Mark D. Klein - Sep 30, 2021 Form 4 Insider Report for SURO CAPITAL CORP. (SSSS)

Role: Chairman, CEO and President, Director
Signature: /s/ Mark D. Klein
Stock symbol: SSSS
Transactions as of: Sep 30, 2021
Transactions value $: $0
Form type: 4
Date filed: 10/4/2021, 09:17 PM
Previous filing: Aug 9, 2021
Next filing: Dec 14, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SSSS	Common Stock	Other	$0	+57.9K	+11.43%	$0.00	565K	Sep 30, 2021	Direct	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.
F2	This total includes (i) 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, (ii) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which have dividend rights and vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (iii) 60,060 shares of the Company's common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedule as such restricted shares.

Content

Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

This total includes (i) 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, (ii) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which have dividend rights and vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (iii) 60,060 shares of the Company's common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedule as such restricted shares.