Item 5. Other Information
Item 5. Other Information
(a) None.
(b) None.
(c) 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.
56
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*
101.INS
Inline XBRL Instance Document
101.SCH
Inline XBRL Schema Document
101.CAL
Inline XBRL Calculation Link base Document
101.DEF
Inline XBRL Definition Link base Document
101.LAB
Inline XBRL Label Link base Document
101.PRE
Inline XBRL Presentation Link base Document
104
Cover Page Interactive Data File (embedded within the Inline XBRL
document)
(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.
57
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 7, 2025
By:
/s/
Mark D. Klein
Mark D. Klein
Chairman, President and Chief Executive Officer
(Principal Executive Officer)
Date:
May 7, 2025
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
7, 2025
By:
/s/
Mark D. Klein
Mark D. Klein
Chairman, President and Chief Executive Officer
(Principal Executive Officer)
Date:
May
7, 2025
By:
/s/
Allison Green
Allison Green
Chief Financial Officer, Chief Compliance Officer,
Treasurer, and Corporate Secretary
(Principal Financial and Accounting Officer)
58
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.