Mark D. Klein - Dec 12, 2022 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: Dec 12, 2022
Transactions value $: -$79,979
Form type: 4
Date filed: 12/13/2022, 04:44 PM
Previous filing: Dec 8, 2022
Next filing: Feb 13, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SSSS	Common Stock	Tax liability	-$80K	-21.3K	-2.02%	$3.76	1.03M	Dec 12, 2022	Direct	F1, F2

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

Explanation of Responses:

Id	Content
F1	Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 12, 2022. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.
F2	This total includes (i) 2,659 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)(A) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021, December 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (B) 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 schedules as such restricted shares.

Content

Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 12, 2022. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

This total includes (i) 2,659 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)(A) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021, December 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (B) 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 schedules as such restricted shares.