. Le note del deposito precisano che questo totale include 14,659 azioni di propriet脿 della coniuge del Sig. Klein e azioni soggette a restrizioni assegnate ai sensi del SuRo Capital Amended and Restated 2019 Equity Incentive Plan il 15 dicembre 2023, il 10 dicembre 2024 e il 16 maggio 2025. Il Modulo 4 猫 firmato e datato 08/12/2025.

El 08/11/2025 y el 08/12/2025, Mark D. Klein, que ocupa los cargos de Chairman, Chief Executive Officer, President y director de SuRo Capital Corp. (SSSS), inform贸 compras de acciones ordinarias de la compa帽铆a. Adquiri贸 4,571 acciones el 08/11/2025 a un precio promedio ponderado de $8.69 y 10,000 acciones el 08/12/2025 a un precio promedio ponderado de $8.45, para un total de 14,571 acciones compradas.

Tras estas transacciones reportadas, su propiedad beneficiaria aument贸 a 1,530,590 acciones. Las notas de la presentaci贸n indican que este total incluye 14,659 acciones pertenecientes al c贸nyuge del Sr. Klein y acciones restringidas otorgadas bajo el SuRo Capital Amended and Restated 2019 Equity Incentive Plan el 15 de diciembre de 2023, el 10 de diciembre de 2024 y el 16 de mayo de 2025. El Formulario 4 est谩 firmado y fechado el 08/12/2025.

2025雲� 08鞗� 11鞚�瓿� 2025雲� 08鞗� 12鞚�, SuRo Capital Corp.(SSSS)鞚� 須岇灔 瓴� 斓滉碃瓴届榿鞛�(CEO), 靷灔 氚� 鞚挫偓鞚� Mark D. Klein鞚� 須岇偓 氤错喌欤茧ゼ 毵れ垬頄堧嫟瓿� 氤搓碃頄堨姷雼堧嫟. 攴鸽姅 2025雲� 08鞗� 11鞚� 臧赌欷戫弶攴犼皜 $8.69鞐� 4,571欤茧ゼ, 2025雲� 08鞗� 12鞚� 臧赌欷戫弶攴犼皜 $8.45鞐� 10,000欤茧ゼ 毵れ垬頃� 齑� 14,571欤茧ゼ 鞚胳垬頄堨姷雼堧嫟.

鞚措摛 氤搓碃霅� 瓯半灅 鞚错泟 攴胳潣 鞁れ鞝� 氤挫湢霟夓潃 1,530,590欤茧 歃濌皜頄堨姷雼堧嫟. 鞝滌稖 靹滊鞚� 臧侅＜鞐愲姅 鞚� 齑濌硠鞐� Klein 鞌潣 氚办毎鞛愱皜 靻岇湢頃� 14,659欤检檧 SuRo Capital Amended and Restated 2019 Equity Incentive Plan鞐� 霐半澕 2023雲� 12鞗� 15鞚�, 2024雲� 12鞗� 10鞚�, 2025雲� 5鞗� 16鞚�鞐� 攵�鞐悳 鞝滍暅欤缄皜 韽暔霅滊嫟瓿� 氇呾嫓霅橃柎 鞛堨姷雼堧嫟. Form 4電� 08/12/2025鞛� 靹滊獏 氚� 雮犾搿� 鞝滌稖霅橃棃鞀惦媹雼�.

Les 08/11/2025 et 08/12/2025, Mark D. Klein, qui occupe les fonctions de chairman, Chief Executive Officer, president et administrateur de SuRo Capital Corp. (SSSS), a d茅clar茅 des achats d'actions ordinaires de la soci茅t茅. Il a acquis 4,571 actions le 08/11/2025 au prix moyen pond茅r茅 de $8.69 et 10,000 actions le 08/12/2025 au prix moyen pond茅r茅 de $8.45, soit un total de 14,571 actions achet茅es.

脌 la suite de ces transactions d茅clar茅es, sa d茅tention b茅n茅ficiaire est pass茅e 脿 1,530,590 actions. Les notes de la d茅claration pr茅cisent que ce total comprend 14,659 actions d茅tenues par l'茅pouse de M. Klein ainsi que des actions restreintes attribu茅es dans le cadre du SuRo Capital Amended and Restated 2019 Equity Incentive Plan le 15 d茅cembre 2023, le 10 d茅cembre 2024 et le 16 mai 2025. Le formulaire 4 est sign茅 et dat茅 du 08/12/2025.

