NSLR

SEC source: 0001104659-21-149649 · tm2135479-1_4seq1.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 711,296

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 $11.34 to $11.38 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) 1,667 shares of the 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, (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) 60,060 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: 0001104659-21-149649 · tm2135479-1_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: 699,696

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 $11.74 to $11.78 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) 1,667 shares of the 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, (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) 60,060 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: 0001104659-21-149649 · tm2135479-1_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: 689,696

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, 2022, 1/3 vests on December 10, 2023 and 1/3 vests on December 10, 2024.

F1 · shares: 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.

F2 · balance_after: This total includes (i) 1,667 shares of the 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, (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) 60,060 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: 0001104659-22-023277 · tm226713d1_5.xml · nonDerivative · entry 2

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,564

F1 · kind: The reporting person is hereby disclosing a delinquent Form 4 transaction.

F2 · balance_after: Total as of SuRo Capital Corp.'s (the "Company") fiscal year ended December 31, 2021; includes (1) 3,770 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of the (A) first anniversary of the award date (with such first anniversary being July 9, 2022) and (B) date of the Company's annual meeting of stockholders that is closest to the first anniversary of the award date (the "Vesting Schedule), (2) 1,282 shares of the Company's common stock received in connection with dividends on such 3,770 restricted shares, which are also restricted and subject to the Vesting Schedule, and (3) unrestricted shares of the Company's common stock received in connection with dividends.

SEC source: 0001104659-21-122687 · tm2129265d1_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: 564,696

F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 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 $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 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) 1,667 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) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which have dividend rights and 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 (iii) 60,060 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: 0001104659-21-122688 · tm2129265d2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,397

F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 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 $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 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 have dividend rights and 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.

SEC source: 0001104659-21-104406 · tm2125000-1_4seq1.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,675

F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $15.55 to $15.61, inclusive. The reporting person undertakes to provide to SuRo Capital Corp. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Total includes 3,770 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of the (i) first anniversary of the award date for such restricted shares (with such first anniversary being July 9, 2022) and (ii) date of the Company's annual meeting of stockholders that is closest to such first anniversary of the award date.

SEC source: 0001104659-21-102159 · tm2124598-1_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: 506,757

F1 · balance_after: This total includes (i) 1,667 shares of SuRo Capital Corp.'s common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, and (ii) 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.

SEC source: 0001104659-21-091813 · tm2122112d4_4.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,350

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 the (i) first anniversary of the award date (with such first anniversary being July 9, 2022) and (ii) date of SuRo Capital Corp.'s (the "Company") annual meeting of stockholders that is closest to the first anniversary of the award date.

F1 · shares: 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 the (i) first anniversary of the award date (with such first anniversary being July 9, 2022) and (ii) date of SuRo Capital Corp.'s (the "Company") annual meeting of stockholders that is closest to the first anniversary of the award date.

F2 · balance_after: This total includes 1,040 shares of the Company's common stock acquired in connection with a dividend of the Company.

SEC source: 0001104659-21-091810 · tm2122112d1_4.xml · nonDerivative · entry 1

Potter Leonard · CIK 0001476217 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,583

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 the (i) first anniversary of the award date (with such first anniversary being July 9, 2022) and (ii) date of SuRo Capital Corp.'s (the "Company") annual meeting of stockholders that is closest to the first anniversary of the award date.

F1 · shares: 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 the (i) first anniversary of the award date (with such first anniversary being July 9, 2022) and (ii) date of SuRo Capital Corp.'s (the "Company") annual meeting of stockholders that is closest to the first anniversary of the award date.

F2 · balance_after: This total includes 1,040 shares of the Company's common stock acquired in connection with a dividend of the Company.

SEC source: 0001104659-21-091811 · tm2122112d2_4.xml · nonDerivative · entry 1

Mazur Marc · CIK 0001361226 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,397

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 the (i) first anniversary of the award date (with such first anniversary being July 9, 2022) and (ii) date of SuRo Capital Corp.'s (the "Company") annual meeting of stockholders that is closest to the first anniversary of the award date.

F1 · shares: 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 the (i) first anniversary of the award date (with such first anniversary being July 9, 2022) and (ii) date of SuRo Capital Corp.'s (the "Company") annual meeting of stockholders that is closest to the first anniversary of the award date.

F2 · balance_after: This total includes (i) 1,040 shares of the Company's common stock and (ii) 1,147 shares of the Company's common stock acquired in connection with a dividend of the Company.

SEC source: 0001104659-21-091812 · tm2122112d3_4.xml · nonDerivative · entry 1

Westley Lisa · CIK 0001783266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,250

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 the (i) first anniversary of the award date (with such first anniversary being July 9, 2022) and (ii) date of SuRo Capital Corp.'s (the "Company") annual meeting of stockholders that is closest to the first anniversary of the award date.

