Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Atlantic Alliance Partnership Corp.AAPC · Entity 181250 | Director | November 01, 2016 | November 03, 2016 |
| Churchill Capital Corp VCCV · Entity 108880 | Director | December 15, 2020 | December 16, 2020 |
| Churchill Capital Corp VICCVI · Entity 109345 | Director | February 11, 2021 | February 12, 2021 |
| Churchill Capital Corp VIICVII · Entity 88064 | Director | February 11, 2021 | February 12, 2021 |
| Lucid Group, Inc.CCIV · Entity 1530 | Director | July 29, 2020 | July 30, 2020 |
| Neostellar Capital Corp.NSLR · Entity 6085 | Director · Chairman, CEO and President | September 21, 2026 | September 22, 2026 |
| Skillsoft Corp.CCX · Entity 2275 | Director | June 26, 2019 | June 27, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Atlantic Alliance Partnership Corp.
Report date November 01, 2016 · Filed November 03, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnote | 344,259 |
Last balance in matching sequence
After 2016-11-01 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2016-11-01 · Other · Acquired 24,825 · Balance 300,474 F1: These shares were issued upon the conversion of loans and advances provided to the issuer by the reporting person. F2: AAP Sponsor (PTC) Corp. ("AAP") is the direct beneficial owner of these securities. Through a trust relationship with AAP, M. Klein & Company, LLC ("MK") has a pecuniary interest in 344,259 ordinary shares of the issuer. The reporting person disclaims any pecuniary interest he may have in the shares held by AAP aside from that arising from his ownership interest in AAP through MK. Row 2 · 2016-11-01 · Other · Acquired 43,785 · Balance 344,259 F1: These shares were issued upon the conversion of loans and advances provided to the issuer by the reporting person. F2: AAP Sponsor (PTC) Corp. ("AAP") is the direct beneficial owner of these securities. Through a trust relationship with AAP, M. Klein & Company, LLC ("MK") has a pecuniary interest in 344,259 ordinary shares of the issuer. The reporting person disclaims any pecuniary interest he may have in the shares held by AAP aside from that arising from his ownership interest in AAP through MK. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were issued upon the conversion of loans and advances provided to the issuer by the reporting person.
F2: AAP Sponsor (PTC) Corp. ("AAP") is the direct beneficial owner of these securities. Through a trust relationship with AAP, M. Klein & Company, LLC ("MK") has a pecuniary interest in 344,259 ordinary shares of the issuer. The reporting person disclaims any pecuniary interest he may have in the shares held by AAP aside from that arising from his ownership interest in AAP through MK.
Churchill Capital Corp V
Report date December 15, 2020 · Filed December 16, 2020
This filing explicitly reported no securities owned.
Churchill Capital Corp VI
Report date February 11, 2021 · Filed February 12, 2021
This filing explicitly reported no securities owned.
Churchill Capital Corp VII
Report date February 11, 2021 · Filed February 12, 2021
This filing explicitly reported no securities owned.
Lucid Group, Inc.
Report date July 29, 2020 · Filed July 30, 2020
This filing explicitly reported no securities owned.
Neostellar Capital Corp.
Report date September 21, 2026 · Filed September 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,763,796 |
Reported balance
After 2026-09-21 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-09-21 · Purchase · Acquired 5,000 · Balance 1,763,796 F1: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
Skillsoft Corp.
Report date June 26, 2019 · Filed June 27, 2019
This filing explicitly reported no securities owned.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Claritev Corp
Report date October 06, 2020 · Filed October 08, 2020
Section 16 reporting ended · disclosed 2020-10-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | IndirectSee note | 481,711 |
Last balance in matching sequence
After 2020-10-07 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-10-06 · Purchase · Acquired 220,000 · Balance 220,000 F1: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.098 to $10.48. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1). F3: Mr. Klein has a majority interest in M. Klein & Company, LLC. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein. The Reporting Person disclaims beneficial ownership of any securities of the Issuer except to the extent of the Reporting Person's pecuniary interest therein. Row 2 · 2020-10-07 · Purchase · Acquired 261,711 · Balance 481,711 F2: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.20 to $10.42. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (2). F3: Mr. Klein has a majority interest in M. Klein & Company, LLC. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein. The Reporting Person disclaims beneficial ownership of any securities of the Issuer except to the extent of the Reporting Person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.098 to $10.48. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1).
