Item 5. Other Information
Item
5. Other Information
Not
applicable.
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)
10.1
Custody Agreement, dated as of April 19, 2023, by and among the Company and Western Alliance Trust Company, N.A., as Custodian. (8)
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 - the instance document does not appear in the Interactive Data File because XBRL tags are embedded within
the Inline XBRL document.
101.SCH
Inline
XBRL Taxonomy Extension Schema Document
101.CAL
Inline
XBRL Taxonomy Calculation Linkbase Document
101.DEF
Inline
XBRL Taxonomy Extension Definition Linkbase Document
101.LAB
Inline
XBRL Taxonomy Labels Linkbase Document
101.PRE
Inline
XBRL Taxonomy Presentation Linkbase 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.
(8)
Previously filed in connection with the Registrant’s Current Report
on Form 8-K (File No. 814-00852) filed on April 19, 2023, 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
10, 2023
By:
/s/
Mark D. Klein
Mark
D. Klein
Chairman,
President and Chief Executive Officer
(Principal
Executive Officer)
Date:
May
10, 2023
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 10, 2023
By:
/s/
Mark D. Klein
Mark
D. Klein
Chairman,
President and Chief Executive Officer
(Principal
Executive Officer)
Date:
May 10, 2023
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.