F1 · shares: 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 the (i) first anniversary of the award date (with such first anniversary being July 9, 2022) and (ii) date of SuRo Capital Corp.'s (the "Company") annual meeting of stockholders that is closest to the first anniversary of the award date.

F2 · balance_after: This total includes 1,040 shares of the Company's common stock acquired in connection with a dividend of the Company.

SEC source: 0001104659-21-088306 · tm2121294d2_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: 500,257

F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.50 per share dividend declared by the Board of Directors of the Company on May 4, 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 $2.50 per share dividend declared by the Board of Directors of the Company on May 4, 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) 1,667 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) 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. Such restricted shares have dividend rights, with the cash or stock dividends paid or distributed with respect thereto being fully vested and nonforfeitable upon receipt.

SEC source: 0001104659-21-088981 · tm2121294d1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,939

F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.50 per share dividend declared by the Board of Directors of the Company on May 4, 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 $2.50 per share dividend declared by the Board of Directors of the Company on May 4, 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 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. Such restricted shares have dividend rights, with the cash or stock dividends paid or distributed with respect thereto being fully vested and nonforfeitable upon receipt.

SEC source: 0001104659-21-064564 · tm2115965d1_4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,350

F1 · balance_after: This total includes (i) 1,667 shares of SuRo Capital Corp.'s common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, and (ii) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 will vest on February 10, 2022, 1/3 will vest on February 10, 2023, and 1/3 will vest on February 10, 2024.

SEC source: 0001104659-21-064564 · tm2115965d1_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 447,400

F1 · balance_after: This total includes (i) 1,667 shares of SuRo Capital Corp.'s common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein, and (ii) 154,362 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 will vest on February 10, 2022, 1/3 will vest on February 10, 2023, and 1/3 will vest on February 10, 2024.

SEC source: 0001420506-21-000405 · doc4_926.xml · nonDerivative · entry 3

Birch Robert S. · CIK 0001794501 · Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,991,263

SEC source: 0001420506-21-000405 · doc4_926.xml · nonDerivative · entry 2

Birch Robert S. · CIK 0001794501 · Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,009,263

SEC source: 0001420506-21-000405 · doc4_926.xml · nonDerivative · entry 1

Birch Robert S. · CIK 0001794501 · Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,055,263

SEC source: 0001104659-22-023277 · tm226713d1_5.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,564

F1 · kind: The reporting person is hereby disclosing a delinquent Form 4 transaction.

F2 · balance_after: Total as of SuRo Capital Corp.'s (the "Company") fiscal year ended December 31, 2021; includes (1) 3,770 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest in full on the earlier of the (A) first anniversary of the award date (with such first anniversary being July 9, 2022) and (B) date of the Company's annual meeting of stockholders that is closest to the first anniversary of the award date (the "Vesting Schedule), (2) 1,282 shares of the Company's common stock received in connection with dividends on such 3,770 restricted shares, which are also restricted and subject to the Vesting Schedule, and (3) unrestricted shares of the Company's common stock received in connection with dividends.

SEC source: 0001171520-21-000159 · doc4_923.xml · nonDerivative · entry 3

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,117,845

SEC source: 0001171520-21-000159 · doc4_923.xml · nonDerivative · entry 2

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,240,496

SEC source: 0001171520-21-000159 · doc4_923.xml · nonDerivative · entry 1

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,515,496

SEC source: 0001420506-21-000381 · doc4_922.xml · nonDerivative · entry 2

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,626,496

SEC source: 0001420506-21-000381 · doc4_922.xml · nonDerivative · entry 1

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,726,496

SEC source: 0001420506-21-000370 · doc4_915.xml · nonDerivative · entry 2

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,873,496

SEC source: 0001420506-21-000370 · doc4_915.xml · nonDerivative · entry 1

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,884,496

SEC source: 0001104659-21-033173 · tm219030d1_4.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,133

F1 · kind: Transaction reported on this Form 4 effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 8, 2020.

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 $11.98 to $12.00 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vest on February 10, 2022, 1/3 vest on February 10, 2023, and 1/3 vest on February 10, 2024.

SEC source: 0001104659-21-033173 · tm219030d1_4.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,523

F1 · kind: Transaction reported on this Form 4 effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 8, 2020.

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 $11.74 to $11.97 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vest on February 10, 2022, 1/3 vest on February 10, 2023, and 1/3 vest on February 10, 2024.

SEC source: 0001104659-21-021474 · tm216450d2_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 443,612

F1 · kind: Restricted shares granted under SuRo Capital Corp.'s (the "Company") Amended and Restated 2019 Equity Incentive Plan.

F2 · kind: Such restricted shares will vest as follows: 1/3 will vest on February 10, 2022, 1/3 will vest on February 10, 2023, and 1/3 will vest on February 10, 2024.

F3 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein.

SEC source: 0001104659-21-021466 · tm216450d1_4.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,523

F1 · kind: Restricted shares granted under SuRo Capital Corp.'s Amended and Restated 2019 Equity Incentive Plan.

