NSLR

SEC source: 0001104659-24-069624 · tm2416744-1_4seq1.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,311

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 June 5, 2025) 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: 0001104659-24-069642 · tm2416744-4_4seq1.xml · nonDerivative · entry 1

Potter Leonard · CIK 0001476217 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,467

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 June 5, 2025) 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: 0001104659-24-069638 · tm2416744-2_4seq1.xml · nonDerivative · entry 1

Mazur Marc · CIK 0001361226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,602

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 June 5, 2025) 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: 0001104659-24-069641 · tm2416744-3_4seq1.xml · nonDerivative · entry 1

Westley Lisa · CIK 0001783266 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,483

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 June 5, 2025) 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: 0001104659-24-022530 · tm246155-1_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: 1,076,666

F3 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 12, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F4 · balance_after: 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 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: 0001104659-24-022532 · tm246155-2_4seq1.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,634

F3 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 12, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F4 · balance_after: This total includes (i) 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, and (ii) shares of 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: 0001104659-24-022530 · tm246155-1_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: 1,117,939

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 9, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: 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, 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: 0001104659-24-022532 · tm246155-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,765

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 9, 2024. 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 February 10, 2021, February 9, 2022, and December 15, 2023, which are subject to certain vesting schedules, and (ii) shares of 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: 0001104659-23-126483 · tm2333049-1_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: 1,150,224

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 15, 2024, 1/3 vests on December 15, 2025, and 1/3 vests on December 15, 2026.

F2 · balance_after: 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.

SEC source: 0001104659-23-126485 · tm2333049-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 146,597

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 15, 2024, 1/3 vests on December 15, 2025, and 1/3 vests on December 15, 2026.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of 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: 0001104659-23-125734 · tm2332840-1_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: 1,050,224

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 11, 2023. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: 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.

SEC source: 0001104659-23-124026 · tm2332371-1_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: 1,071,496

F1 · balance_after: 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.

SEC source: 0001104659-23-123661 · tm2332244-1_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: 1,056,681

F1 · balance_after: 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.

SEC source: 0001104659-23-123661 · tm2332244-1_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: 1,037,681

F1 · balance_after: 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.

SEC source: 0001104659-23-123692 · tm2332244-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,597

F1 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of 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: 0001104659-23-123661 · tm2332244-1_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: 1,018,681

F1 · balance_after: 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.

SEC source: 0001104659-23-122483 · tm2331885-1_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: 1,006,796

F1 · balance_after: 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.

SEC source: 0001104659-23-122483 · tm2331885-1_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: 987,896

F1 · balance_after: 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.

SEC source: 0001104659-23-122483 · tm2331885-1_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: 968,896

F1 · balance_after: 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.

SEC source: 0001104659-23-119491 · tm2331085-1_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: 966,496

F1 · balance_after: 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.

SEC source: 0001104659-23-067714 · tm2317630-4_4seq1.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,263

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 31, 2024) 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: 0001104659-23-067711 · tm2317630-1_4seq1.xml · nonDerivative · entry 1

Potter Leonard · CIK 0001476217 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,419

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 31, 2024) 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: 0001104659-23-067713 · tm2317630-3_4seq1.xml · nonDerivative · entry 1

Mazur Marc · CIK 0001361226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,554

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 31, 2024) 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: 0001104659-23-067712 · tm2317630-2_4seq1.xml · nonDerivative · entry 1

Westley Lisa · CIK 0001783266 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,435

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 31, 2024) 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: 0001104659-23-020017 · tm236498-2_4seq1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 957,496

F3 · kind: 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.

F2 · balance_after: 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.

SEC source: 0001104659-23-020016 · tm236498-1_4seq1.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,547

F3 · kind: 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.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of 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: 0001104659-23-020017 · tm236498-2_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 998,277

F1 · kind: 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 · balance_after: 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.

SEC source: 0001104659-23-020016 · tm236498-1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,329

F1 · kind: 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 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of 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: 0001104659-22-126699 · tm2232646-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,030,814

F1 · kind: 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 · balance_after: 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.

SEC source: 0001104659-22-125948 · tm2232400-1_4seq1.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,785

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 $3.78 to $3.83 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) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of 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: 0001104659-22-125498 · tm2232311-1_4seq1.xml · nonDerivative · entry 2

Klein Mark D · CIK 0001322402 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,052,085

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 $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.

F2 · balance_after: 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.

SEC source: 0001104659-22-125948 · tm2232400-1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,935

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 $3.72 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.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of 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: 0001104659-22-125498 · tm2232311-1_4seq1.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,030,051

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 $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.

