NSLR

SEC source: 0001493152-26-043697 · ownership.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,763,796

F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Neostellar Capital Corp. (the "Company"), or a security holder of the Company, full information regarding the number of shares purchased at each separate price.

F2 · balance_after: This total includes (i) 837,686 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; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026. On June 15, 2026, in connection with the stockholders' approval of the Company's externalization and the Board's approval of the acceleration of vesting of all unvested restricted shares, such plans were terminated and the Reporting Person entered into a lock-up agreement. Such shares are fully vested but remain subject to transfer restrictions under the lock-up agreement that expire on the dates such shares otherwise would have vested.

SEC source: 0001493152-26-041624 · ownership.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Trust

Disclosed balance after: 16,432

F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Neostellar Capital Corp. (the "Company"), or a security holder of the Company, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These shares are held of record by the Ronald M. Lott Family Trust dtd 3/9/1992 (the "Trust"), of which Mr. Lott is a trustee and beneficiary, and may be deemed to be beneficially owned by Mr. Lott. Mr. Lott disclaims beneficial ownership of the shares held by the Trust except to the extent of his pecuniary interest therein.

SEC source: 0001493152-26-040281 · ownership.xml · nonDerivative · entry 1

Falk Erik A · CIK 0001566837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By revocable trust

Disclosed balance after: 50,000

F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Neostellar Capital Corp. (the "Company"), or a security holder of the Company, full information regarding the number of shares purchased at each separate price.

SEC source: 0001493152-26-036923 · ownership.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,758,796

F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Neostellar Capital Corp. (the "Company"), or a security holder of the Company, full information regarding the number of shares purchased at each separate price.

F2 · balance_after: This total includes (i) 811,646 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; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026. On June 15, 2026, in connection with the approval of the Company's externalization by its stockholders and the approval by the Company's Board of Directors of the acceleration of the vesting of all unvested restricted shares, the Reporting Person entered into a lock-up agreement and, accordingly, such shares are fully vested but remain subject to transfer restrictions that expire on the dates on which such shares otherwise would have vested.

SEC source: 0001493152-26-030130 · ownership.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,036

F1 · balance_after: Includes shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which were scheduled to vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being June 10, 2027) and (ii) the date of SuRo Capital Corp.'s annual meeting of stockholders that is closest to the first anniversary of the award date. In connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company approved the acceleration in full of the vesting of the Company's unvested restricted shares, effective as of June 15, 2026.

SEC source: 0001493152-26-028968 · ownership.xml · nonDerivative · entry 2

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,732,756

F3 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on June 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes (i) 811,646 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 vesting schedules; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026, which are subject to vesting schedules. On June 15, 2026, in connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company approved the acceleration of the vesting of the Reporting Person's unvested restricted shares, effective as of June 15, 2026, subject to the Reporting Person's entry into a lock-up agreement that replicates the holding periods of the existing vesting schedules applicable to such shares.

SEC source: 0001493152-26-028970 · ownership.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 207,990

F3 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on June 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes (i) 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 (ii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026, which are subject to certain vesting schedules. On June 15, 2026, in connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company approved the acceleration of the vesting of the Reporting Person's unvested restricted shares, effective as of June 15, 2026, subject to the Reporting Person's entry into a lock-up agreement that replicates the holding periods of the existing vesting schedules applicable to such shares.

SEC source: 0001493152-26-028968 · ownership.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,026,021

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on June 12, 2027, 1/3 vests on June 12, 2028, and 1/3 vests on June 12, 2029.

F2 · balance_after: This total includes (i) 811,646 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 vesting schedules; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026, which are subject to vesting schedules. On June 15, 2026, in connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company approved the acceleration of the vesting of the Reporting Person's unvested restricted shares, effective as of June 15, 2026, subject to the Reporting Person's entry into a lock-up agreement that replicates the holding periods of the existing vesting schedules applicable to such shares.

SEC source: 0001493152-26-028970 · ownership.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 249,805

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on June 12, 2027, 1/3 vests on June 12, 2028, and 1/3 vests on June 12, 2029.

F2 · balance_after: This total includes (i) 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 (ii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026, which are subject to certain vesting schedules. On June 15, 2026, in connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company approved the acceleration of the vesting of the Reporting Person's unvested restricted shares, effective as of June 15, 2026, subject to the Reporting Person's entry into a lock-up agreement that replicates the holding periods of the existing vesting schedules applicable to such shares.

SEC source: 0001493152-26-028550 · ownership.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,536

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which are scheduled to vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being June 10, 2027) and (ii) the date of SuRo Capital Corp.'s annual meeting of stockholders that is closest to the first anniversary of the award date. In connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company may, in its sole discretion, accelerate the vesting of these shares.

SEC source: 0001493152-26-028552 · ownership.xml · nonDerivative · entry 1

Szuch Richard C. · CIK 0002076722 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,303

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which are scheduled to vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being June 10, 2027) and (ii) the date of SuRo Capital Corp.'s annual meeting of stockholders that is closest to the first anniversary of the award date. In connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company may, in its sole discretion, accelerate the vesting of these shares.

