Other Information
−Removed: For the period covered
−Removed: by this Quarterly Report on Form 10-Q, no director or officer of the Company has entered into any (i) contract, instruction or written
−Removed: plan for the purchase or sale of securities of the registrant intended to satisfy the affirmative defense conditions of Rule 10b5-1(c)
−Removed: under the Exchange Act or (ii) any no n-Rule 10b5-1 trading arrangement.
−Removed: The Company has adopted
−Removed: insider trading policies and procedures governing the purchase, sale, and disposition of the Company’s securities by officers and directors
−Removed: of the Company that are reasonably designed to promote compliance with insider trading laws, rules and regulations.
+Added: the period covered by this Quarterly Report on Form 10-Q, no director or officer of the Company has entered into any (i) contract, instruction
+Added: or written plan for the purchase or sale of securities of the registrant intended to satisfy the affirmative defense conditions of Rule
+Added: 10b5-1(c) under the Exchange Act or (ii) any no n-Rule 10b5-1 trading arrangement .
+Added: Company has adopted insider trading policies and procedures governing the purchase, sale, and disposition of the Company’s securities
+Added: by officers and directors of the Company that are reasonably designed to promote compliance with insider trading laws, rules and regulations.
following exhibits are filed as part of this report or hereby incorporated by reference to exhibits previously filed with the SEC:
10 unchanged sentences
Description of Securities (7)
−Removed: Custody Agreement, dated as of April 19, 2023, by and among the Company and Western Alliance Trust Company, N.A., as Custodian.
Certification of Chief Executive Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended*
2 unchanged sentences
Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002*
+Added: (1) Previously
filed in connection with Pre-Effective Amendment No.
−Removed: 2 to the Registrant’s Registration Statement on Form N-2 (File No.
−Removed: filed on March 30, 2011, and incorporated by reference herein.
+Added: 2 to the Registrant’s Registration
+Added: Statement on Form N-2 (File No.
+Added: 333-171578), filed on March 30, 2011, and incorporated by
+Added: reference herein.
+Added: (2) Previously
filed in connection with the Registrant’s Current Report on Form 8-K (File No.
−Removed: 814-00852), filed on June 1, 2011, and incorporated
−Removed: by reference herein.
+Added: filed on June 1, 2011, and incorporated by reference herein.
+Added: (3) Previously
filed in connection with the Registrant’s Current Report on Form 8-K (File No.
−Removed: 814-00852) filed on August 1, 2019, and incorporated
−Removed: by reference herein.
+Added: filed on August 1, 2019, and incorporated by reference herein.
+Added: (4) Previously
filed in connection with the Registrant’s Current Report on Form 8-K (File No.
−Removed: 814-00852) filed on June 16, 2020, and incorporated
−Removed: by reference herein.
−Removed: filed in connection with the Registrant’s Registration Statement on Form N-2 (File No.
−Removed: 333-239681), filed on July 2, 2020,
−Removed: and incorporated by reference herein.
+Added: filed on June 16, 2020, and incorporated by reference herein.
+Added: (5) Previously
+Added: filed in connection with the Registrant’s Registration Statement on Form N-2 (File
+Added: 333-239681), filed on July 2, 2020, and incorporated by reference herein.
+Added: (6) Previously
filed in connection with the Registrant’s Current Report on Form 8-K (File No.
−Removed: 814-00852) filed on December 17, 2021, and incorporated
−Removed: by reference herein.
+Added: filed on December 17, 2021, and incorporated by reference herein.
+Added: (7) Previously
filed in connection with the Registrant’s Annual Report on Form 10-K (File No.
−Removed: 814-00852) filed on March 11, 2022, and incorporated
−Removed: by reference herein.
−Removed: filed in connection with the Registrant’s Current Report on Form 8-K (File No.
−Removed: 814-00852) filed on April 19, 2023, and incorporated
−Removed: by reference herein.
+Added: filed on March 11, 2022, and incorporated by reference herein.
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned, thereunto duly authorized.
−Removed: SURO CAPITAL CORP.
+Added: CAPITAL CORP.
+Added: November 9, 2023
President and Chief Executive Officer
Executive Officer)
+Added: November 9, 2023
Allison Green
2 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.