F2 · kind: Such restricted shares will vest as follows: 1/3 will vest on February 10, 2022, 1/3 will vest on February 10, 2023, and 1/3 will vest on February 10, 2024.

SEC source: 0001104659-20-132002 · tm2037673-1_4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,250

F1 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein.

SEC source: 0001104659-20-132002 · tm2037673-1_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,250

SEC source: 0001104659-20-126858 · tm2036370d1_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,675

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 $10.42 to $10.64 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Issuer") or a security holder of the Issuer 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 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein.

SEC source: 0001104659-20-126457 · tm2036300-1_4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,566

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 $10.20 to $10.38 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein.

SEC source: 0001104659-20-126457 · tm2036300-1_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,905

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 $9.65 to $9.95 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001104659-20-124006 · tm2035707-1_4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,905

F1 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein.

SEC source: 0001104659-20-124006 · tm2035707-1_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,705

SEC source: 0001104659-20-080694 · tm2023968d1_4.xml · nonDerivative · entry 1

LOTT RONALD M. · CIK 0001055003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,540

F1 · kind: Restricted shares issued under SuRo Capital Corp.'s (the "Company") Amended and Restated 2019 Equity Incentive Plan.

F2 · kind: Such restricted shares shall vest in full on the first anniversary of the award date (with such first anniversary being July 2, 2021) (or, if earlier, the Company's annual meeting of stockholders that is closest to the first anniversary of the award date).

F2 · balance_after: Such restricted shares shall vest in full on the first anniversary of the award date (with such first anniversary being July 2, 2021) (or, if earlier, the Company's annual meeting of stockholders that is closest to the first anniversary of the award date).

SEC source: 0001104659-20-080698 · tm2023968d4_4.xml · nonDerivative · entry 1

Potter Leonard · CIK 0001476217 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,773

F1 · kind: Restricted shares issued under SuRo Capital Corp.'s (the "Company") Amended and Restated 2019 Equity Incentive Plan.

F2 · kind: Such restricted shares shall vest in full on the first anniversary of the award date (with such first anniversary being July 2, 2021) (or, if earlier, the Company's annual meeting of stockholders that is closest to the first anniversary of the award date).

F2 · balance_after: Such restricted shares shall vest in full on the first anniversary of the award date (with such first anniversary being July 2, 2021) (or, if earlier, the Company's annual meeting of stockholders that is closest to the first anniversary of the award date).

SEC source: 0001104659-20-080695 · tm2023968d2_4.xml · nonDerivative · entry 1

Mazur Marc · CIK 0001361226 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,440

F1 · kind: Restricted shares issued under SuRo Capital Corp.'s (the "Company") Amended and Restated 2019 Equity Incentive Plan.

F2 · kind: Such restricted shares shall vest in full on the first anniversary of the award date (with such first anniversary being July 2, 2021) (or, if earlier, the Company's annual meeting of stockholders that is closest to the first anniversary of the award date).

F2 · balance_after: Such restricted shares shall vest in full on the first anniversary of the award date (with such first anniversary being July 2, 2021) (or, if earlier, the Company's annual meeting of stockholders that is closest to the first anniversary of the award date).

SEC source: 0001104659-20-080696 · tm2023968d3_4.xml · nonDerivative · entry 1

Westley Lisa · CIK 0001783266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,440

F1 · kind: Restricted shares issued under SuRo Capital Corp.'s (the "Company") Amended and Restated 2019 Equity Incentive Plan.

F2 · kind: Such restricted shares shall vest in full on the first anniversary of the award date (with such first anniversary being July 2, 2021) (or, if earlier, the Company's annual meeting of stockholders that is closest to the first anniversary of the award date).

F2 · balance_after: Such restricted shares shall vest in full on the first anniversary of the award date (with such first anniversary being July 2, 2021) (or, if earlier, the Company's annual meeting of stockholders that is closest to the first anniversary of the award date).

SEC source: 0001104659-20-080706 · tm2024039d1_4.xml · nonDerivative · entry 2

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,923,896

SEC source: 0001104659-20-080706 · tm2024039d1_4.xml · nonDerivative · entry 1

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,915,096

SEC source: 0001104659-20-078968 · tm2023791d1_4.xml · nonDerivative · entry 3

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,911,896

SEC source: 0001104659-20-078968 · tm2023791d1_4.xml · nonDerivative · entry 2

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,905,227

SEC source: 0001104659-20-078968 · tm2023791d1_4.xml · nonDerivative · entry 1

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,866,176

SEC source: 0001104659-20-077417 · tm2023584d1_4.xml · nonDerivative · entry 1

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,841,176

SEC source: 0001104659-20-076752 · tm2023382d1_4.xml · nonDerivative · entry 2

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,825,176

SEC source: 0001104659-20-076752 · tm2023382d1_4.xml · nonDerivative · entry 1

Birch Robert S. · CIK 0001794501 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,765,176