SEC source: 0001493152-26-028548 · ownership.xml · nonDerivative · entry 1

Potter Leonard · CIK 0001476217 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,815

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which are scheduled to vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being June 10, 2027) and (ii) the date of SuRo Capital Corp.'s annual meeting of stockholders that is closest to the first anniversary of the award date. In connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company may, in its sole discretion, accelerate the vesting of these shares.

SEC source: 0001493152-26-028554 · ownership.xml · nonDerivative · entry 1

Mazur Marc · CIK 0001361226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,950

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which are scheduled to vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being June 10, 2027) and (ii) the date of SuRo Capital Corp.'s annual meeting of stockholders that is closest to the first anniversary of the award date. In connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company may, in its sole discretion, accelerate the vesting of these shares.

SEC source: 0001493152-26-028556 · ownership.xml · nonDerivative · entry 1

Westley Lisa · CIK 0001783266 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,831

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which are scheduled to vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being June 10, 2027) and (ii) the date of SuRo Capital Corp.'s annual meeting of stockholders that is closest to the first anniversary of the award date. In connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company may, in its sole discretion, accelerate the vesting of these shares.

SEC source: 0001493152-26-019819 · ownership.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Trust

Disclosed balance after: 10,669

F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. 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's, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These shares are held of record by the Ronald M. Lott Family Trust dtd 3/9/1992 (the "Trust"), of which Mr. Lott is a trustee and beneficiary, and may be deemed to be beneficially owned by Mr. Lott. Mr. Lott disclaims beneficial ownership of the shares held by the Trust except to the extent of his pecuniary interest therein.

SEC source: 0001493152-26-018557 · ownership.xml · nonDerivative · entry 2

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,676,021

F1 · balance_after: This total includes (i) 811,646 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 are subject to certain vesting schedules.

SEC source: 0001493152-26-018557 · ownership.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,673,521

F1 · balance_after: This total includes (i) 811,646 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 are subject to certain vesting schedules.

SEC source: 0001493152-25-028025 · ownership.xml · nonDerivative · entry 2

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,671,021

F2 · kind: 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.

F3 · balance_after: 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.

SEC source: 0001493152-25-028023 · ownership.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,805

F2 · kind: 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.

F3 · balance_after: This total includes 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.

SEC source: 0001493152-25-028025 · ownership.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,688,038

F1 · kind: 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.

F3 · balance_after: 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.

SEC source: 0001493152-25-028023 · ownership.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,037

F1 · kind: 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.

F3 · balance_after: This total includes 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.

SEC source: 0001493152-25-024934 · ownership.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,705,055

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 1, 2026, 1/3 vests on December 1, 2027, and 1/3 vests on December 1, 2028.

F2 · balance_after: 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; and (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.

SEC source: 0001493152-25-024932 · ownership.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 198,269

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 1, 2026, 1/3 vests on December 1, 2027, and 1/3 vests on December 1, 2028.

F2 · balance_after: This total includes 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.

SEC source: 0001641172-25-026701 · ownership.xml · nonDerivative · entry 1

Szuch Richard C. · CIK 0002076722 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,767

F1 · kind: The Reporting Person received a cash grant of $50,000 from SuRo Capital Corp. (the "Company"), approved by the Board of Directors on July 30, 2025, as part of director compensation to facilitate the purchase of Company shares. This grant was made to align the director's equity position with other independent directors who received equity grants at the Annual Shareholder Meeting, which occurred prior to the Reporting Person joining the Board.

F2 · price: 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 $8.66 to $8.68 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.

SEC source: 0001641172-25-025167 · ownership.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,623

F1 · price: 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 $8.80 to $8.83 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's, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being May 28, 2026) and (ii) the date of the Company's annual meeting of stockholders that is closest to the first anniversary of the award date.

SEC source: 0001641172-25-023261 · ownership.xml · nonDerivative · entry 2

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,530,590

F3 · price: 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 $8.42 to $8.46 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.

F2 · balance_after: This total includes (i) 14,659 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) 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.

SEC source: 0001641172-25-023261 · ownership.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,520,590

F1 · price: 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 $8.67 to $8.69 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.

F2 · balance_after: This total includes (i) 14,659 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) 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.

SEC source: 0001493152-25-019858 · ownership.xml · nonDerivative · entry 2

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,150

F1 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being May 28, 2026) and (ii) the date of the Company's annual meeting of stockholders that is closest to the first anniversary of the award date.

SEC source: 0001104659-25-055015 · tm2516423-4_4seq1.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,123

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being May 28, 2026) and (ii) the date of SuRo Capital Corp.'s (the "Company's") annual meeting of stockholders that is closest to the first anniversary of the award date.

SEC source: 0001104659-25-055004 · tm2516423-1_4seq1.xml · nonDerivative · entry 1

Potter Leonard · CIK 0001476217 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,279

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being May 28, 2026) and (ii) the date of SuRo Capital Corp.'s (the "Company's") annual meeting of stockholders that is closest to the first anniversary of the award date.

