Mark D. Klein - Feb 9, 2023 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
Feb 9, 2023
Transactions value $
-$279,592
Form type
4
Date filed
2/13/2023, 06:24 PM
Previous filing
Dec 13, 2022
Next filing
Nov 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SSSS Common Stock Tax liability -$122K -31.9K -3.1% $3.83 998K Feb 9, 2023 Direct F1, F2
transaction SSSS Common Stock Tax liability -$157K -40.8K -4.09% $3.86 957K Feb 10, 2023 Direct F2, F3
* 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 February 9, 2023. 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.
F3 Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 10, 2023. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.