F2: Represents shares of Class A common stock purchased by M. Klein & Company, LLC in multiple transactions at prices ranging from $10.20 to $10.42. The price reported is a weighted average price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (2).
F3: Mr. Klein has a majority interest in M. Klein & Company, LLC. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein. The Reporting Person disclaims beneficial ownership of any securities of the Issuer except to the extent of the Reporting Person's pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 21, 2026 Filed Sep 22, 2026 18:26 UTC | Neostellar Capital Corp. NSLR · Entity 6085 | PurchaseCommon Stock | 5,000 | $7.91 | $39,550.00 |
DisclosureSEC 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. Read SEC document |
| August 10, 2026 Filed Aug 10, 2026 21:27 UTC | Neostellar Capital Corp. NSLR · Entity 6085 | PurchaseCommon Stock | 26,040 | $9.60 | $249,984.00 |
DisclosureSEC 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. Read SEC document |
| June 15, 2026 Filed Jun 17, 2026 00:23 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 293,265 | $13.56 | $3,976,673.40 |
DisclosureSEC 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. Read SEC document |
| June 12, 2026 Filed Jun 17, 2026 00:23 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | GrantCommon Stock | 350,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| April 22, 2026 Filed Apr 22, 2026 20:06 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 2,500 | $13.25 | $33,125.00 |
DisclosureSEC 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. Read SEC document |
| April 21, 2026 Filed Apr 22, 2026 20:06 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 2,500 | $13.08 | $32,700.00 |
DisclosureSEC 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. Read SEC document |
| December 15, 2025 Filed Dec 16, 2025 23:15 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 17,017 | $9.24 | $157,237.08 |
DisclosureSEC 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. Read SEC document |
| December 10, 2025 Filed Dec 16, 2025 23:15 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 17,017 | $9.59 | $163,193.03 |
DisclosureSEC 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. Read SEC document |
| November 21, 2025 Filed Nov 25, 2025 18:58 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | GrantCommon Stock | 174,465 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 12, 2025 Filed Aug 12, 2025 22:24 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 10,000 | $8.45 | $84,500.00 |
DisclosureSEC 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. Read SEC document |
| August 11, 2025 Filed Aug 12, 2025 22:24 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 4,571 | $8.69 | $39,721.99 |
DisclosureSEC 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. Read SEC document |
| May 16, 2025 Filed May 19, 2025 21:21 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | GrantCommon Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 09, 2025 Filed May 9, 2025 21:26 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 16,500 | $5.26 | $86,790.00 |
DisclosureSEC 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. Read SEC document |
| February 10, 2025 Filed Feb 12, 2025 21:40 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 32,858 | $6.17 | $202,733.86 |
DisclosureSEC 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. Read SEC document |
| December 16, 2024 Filed Dec 18, 2024 21:01 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 17,017 | $6.02 | $102,442.34 |
DisclosureSEC 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. Read SEC document |
| December 10, 2024 Filed Dec 12, 2024 23:09 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 21,272 | $6.14 | $130,610.08 |
DisclosureSEC 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. Read SEC document |
| December 10, 2024 Filed Dec 12, 2024 23:09 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 02, 2024 Filed Dec 4, 2024 21:05 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 743 | $5.49 | $4,079.07 |
DisclosureSEC 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. Read SEC document |
| November 29, 2024 Filed Nov 29, 2024 22:10 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 39,000 | $5.20 | $202,800.00 |
DisclosureSEC 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. Read SEC document |
| November 27, 2024 Filed Nov 29, 2024 22:10 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 32,257 | $5.10 | $164,510.70 |
DisclosureSEC 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. Read SEC document |
| November 26, 2024 Filed Nov 29, 2024 22:10 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 10,000 | $5.03 | $50,300.00 |
DisclosureSEC 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. Read SEC document |
| August 20, 2024 Filed Aug 20, 2024 22:41 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 12,000 | $3.84 | $46,080.00 |
DisclosureSEC 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. Read SEC document |
| February 12, 2024 Filed Feb 14, 2024 01:35 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 41,273 | $3.54 | $146,106.42 |
DisclosureSEC 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. Read SEC document |
| February 09, 2024 Filed Feb 14, 2024 01:35 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 32,285 | $3.39 | $109,446.15 |
