Item 5. Other Information
Item
5. Other Information
For
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
or written plan for the purchase or sale of securities of the registrant intended to satisfy the affirmative defense conditions of Rule
10b5-1 (c) under the Exchange Act or (ii) any non-Rule 10b5-1 trading arrangement.
The
Company has adopted insider trading policies and procedures governing the purchase, sale, and disposition of the Company’s securities
by officers and directors of the Company that are reasonably designed to promote compliance with insider trading laws, rules and regulations.
54
TABLE OF CONTENTS
Item
6. Exhibits
The
following exhibits are filed as part of this report or hereby incorporated by reference to exhibits previously filed with the SEC:
3.1
Articles
of Amendment and Restatement (1)
3.2
Articles of Amendment (2)
3.3
Articles of Amendment (3)
3.4
Articles of Amendment (4)
3.5
Second Amended and Restated Bylaws (4)
4.1
Base
Indenture, dated March 28, 2018, by and between the Registrant and U.S. Bank National Association, as trustee (5)
4.2
Second Supplemental Indenture, dated December 17, 2021, relating to the 6.00% Notes due 2026, by and between the Company and U.S. Bank National Association, as trustee (6)
4.3
Form of 6.00% Notes due 2026 (incorporated by reference to Exhibit 4.2) (6)
4.4
Description of Securities (7)
31.1
Certification of Chief Executive Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended*
31.2
Certification of Chief Financial Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended*
32.1
Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002*
32.2
Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002*
(1)
Previously
filed in connection with Pre-Effective Amendment No. 2 to the Registrant’s Registration Statement on Form N-2 (File No. 333-171578),
filed on March 30, 2011, and incorporated by reference herein.
(2)
Previously
filed in connection with the Registrant’s Current Report on Form 8-K (File No. 814-00852), filed on June 1, 2011, and incorporated
by reference herein.
(3)
Previously
filed in connection with the Registrant’s Current Report on Form 8-K (File No. 814-00852) filed on August 1, 2019, and incorporated
by reference herein.
(4)
Previously
filed in connection with the Registrant’s Current Report on Form 8-K (File No. 814-00852) filed on June 16, 2020, and incorporated
by reference herein.
(5)
Previously
filed in connection with the Registrant’s Registration Statement on Form N-2 (File No. 333-239681), filed on July 2, 2020,
and incorporated by reference herein.
(6)
Previously
filed in connection with the Registrant’s Current Report on Form 8-K (File No. 814-00852) filed on December 17, 2021, and incorporated
by reference herein.
(7)
Previously
filed in connection with the Registrant’s Annual Report on Form 10-K (File No. 814-00852) filed on March 11, 2022, and incorporated
by reference herein.
*
Filed
herewith.
55
TABLE OF CONTENTS
SIGNATURES
Pursuant
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.
SURO
CAPITAL CORP.
Date:
May
9, 2024
By:
/s/
Mark D. Klein
Mark
D. Klein
Chairman,
President and Chief Executive Officer
(Principal
Executive Officer)
Date:
May
9, 2024
By:
/s/
Allison Green
Allison
Green
Chief
Financial Officer, Chief Compliance Officer, Treasurer, and Corporate Secretary
(Principal
Financial and Accounting Officer)
Pursuant
to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the
registrant and in the capacities and on the dates indicated.
Date:
May 9, 2024
By:
/s/
Mark D. Klein
Mark
D. Klein
Chairman,
President and Chief Executive Officer
(Principal
Executive Officer)
Date:
May 9, 2024
By:
/s/
Allison Green
Allison
Green
Chief
Financial Officer, Chief Compliance Officer, Treasurer, and Corporate Secretary
(Principal
Financial and Accounting Officer)
56
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.