Current Report Filing (8-k)
March 14 2022 - 4:14PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
Current
Report
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
March 14, 2022
SURO
CAPITAL CORP.
(Exact name of registrant as specified in its charter)
Maryland |
1-35156 |
27-4443543 |
(State or other jurisdiction of incorporation) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
640 Fifth Avenue
12th Floor
New York, NY 10019
(Address of principal executive offices and zip
code)
Registrant’s telephone number, including
area code: (212) 931-6331
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ¨ | Written communications pursuant
to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to
Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications
pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications
pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b)
of the Act:
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Title of each class: |
Trading symbol: |
Name of each exchange on which registered: |
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Common Stock, par value $0.01 per share |
SSSS |
Nasdaq Global Select Market |
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6.00% Notes due 2026 |
SSSSL |
Nasdaq Global Select Market |
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Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934
(17 CFR §240.12b-2).
Emerging growth company ¨
If an emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant
to Section 13(a) of the Exchange Act. ¨
| Item 7.01. | Regulation FD Disclosure. |
On March 14, 2022, SuRo Capital
Corp. (“SuRo Capital,” “the Company”) issued a press release entitled “SuRo Capital Corp. Announces Expansion
of Share Repurchase Program” (the “Press Release”). A copy of the Press Release is included as Exhibit 99.1 to this
Current Report on Form 8-K and is incorporated into this Item 7.01 by reference.
The information disclosed
under this Item 7.01, including the information set forth in Exhibit 99.1 hereto, is being “furnished” and shall not be deemed
“filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or
otherwise. Such information in this Item 7.01 shall not be incorporated by reference into any registration statement or other document
pursuant to the Securities Act of 1933, as amended, or into any filing or other document pursuant to the Exchange Act, except as otherwise
expressly stated in any such filing.
Forward-Looking Statements
Statements in this Current
Report on Form 8-K (including the exhibit), including statements regarding SuRo Capital’s beliefs, expectations, intentions or strategies
for the future, may constitute forward-looking statements. SuRo Capital cautions you that forward-looking statements are not guarantees
of future performance and that actual results or developments may differ materially from those projected or implied in these statements.
All forward-looking statements involve a number of risks and uncertainties that could cause actual results to differ materially from the
plans, intentions and expectations reflected in or suggested by the forward-looking statements. Risk factors, cautionary statements and
other conditions which could cause SuRo Capital’s actual results to differ from management’s current expectations are contained
in SuRo Capital’s filings with the Securities and Exchange Commission. SuRo Capital undertakes no obligation to update any forward-looking
statement to reflect events or circumstances that may arise after the date of this filing.
| Item 9.01. | Financial Statements and Exhibits. |
* The press release attached hereto as Exhibit 99.1 is “furnished”
and not “filed,” as described in Item 2.02 and Item 7.01 of this Current Report on Form 8-K.
SIGNATURE
Pursuant to the requirements
of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
Date: March 14, 2022 |
SURO CAPITAL CORP. |
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By: |
/s/ Allison Green |
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Allison Green
Chief Financial Officer, Chief Compliance Officer, Treasurer and Corporate Secretary |
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