SuRo Cap Corp (SSSS)

Sector:
FINANCE
Industry:
CORPORATE FINANCE
SIC:
CEO:
Mark David Klein
Employees:
4,600
ONE SANSOME STREET SUITE 730 SAN FRANCISCO CA 94104
(650) 235-4769

Suro Capital Corp is a non-diversified closed-ended fund company. The fund invests in public and private companies located in the US and Non-US. It targets companies operating in the fields of social media, mobile computing and apps, cloud computing, software services, green technology, and education technology. It makes minority investments and provides financing for later-stage capital requirements.

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Funds Holding SSSS (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding SSSS BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

27.5 Thousand total shares from 3 transactions

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

KLEIN MARK D CHAIRMAN, CEO AND PRESIDENT

  • Officer
  • Director
769,986 2021-12-30 7

GREEN ALLISON SEE REMARKS

  • Officer
74,128 2021-12-30 6

LOTT RONALD M.

  • Director
10,675 2021-08-10 2

MAZUR MARC

  • Director
17,397 2021-07-09 1

POTTER LEONARD

  • Director
44,583 2021-07-09 1

WESTLEY LISA

  • Director
10,250 2021-07-09 1

BIRCH ROBERT S.

  • OWNER
No longer subject to file 2021-04-09 4

MOE MICHAEL T.

  • Director
71,572 2018-06-19 0

POTTRUCK DAVID S

  • Director
25,000 2018-05-11 0

PINE RIVER CAPITAL MANAGEMENT L.P.

TAYLOR BRIAN

PINE RIVER MASTER FUND LTD.

  • NO LONGER 10% OWNERNO LONGER 10% OWNERNO LONGER 10% OWNER
No longer subject to file 2017-02-24 0

FLYNN MARK W. PRESIDENT

  • Officer
  • Director
5,000 2016-03-24 0

KOENIG BRADFORD C.

  • Director
0 2015-02-11 0

TANONA WILLIAM F. CFO, TREASURER AND SECRETARY

  • Officer
10,000 2014-11-13 0

BARD STEPHEN D.

  • SEE REMARKS
No longer subject to file 2014-06-18 0

RIZZO CARL M CHIEF COMPLIANCE OFFICER

  • Officer
0 2014-06-18 0

CROWDER DAVID V. EXECUTIVE VICE PRESIDENT

  • Officer
13,825 2013-11-19 0

FRIEDMAN CATHY

  • Director
0 2013-03-08 0

CAMPBELL WILLIAM V

  • Director
0 2012-10-02 0

SPRENG R DAVID

  • Director
1,666 2011-05-03 0

LAPPING PAUL CHIEF OPERATING OFFICER

  • Officer
16,667 2011-05-03 0

PAMPOULOV LUBEN VICE PRESIDENT

  • Officer
0 2011-04-28 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

GREEN ALLISON - Officer SEE REMARKS

2022-01-03 16:34:22 -0500 2021-12-30 J 8,871 a 74,128 direct -2.5296 1.8182 1.8182 6 -2.5296 2

KLEIN MARK D - Director - Officer CHAIRMAN, CEO AND PRESIDENT

2022-01-03 16:31:26 -0500 2021-12-30 J 58,690 a 769,986 direct -2.5296 1.8182 1.8182 6 -2.5296 2

GREEN ALLISON - Officer SEE REMARKS

2021-12-22 16:34:24 -0500 2021-12-22 P 5,860 $12.76 a 65,257 direct 1.1128 1.6085 2.6677 3 0.0 1

KLEIN MARK D - Director - Officer CHAIRMAN, CEO AND PRESIDENT

2021-12-14 19:11:01 -0500 2021-12-14 P 11,600 $11.37 a 711,296 direct -0.4259 9.9659 9.9659 6 -0.4259 2

KLEIN MARK D - Director - Officer CHAIRMAN, CEO AND PRESIDENT

2021-12-14 19:11:01 -0500 2021-12-13 P 10,000 $11.76 a 699,696 direct -0.4259 9.9659 9.9659 6 -0.4259 2

KLEIN MARK D - Director - Officer CHAIRMAN, CEO AND PRESIDENT

2021-12-14 19:11:01 -0500 2021-12-10 A 125,000 a 689,696 direct -0.4259 9.9659 9.9659 6 -0.4259 2

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
SURO CAPITAL CORP SSSS 2022-01-17 20:45:03 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 20:15:04 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 19:45:03 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 19:15:03 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 18:45:03 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 18:15:03 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 17:45:03 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 17:15:03 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 16:45:03 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 16:15:04 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 15:45:03 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 15:15:03 UTC -2.6093 2.6793 1000000
SURO CAPITAL CORP SSSS 2022-01-17 14:45:03 UTC -1.234 1.304 1000000
SURO CAPITAL CORP SSSS 2022-01-17 14:15:03 UTC -1.234 1.304 1000000
SURO CAPITAL CORP SSSS 2022-01-17 13:45:03 UTC -1.234 1.304 1000000
SURO CAPITAL CORP SSSS 2022-01-17 13:15:03 UTC -1.234 1.304 1000000
SURO CAPITAL CORP SSSS 2022-01-17 12:45:03 UTC -1.234 1.304 1000000
SURO CAPITAL CORP SSSS 2022-01-14 22:15:03 UTC -1.0424 1.1124 1000000
SURO CAPITAL CORP SSSS 2022-01-14 21:45:03 UTC -1.0424 1.1124 1000000
SURO CAPITAL CORP SSSS 2022-01-14 21:15:03 UTC -1.0424 1.1124 1000000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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