Ronald M. Lott - 31 Dec 2021 Form 5 Insider Report for SURO CAPITAL CORP. (SSSS)

Role: Director
Signature: /s/ Ronald M. Lott
Issuer symbol: SSSS
Transactions as of: 31 Dec 2021
Net transactions value: -$117,469
Form type: 5
Filing time: 14 Feb 2022, 16:35:12 UTC
Previous filing: 12 Aug 2021
Next filing: 03 Jun 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SSSS	Common Stock	Sale	$744	-50	-0.89%	$14.87	5,564	08 Apr 2021	Direct	F1, F2
transaction	SSSS	Common Stock	Sale	$116,725	-7,556	-58%	$15.45	5,564	05 Nov 2021	Direct	F1, F2

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

Explanation of Responses:

Id	Content
F1	The reporting person is hereby disclosing a delinquent Form 4 transaction.
F2	Total as of SuRo Capital Corp.'s (the "Company") fiscal year ended December 31, 2021; includes (1) 3,770 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of the (A) first anniversary of the award date (with such first anniversary being July 9, 2022) and (B) date of the Company's annual meeting of stockholders that is closest to the first anniversary of the award date (the "Vesting Schedule), (2) 1,282 shares of the Company's common stock received in connection with dividends on such 3,770 restricted shares, which are also restricted and subject to the Vesting Schedule, and (3) unrestricted shares of the Company's common stock received in connection with dividends.

Content

The reporting person is hereby disclosing a delinquent Form 4 transaction.

Total as of SuRo Capital Corp.'s (the "Company") fiscal year ended December 31, 2021; includes (1) 3,770 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of the (A) first anniversary of the award date (with such first anniversary being July 9, 2022) and (B) date of the Company's annual meeting of stockholders that is closest to the first anniversary of the award date (the "Vesting Schedule), (2) 1,282 shares of the Company's common stock received in connection with dividends on such 3,770 restricted shares, which are also restricted and subject to the Vesting Schedule, and (3) unrestricted shares of the Company's common stock received in connection with dividends.