Klein Mark D sold SSSS
June 15, 2026 · Form 4 insider transaction
Klein Mark D sold 293,265 shares of Neostellar Capital Corp. at $13.56 per share, a transaction worth $3.98M. The trade was recorded as shares withheld for taxes and disclosed on an SEC Form 4, filed 1 day after the transaction.
Footnotes
Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on June 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.; This total includes (i) 811,646 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein; (ii) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025, which are subject to vesting schedules; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026, which are subject to vesting schedules. On June 15, 2026, in connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company approved the acceleration of the vesting of the Reporting Person's unvested restricted shares, effective as of June 15, 2026, subject to the Reporting Person's entry into a lock-up agreement that replicates the holding periods of the existing vesting schedules applicable to such shares.