Am 08/11/2025 und 08/12/2025 meldete Mark D. Klein, der als Chairman, Chief Executive Officer, President und Director von SuRo Capital Corp. (SSSS) fungiert, K盲ufe von Stammaktien des Unternehmens. Er erwarb am 08/11/2025 4,571 Aktien zu einem gewichteten Durchschnittspreis von $8.69 und am 08/12/2025 10,000 Aktien zu einem gewichteten Durchschnittspreis von $8.45, insgesamt 14,571 gekaufte Aktien.

Nach diesen gemeldeten Transaktionen stieg sein wirtschaftliches Eigentum auf 1,530,590 Aktien. Die Fu脽noten der Einreichung geben an, dass diese Summe 14,659 Aktien umfasst, die im Besitz der Ehefrau von Herrn Klein sind, sowie eingeschr盲nkte Aktien, die im Rahmen des SuRo Capital Amended and Restated 2019 Equity Incentive Plan am 15. Dezember 2023, am 10. Dezember 2024 und am 16. Mai 2025 gew盲hrt wurden. Das Formular 4 ist unterzeichnet und mit dem Datum 08/12/2025 versehen.

Positive
  • Insider purchases disclosed: CEO Mark D. Klein purchased a total of 14,571 shares over two days.
  • Transparent pricing disclosure: Filing provides weighted-average price ranges and offers to provide per-transaction details on request.
  • Beneficial ownership updated: Reported holdings rose to 1,530,590 shares and footnotes explain inclusion of spouse and restricted shares.
Negative
  • None.

Insights

TL;DR: CEO Mark Klein purchased 14,571 shares across two days, increasing reported beneficial ownership to 1,530,590 shares.

The filing documents two open-market purchases by the company鈥檚 Chairman and CEO: 4,571 shares on 08/11/2025 at a weighted-average price of $8.69 and 10,000 shares on 08/12/2025 at $8.45. These transactions raise his reported beneficial holding to 1,530,590 shares, a total that explicitly includes spouse-held shares and unvested restricted awards. The report discloses weighted-average price ranges and commits to provide per-transaction breakdowns on request, which supports transparency around execution prices.

TL;DR: Form 4 appears properly executed and includes standard disclosure footnotes on spouse holdings and restricted shares.

The Form 4 is signed and dated 08/12/2025 and identifies Mr. Klein as a director and officer (Chairman, CEO, President). Footnotes clarify the composition of beneficial ownership and note the weighted-average pricing ranges for the purchases, with an undertaking to furnish detailed price-by-price information on request. The filing reports the purchases individually and updates beneficial ownership totals, consistent with Section 16 reporting requirements.

Il 08/11/2025 e il 08/12/2025, Mark D. Klein, che ricopre le cariche di Chairman, Chief Executive Officer, President e membro del consiglio di SuRo Capital Corp. (SSSS), ha segnalato l'acquisto di azioni ordinarie della societ脿. Ha acquisito 4,571 azioni l'08/11/2025 a un prezzo medio ponderato di $8.69 e 10,000 azioni l'08/12/2025 a un prezzo medio ponderato di $8.45, per un totale di 14,571 azioni acquistate.

A seguito di queste operazioni la sua partecipazione beneficiaria 猫 salita a 1,530,590 azioni. Le note del deposito precisano che questo totale include 14,659 azioni di propriet脿 della coniuge del Sig. Klein e azioni soggette a restrizioni assegnate ai sensi del SuRo Capital Amended and Restated 2019 Equity Incentive Plan il 15 dicembre 2023, il 10 dicembre 2024 e il 16 maggio 2025. Il Modulo 4 猫 firmato e datato 08/12/2025.

El 08/11/2025 y el 08/12/2025, Mark D. Klein, que ocupa los cargos de Chairman, Chief Executive Officer, President y director de SuRo Capital Corp. (SSSS), inform贸 compras de acciones ordinarias de la compa帽铆a. Adquiri贸 4,571 acciones el 08/11/2025 a un precio promedio ponderado de $8.69 y 10,000 acciones el 08/12/2025 a un precio promedio ponderado de $8.45, para un total de 14,571 acciones compradas.

