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SuRo Capital Corp. (SSSS) CEO logs tax withholding on restricted shares

Filing Impact
(High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

SuRo Capital Corp. chairman, CEO and president Mark D. Klein reported two share-withholding transactions related to vesting of restricted stock. On December 10, 2025 and December 15, 2025, a total of 17,017 shares on each date were withheld at prices of $9.59 and $9.24 per share to satisfy his tax obligations, and these transactions are noted as exempt from Section 16(b) under Rule 16b-3.

After these transactions, Klein beneficially owns 1,671,021 shares of SuRo Capital common stock. This figure includes 779,014 shares held by his spouse, which may be deemed beneficially owned by him, as well as restricted shares granted under SuRo Capital’s Amended and Restated 2019 Equity Incentive Plan and Second Amended and Restated 2019 Equity Incentive Plan, which remain subject to vesting schedules.

Positive

  • None.

Negative

  • None.
Insider Klein Mark D
Role Chairman, CEO and President
Type Security Shares Price Value
Tax Withholding Common Stock 17,017 $9.24 $157K
Tax Withholding Common Stock 17,017 $9.59 $163K
Holdings After Transaction: Common Stock — 1,671,021 shares (Direct)
Footnotes (1)
  1. Represents a delinquent transaction of shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 10, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3. Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 15, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3. This total includes (i) 779,014 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) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025, which are subject to certain vesting schedules; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025, which is subject to certain vesting schedules.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Klein Mark D
(Last) (First) (Middle)
C/O SURO CAPITAL CORP.
640 FIFTH AVENUE, 12TH FLOOR
(Street)
NEW YORK NY 10019
(City) (State) (Zip)
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)
Chairman, CEO and President
3. Date of Earliest Transaction (Month/Day/Year)
12/10/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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 12/10/2025 F(1) 17,017 D $9.59 1,688,038(3) D
Common Stock 12/15/2025 F(2) 17,017 D $9.24 1,671,021(3) 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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (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: 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
Explanation of Responses:
1. Represents a delinquent transaction of shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 10, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.
2. Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 15, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.
3. This total includes (i) 779,014 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) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025, which are subject to certain vesting schedules; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025, which is subject to certain vesting schedules.
/s/ Mark D. Klein 12/16/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did SuRo Capital (SSSS) report for Mark D. Klein?

SuRo Capital reported that 17,017 shares of common stock were withheld on December 10, 2025 and another 17,017 shares on December 15, 2025 to satisfy Mark D. Klein’s tax obligations upon vesting of restricted shares, at prices of $9.59 and $9.24 per share.

How many SuRo Capital (SSSS) shares does Mark D. Klein beneficially own after the reported transactions?

Following the reported tax-withholding transactions, Mark D. Klein beneficially owns 1,671,021 shares of SuRo Capital common stock.

How are Mark D. Klein’s spouse’s SuRo Capital (SSSS) shares treated in this filing?

The filing states that 779,014 shares of SuRo Capital common stock owned by Mr. Klein’s spouse may be deemed to be beneficially owned by him and are included in his total beneficial ownership.

What was the purpose of the share withholding transactions for SuRo Capital’s CEO?

The shares were withheld to satisfy Mark D. Klein’s tax obligations arising from the vesting of restricted shares on December 10, 2025 and December 15, 2025, and are identified as transactions exempt from Section 16(b) under Rule 16b-3.

Under which equity incentive plans were the restricted SuRo Capital (SSSS) shares granted?

The filing notes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025, and under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025, all subject to vesting schedules.

What is Mark D. Klein’s role at SuRo Capital (SSSS) according to this filing?

According to the filing, Mark D. Klein is a director and serves as chairman, CEO and president of SuRo Capital Corp.