F2 · balance_after: 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.

SEC source: 0001104659-22-125111 · tm2232184-1_4seq1.xml · nonDerivative · entry 2

Klein Mark D · CIK 0001322402 · Director · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,008,530

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 $3.65 to $3.75 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.

F1 · balance_after: This total includes (i) 2,659 shares of SuRo Capital Corp.'s (the "Company") 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.

SEC source: 0001104659-22-125111 · tm2232184-1_4seq1.xml · nonDerivative · entry 1

Klein Mark D · CIK 0001322402 · Director · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 974,030

F1 · balance_after: This total includes (i) 2,659 shares of SuRo Capital Corp.'s (the "Company") 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.

SEC source: 0001104659-22-118630 · tm2230512-1_4seq1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 972,485

F1 · balance_after: This total includes (i) 2,659 shares of SuRo Capital Corp.'s (the "Company") 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.

SEC source: 0001104659-22-118630 · tm2230512-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 947,485

F1 · balance_after: This total includes (i) 2,659 shares of SuRo Capital Corp.'s (the "Company") 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.

SEC source: 0001104659-22-068200 · tm2217669-4_4seq1.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,248

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 June 1, 2023) 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: 0001104659-22-067948 · tm2217669-1_4seq1.xml · nonDerivative · entry 1

Potter Leonard · CIK 0001476217 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,404

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 June 1, 2023) 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: 0001104659-22-067949 · tm2217669-3_4seq1.xml · nonDerivative · entry 1

Mazur Marc · CIK 0001361226 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,539

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 June 1, 2023) 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: 0001104659-22-068199 · tm2217669-2_4seq1.xml · nonDerivative · entry 1

Westley Lisa · CIK 0001783266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,420

F1 · kind: Relates to restricted shares granted under the SuRo Capital Corp. 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 June 1, 2023) 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: 0001104659-22-023403 · tm226794d2_4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 922,485

F4 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 10, 2022. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F3 · balance_after: This total includes (i) 2,659 shares of SuRo Capital Corp.'s (the "Company") 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.

SEC source: 0001104659-22-023400 · tm226794d1_4.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,877

F4 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 10, 2022. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F3 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 201 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of 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: 0001104659-23-003911 · tm233483-1_4aseq1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 921,848

F4 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 10, 2022. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F3 · balance_after: This total includes (i) 2,659 shares of SuRo Capital Corp.'s (the "Company") 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.

SEC source: 0001104659-22-023403 · tm226794d2_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 962,777

F1 · kind: Transaction reported late due to administrative delay.

F2 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 9, 2023, 1/3 vests on February 9, 2024 and 1/3 vests on February 9, 2025.

F3 · balance_after: This total includes (i) 2,659 shares of SuRo Capital Corp.'s (the "Company") 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.

SEC source: 0001104659-22-023400 · tm226794d1_4.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,164

F1 · kind: Transaction reported late due to administrative delay.

F2 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 9, 2023, 1/3 vests on February 9, 2024 and 1/3 vests on February 9, 2025.

F3 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 201 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of 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: 0001104659-23-003911 · tm233483-1_4aseq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 962,777

F1 · kind: Transaction reported late due to administrative delay.

F2 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 9, 2023, 1/3 vests on February 9, 2024 and 1/3 vests on February 9, 2025.

F3 · balance_after: This total includes (i) 2,659 shares of SuRo Capital Corp.'s (the "Company") 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.

SEC source: 0001104659-22-000424 · tm221357-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 769,986

F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with dividends, including the $2.00 per share dividend declared by the Board of Directors of the Company on November 2, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

F1 · shares: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with dividends, including the $2.00 per share dividend declared by the Board of Directors of the Company on November 2, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

F2 · balance_after: 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, (ii)(A) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (B) 92,087 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 schedule as such restricted shares, and (iii) 125,000 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, 2022, 1/3 vests on December 10, 2023 and 1/3 vests on December 10, 2024

SEC source: 0001104659-22-000427 · tm221357d2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,128

F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.00 per share dividend declared by the Board of Directors of the Company on November 2, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

F1 · shares: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.00 per share dividend declared by the Board of Directors of the Company on November 2, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

F2 · balance_after: This total includes (i) 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (ii) 17,014 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 schedule as such restricted shares.

SEC source: 0001104659-21-152657 · tm2136170d1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,257

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 $12.70 to $12.78 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) 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (ii) 11,097 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 schedule as such restricted shares.