Tras estas transacciones reportadas, su propiedad beneficiaria aument贸 a 1,530,590 acciones. Las notas de la presentaci贸n indican que este total incluye 14,659 acciones pertenecientes al c贸nyuge del Sr. Klein y acciones restringidas otorgadas bajo el SuRo Capital Amended and Restated 2019 Equity Incentive Plan el 15 de diciembre de 2023, el 10 de diciembre de 2024 y el 16 de mayo de 2025. El Formulario 4 est谩 firmado y fechado el 08/12/2025.

2025雲� 08鞗� 11鞚�瓿� 2025雲� 08鞗� 12鞚�, SuRo Capital Corp.(SSSS)鞚� 須岇灔 瓴� 斓滉碃瓴届榿鞛�(CEO), 靷灔 氚� 鞚挫偓鞚� Mark D. Klein鞚� 須岇偓 氤错喌欤茧ゼ 毵れ垬頄堧嫟瓿� 氤搓碃頄堨姷雼堧嫟. 攴鸽姅 2025雲� 08鞗� 11鞚� 臧赌欷戫弶攴犼皜 $8.69鞐� 4,571欤茧ゼ, 2025雲� 08鞗� 12鞚� 臧赌欷戫弶攴犼皜 $8.45鞐� 10,000欤茧ゼ 毵れ垬頃� 齑� 14,571欤茧ゼ 鞚胳垬頄堨姷雼堧嫟.

鞚措摛 氤搓碃霅� 瓯半灅 鞚错泟 攴胳潣 鞁れ鞝� 氤挫湢霟夓潃 1,530,590欤茧 歃濌皜頄堨姷雼堧嫟. 鞝滌稖 靹滊鞚� 臧侅＜鞐愲姅 鞚� 齑濌硠鞐� Klein 鞌潣 氚办毎鞛愱皜 靻岇湢頃� 14,659欤检檧 SuRo Capital Amended and Restated 2019 Equity Incentive Plan鞐� 霐半澕 2023雲� 12鞗� 15鞚�, 2024雲� 12鞗� 10鞚�, 2025雲� 5鞗� 16鞚�鞐� 攵�鞐悳 鞝滍暅欤缄皜 韽暔霅滊嫟瓿� 氇呾嫓霅橃柎 鞛堨姷雼堧嫟. Form 4電� 08/12/2025鞛� 靹滊獏 氚� 雮犾搿� 鞝滌稖霅橃棃鞀惦媹雼�.

Les 08/11/2025 et 08/12/2025, Mark D. Klein, qui occupe les fonctions de chairman, Chief Executive Officer, president et administrateur de SuRo Capital Corp. (SSSS), a d茅clar茅 des achats d'actions ordinaires de la soci茅t茅. Il a acquis 4,571 actions le 08/11/2025 au prix moyen pond茅r茅 de $8.69 et 10,000 actions le 08/12/2025 au prix moyen pond茅r茅 de $8.45, soit un total de 14,571 actions achet茅es.

脌 la suite de ces transactions d茅clar茅es, sa d茅tention b茅n茅ficiaire est pass茅e 脿 1,530,590 actions. Les notes de la d茅claration pr茅cisent que ce total comprend 14,659 actions d茅tenues par l'茅pouse de M. Klein ainsi que des actions restreintes attribu茅es dans le cadre du SuRo Capital Amended and Restated 2019 Equity Incentive Plan le 15 d茅cembre 2023, le 10 d茅cembre 2024 et le 16 mai 2025. Le formulaire 4 est sign茅 et dat茅 du 08/12/2025.

Am 08/11/2025 und 08/12/2025 meldete Mark D. Klein, der als Chairman, Chief Executive Officer, President und Director von SuRo Capital Corp. (SSSS) fungiert, K盲ufe von Stammaktien des Unternehmens. Er erwarb am 08/11/2025 4,571 Aktien zu einem gewichteten Durchschnittspreis von $8.69 und am 08/12/2025 10,000 Aktien zu einem gewichteten Durchschnittspreis von $8.45, insgesamt 14,571 gekaufte Aktien.