DisclosureSEC 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. Read SEC document |
| December 15, 2023 Filed Dec 15, 2023 22:48 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 11, 2023 Filed Dec 13, 2023 21:46 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 21,272 | $4.27 | $90,831.44 |
DisclosureSEC 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. Read SEC document |
| December 06, 2023 Filed Dec 6, 2023 22:00 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 14,815 | $4.11 | $60,889.65 |
DisclosureSEC 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. Read SEC document |
| December 05, 2023 Filed Dec 5, 2023 22:18 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 19,000 | $4.02 | $76,380.00 |
DisclosureSEC 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. Read SEC document |
| December 04, 2023 Filed Dec 5, 2023 22:18 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 19,000 | $4.03 | $76,570.00 |
DisclosureSEC 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. Read SEC document |
| December 01, 2023 Filed Dec 5, 2023 22:18 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 11,885 | $4.00 | $47,540.00 |
DisclosureSEC 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. Read SEC document |
| November 30, 2023 Filed Nov 30, 2023 22:17 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 18,900 | $3.97 | $75,033.00 |
DisclosureSEC 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. Read SEC document |
| November 29, 2023 Filed Nov 30, 2023 22:17 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 19,000 | $4.00 | $76,000.00 |
DisclosureSEC 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. Read SEC document |
| November 28, 2023 Filed Nov 30, 2023 22:17 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 2,400 | $3.96 | $9,504.00 |
DisclosureSEC 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. Read SEC document |
| November 17, 2023 Filed Nov 17, 2023 20:47 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 9,000 | $3.90 | $35,100.00 |
DisclosureSEC 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. Read SEC document |
| February 10, 2023 Filed Feb 14, 2023 00:24 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 40,781 | $3.86 | $157,414.66 |
DisclosureSEC 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. Read SEC document |
| February 09, 2023 Filed Feb 14, 2023 00:24 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 31,900 | $3.83 | $122,177.00 |
DisclosureSEC 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. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 22:44 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 21,271 | $3.76 | $79,978.96 |
DisclosureSEC 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. Read SEC document |
| December 08, 2022 Filed Dec 8, 2022 21:25 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 22,034 | $3.77 | $83,068.18 |
DisclosureSEC 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. Read SEC document |
| December 07, 2022 Filed Dec 8, 2022 21:25 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 21,521 | $3.69 | $79,412.49 |
DisclosureSEC 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. Read SEC document |
| December 06, 2022 Filed Dec 7, 2022 17:25 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 34,500 | $3.70 | $127,650.00 |
DisclosureSEC 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. Read SEC document |
| December 05, 2022 Filed Dec 7, 2022 17:25 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 1,545 | $3.90 | $6,025.50 |
DisclosureSEC 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. Read SEC document |
| November 14, 2022 Filed Nov 14, 2022 21:33 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 25,000 | $4.18 | $104,500.00 |
DisclosureSEC 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. Read SEC document |
| November 11, 2022 Filed Nov 14, 2022 21:33 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 25,000 | $4.34 | $108,500.00 |
DisclosureSEC 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. Read SEC document |
| February 10, 2022 Filed Feb 15, 2022 02:40 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 40,929 | $11.88 | $486,236.52 |
DisclosureSEC 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. Read SEC document |
| February 10, 2022 Filed Jan 13, 2023 23:48 UTC Amendment | Neostellar Capital Corp. SSSS · Entity 6085 | Tax withholdingCommon Stock | 40,929 | $11.88 | $486,236.52 |
DisclosureSEC 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. Read SEC document |
| February 09, 2022 Filed Feb 15, 2022 02:40 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | GrantCommon Stock | 192,791 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 09, 2022 Filed Jan 13, 2023 23:48 UTC Amendment | Neostellar Capital Corp. SSSS · Entity 6085 | GrantCommon Stock | 192,791 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 30, 2021 Filed Jan 3, 2022 21:31 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | OtherCommon Stock | 58,690 | $0.00 | $0.00 |
DisclosureSEC 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 Read SEC document |
| December 14, 2021 Filed Dec 15, 2021 00:11 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 11,600 | $11.37 | $131,892.00 |
DisclosureSEC 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 00:11 UTC | Neostellar Capital Corp. SSSS · Entity 6085 | PurchaseCommon Stock | 10,000 | $11.76 | $117,600.00 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.