Sec Form 4 Filing - Klein Mark D @ SURO CAPITAL CORP. - 2022-12-07

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Klein Mark D
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)
See Remarks
(Last) (First) (Middle)
C/O SURO CAPITAL CORP., 640 FIFTH AVENUE, 12TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
12/07/2022
(Street)
NEW YORK, NY10019
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 12/07/2022 P 21,521 A $ 3.69( 1 ) 1,030,051( 2 ) D
Common Stock 12/08/2022 P 22,034 A $ 3.77( 3 ) 1,052,085( 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Klein Mark D
C/O SURO CAPITAL CORP.
640 FIFTH AVENUE, 12TH FLOOR
NEW YORK, NY10019
X See Remarks
Signatures
/s/ Mark D. Klein 12/08/2022
Signature of Reporting Person Date
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 $3.67 to $3.73 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) 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.
( 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 $3.72 to $3.81 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.

Remarks:
Chairman, Chief Executive Officer and President

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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