SEC source: 0001104659-25-055012 · tm2516423-3_4seq1.xml · nonDerivative · entry 1

Mazur Marc · CIK 0001361226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,414

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being May 28, 2026) and (ii) the date of SuRo Capital Corp.'s (the "Company's") annual meeting of stockholders that is closest to the first anniversary of the award date.

SEC source: 0001104659-25-055010 · tm2516423-2_4seq1.xml · nonDerivative · entry 1

Westley Lisa · CIK 0001783266 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,295

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being May 28, 2026) and (ii) the date of SuRo Capital Corp.'s (the "Company's") annual meeting of stockholders that is closest to the first anniversary of the award date.

SEC source: 0001104659-25-050523 · tm2515604-1_4seq1.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,516,019

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 1, 2026, 1/3 vests on December 1, 2027, and 1/3 vests on December 1, 2028.

F2 · balance_after: This total includes (i) 14,659 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) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023 and December 10, 2024, which are subject to certain vesting schedules.

SEC source: 0001104659-25-050524 · tm2515604-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,313

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 1, 2026, 1/3 vests on December 1, 2027, and 1/3 vests on December 1, 2028.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023 and December 10, 2024, which are subject to certain vesting schedules.

SEC source: 0001104659-25-046848 · tm2514681-1_4seq1.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,216,019

F1 · price: 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 $5.25 to $5.30 per share. 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.

F2 · balance_after: This total includes (i) 14,659 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) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023 and December 10, 2024, which are subject to certain vesting schedules.

SEC source: 0001104659-25-027416 · tm2510027-1_4seq1.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,311

F1 · price: 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 $5.85 to $5.97 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.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on June 5, 2024, which vest in full on the earlier of (i) the first anniversary of the award date and (ii) the date of the Company's annual meeting of stockholders that is closest to the first anniversary of the award date.

SEC source: 0001104659-25-012222 · tm256399-1_4seq1.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,199,519

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 10, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes (i) 14,659 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) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023 and December 10, 2024, which are subject to certain vesting schedules.

SEC source: 0001104659-25-012229 · tm256399-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,313

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 10, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023 and December 10, 2024, which are subject to certain vesting schedules.

SEC source: 0001493152-25-019858 · ownership.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,189

F1 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being May 28, 2026) and (ii) the date of the Company's annual meeting of stockholders that is closest to the first anniversary of the award date.

SEC source: 0001104659-24-129747 · tm2431258-2_4seq1.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,232,377

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 16, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes (i) 14,659 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) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 9, 2022, December 15, 2023, and December 10, 2024, which are subject to certain vesting schedules.

SEC source: 0001104659-24-129746 · tm2431258-1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,162

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 16, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 9, 2022, December 15, 2023, and December 10, 2024, which are subject to certain vesting schedules.

SEC source: 0001104659-24-128100 · tm2430938-1_4seq1.xml · nonDerivative · entry 2

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,249,394

F3 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 10, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes (i) 14,659 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) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 9, 2022 and December 15, 2023, which are subject to certain vesting schedules.

SEC source: 0001104659-24-128100 · tm2430938-1_4seq1.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,270,666

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 10, 2025, 1/3 vests on December 10, 2026, and 1/3 vests on December 10, 2027.

F2 · balance_after: This total includes (i) 14,659 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) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 9, 2022 and December 15, 2023, which are subject to certain vesting schedules.

SEC source: 0001104659-24-128101 · tm2430938-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 161,733

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 10, 2025, 1/3 vests on December 10, 2026, and 1/3 vests on December 10, 2027.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 9, 2022 and December 15, 2023, which are subject to certain vesting schedules.

SEC source: 0001104659-24-124728 · tm2429966-1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,734

F1 · price: 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 $5.45 to $5.48 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.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 9, 2022 and December 15, 2023, which are subject to certain vesting schedules.

SEC source: 0001104659-24-125509 · tm2430197-2_4seq1.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,170,666

F1 · balance_after: This total includes (i) 14,659 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) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 10, 2021, February 9, 2022, and December 15, 2023, which are subject to certain vesting schedules.

SEC source: 0001104659-24-124149 · tm2429769-1_4seq1.xml · nonDerivative · entry 3

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,169,923

F4 · price: 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 $5.13 to $5.25 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.

F2 · balance_after: This total includes (i) 14,659 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 December 10, 2021, February 9, 2022, and December 15, 2023, 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.

SEC source: 0001104659-24-124149 · tm2429769-1_4seq1.xml · nonDerivative · entry 2

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,130,923

F3 · price: 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 $5.00 to $5.15 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.

F2 · balance_after: This total includes (i) 14,659 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 December 10, 2021, February 9, 2022, and December 15, 2023, 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.

SEC source: 0001104659-24-124149 · tm2429769-1_4seq1.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,098,666

F1 · price: 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 $5.00 to $5.07 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.

F2 · balance_after: This total includes (i) 14,659 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 December 10, 2021, February 9, 2022, and December 15, 2023, 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.

SEC source: 0001104659-24-091355 · tm2422195-1_4seq1.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,088,666

F1 · kind: Acquisition in open market purchase by Mr. Klein's spouse.

F2 · balance_after: This total includes (i) 14,659 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 December 10, 2021, February 9, 2022, and December 15, 2023, 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.