Nach diesen gemeldeten Transaktionen stieg sein wirtschaftliches Eigentum auf 1,530,590 Aktien. Die Fu脽noten der Einreichung geben an, dass diese Summe 14,659 Aktien umfasst, die im Besitz der Ehefrau von Herrn Klein sind, sowie eingeschr盲nkte Aktien, die im Rahmen des SuRo Capital Amended and Restated 2019 Equity Incentive Plan am 15. Dezember 2023, am 10. Dezember 2024 und am 16. Mai 2025 gew盲hrt wurden. Das Formular 4 ist unterzeichnet und mit dem Datum 08/12/2025 versehen.

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Klein Mark D
(Last) (First) (Middle)
C/O SURO CAPITAL CORP.
640 FIFTH AVENUE, 12TH FLOOR
(Street)
NEW YORK NY 10019
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SURO CAPITAL CORP. [ SSSS ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman, CEO and President
3. Date of Earliest Transaction (Month/Day/Year)
08/11/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/11/2025 P 4,571 A $8.69(1) 1,520,590(2) D
Common Stock 08/12/2025 P 10,000 A $8.45(3) 1,530,590(2) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. 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 $8.67 to $8.69 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Company"), or a security holder of the Company, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
2. This total includes (i) 14,659 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein; and (ii) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024, and May 16, 2025, which are subject to certain vesting schedules.
3. 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 $8.42 to $8.46 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Company, or a security holder of the Company, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
/s/ Mark D. Klein 08/12/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source:

FAQ

What transactions did Mark D. Klein report on the Form 4 for SSSS?

The Form 4 reports purchases of 4,571 shares on 08/11/2025 at a weighted-average price of $8.69 and 10,000 shares on 08/12/2025 at a weighted-average price of $8.45.

How many shares does Mark D. Klein beneficially own after these transactions (SSSS)?

Following the reported transactions his beneficial ownership is reported as 1,530,590 shares, per the Form 4.

Do the Form 4 footnotes explain the composition of the beneficial ownership total?

Yes. Footnote 2 states the total includes 14,659 shares owned by Mr. Klein's spouse and restricted shares granted under the company's equity plan on Dec 15, 2023, Dec 10, 2024, and May 16, 2025.

Are the reported purchase prices exact single prices or averages for ranges?

The filing reports weighted-average prices and discloses that the purchases occurred at prices within specified ranges ($8.67鈥�$8.69 and $8.42鈥�$8.46), with an undertaking to provide detailed breakdowns on request.

When was the Form 4 signed and filed?

The Form 4 is signed by Mark D. Klein and dated 08/12/2025.
Stock SSSS logo
Suro Capital Corp

NASDAQ:SSSS

SSSS Rankings

#4099 Ranked by Market Cap
#133 Ranked by Dividends

SSSS Latest News

Aug 6, 2025
SuRo Capital Corp. Reports Second Quarter 2025 Financial Results
Jul 30, 2025
SuRo Capital Corp. to Report Second Quarter 2025 Financial Results on Wednesday, August 6, 2025
Jul 8, 2025
SuRo Capital Corp. Second Quarter 2025 Preliminary Investment Portfolio Update
May 6, 2025
SuRo Capital Corp. Reports First Quarter 2025 Financial Results
Apr 29, 2025
SuRo Capital Corp. to Report First Quarter 2025 Financial Results聽on Tuesday, May 6, 2025

SSSS Latest SEC Filings

Aug 7, 2025
[10-Q] SuRo Capital Corp. Quarterly Earnings Report
Aug 6, 2025
[8-K] SuRo Capital Corp. Reports Material Event
Jul 16, 2025
[SCHEDULE 13G/A] SuRo Capital Corp. SEC Filing
Jul 10, 2025
[Form 3] SuRo Capital Corp. Initial Statement of Beneficial Ownership
Jul 9, 2025
[8-K] SuRo Capital Corp. Reports Material Event

SSSS Stock Data

202.57M
21.91M
8.26%
21.47%
1.09%
Asset Management
Financial Services
United States
NEW YORK