SURO CAPITAL CORP. — Director's Dealing 2020

Apr 30, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: SUTTER ROCK CAPITAL CORP. (SSSS)
CIK: 0001509470
Period of Report: 2020-04-28

Reporting Person: Klein Mark D (Director, CEO and President)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-04-28	Employee Stock Option (right to buy)	$6.57	J	950000	Disposed	2029-07-17	Common Stock (950000)	Direct

Footnotes

F1: The reporting person and the Company agreed to the cancellation of all of the stock options (vested and unvested) for no value or payment and the Board of Directors of the Company approved such cancellation on April 28, 2020. The reporting person is voluntarily reporting this transaction despite being exempt from reporting this transaction under Section 16 of the Securities Exchange Act of 1934, as amended.

F2: The stock options granted vest as follows: 1/3 vested on July 17, 2019, 1/3 would have vested on July 17, 2020, and 1/3 would have vested on July 17, 2021.