SuRo Capital Corp.

SSSS and SSSSL • NASDAQ

SuRo Capital Corp. is a asset management company in the financial services sector on NASDAQ, led by Mark D. Klein, with a market cap of $236.9M. As of Q3 2025, 20% of shares are held by 71 institutional investors, with GABELLI FUNDS LLC as the largest holder at 6.17%.

Chief Executive OfficerMark D. Klein

Market Cap$236.9M

Asset Management

Financial Services

Employees10.0

Websitesurocap.com

Country

United States of America

Overview

Overview of institutional ownership in SSSS and SSSSL as of Q3 2025 with a market cap of $215.0M

All Institutions

Institutions: 71
Value Held: $43.7M
Shares Held: 4.9M
Avg Position: $615.5K
Median Position: $181.2K

Hedge Funds

Hedge Funds: 9
Value Held: $8.7M
Shares Held: 966.7K
Avg Position: $966.7K
Median Position: $412.5K

Ownership Breakdown

Institutional (non-HF)

16.28%

$35.0M

Hedge Funds

4.05%

$8.7M

Retail & Other

79.67%

$171.3M

Based on market cap of $215.0M as of Q3 2025. Institutional (non-HF) excludes hedge funds to avoid double counting.

Biggest Investors

Institutions with the largest positions in SSSS and SSSSL as of Q3 2025

Institution	Key People	Position Value	Ownership	Owned Since	Total AUM (Long)
GABELLI FUNDS LLC Long Only Manager	John Chester Ball President	$13.3M 0.09% of portfolio	6.17% 1.5M shares	Q3 2022 Held for 3y 2m	$14.5B
NEEDHAM INVESTMENT MANAGEMENT LLC Hedge Fund•Long/Short	George Austin Needham CEO	$3.8M 0.27% of portfolio	1.79% 426.6K shares	Q1 2014 Held for 11y 8m	$1.4B
G GAMCO INVESTORS, INC. ET AL Institution	-	$2.5M 0.02% of portfolio	1.18% 282.5K shares	Q2 2024 Held for 1y 5m	$10.3B
We Are One Seven, LLC RIA/Wealth	Richard Julius Gross President	$2.4M 0.06% of portfolio	1.12% 268.5K shares	Q4 2022 Held for 2y 11m	$4.3B
TWO SIGMA INVESTMENTS LLC Hedge Fund•Multi-Strategy	Scott David Hoffman CEO	$1.9M 0.00% of portfolio	0.89% 211.9K shares	Q1 2025 Held for 8 months	$62.0B
FRANKLIN RESOURCES INC Institution	Gregory E. Johnson CEO	$1.7M 0.00% of portfolio	0.79% 189.7K shares	Q1 2025 Held for 8 months	$395.36B
ACADIAN ASSET MANAGEMENT LLC Long Only Manager	Gillian Morna Therese Savage CEO	$1.6M 0.00% of portfolio	0.74% 176.6K shares	Q4 2022 Held for 2y 11m	$51.5B
B BlackRock, Inc. Institution	-	$1.3M 0.00% of portfolio	0.60% 143.2K shares	Q4 2023 Held for 1y 11m	$5.67T
J JANE STREET GROUP, LLC Institution	-	$1.1M 0.00% of portfolio	0.52% 124.2K shares	Q4 2024 Held for 11 months	$84.1B
Bulldog Investors, LLC Hedge Fund•Activist	Phillip Franklin Goldstein Managing Partner	$1.1M 0.27% of portfolio	0.51% 121.5K shares	Q4 2019 Held for 5y 11m	$409.9M

Net Capital Flow

Institutional buying and selling activity for SSSS and SSSSL in Q3 2025

Traded: +$832.8K
Buyers: 44
Sellers: 26
Total Bought: +$8.3M
Total Sold: −$7.5M
Avg Position: $533.0K

Biggest Buyers

Institution	Net Bought	Current Position
B BlackRock, Inc. Institution	+$1.3M +143.2K shares	$1.3M 143.2K shares
TWO SIGMA INVESTMENTS LLC Hedge Fund•Multi-Strategy	+$1.2M +138.8K shares	$1.9M 211.9K shares
J JANE STREET GROUP, LLC Institution	+$482.4K +53.6K shares	$1.1M 124.2K shares
MILLENNIUM MANAGEMENT LLC Hedge Fund•Multi-Strategy	+$412.5K +45.8K shares	$412.5K 45.8K shares
TWO SIGMA ADVISERS, LLC Hedge Fund•Multi-Strategy	+$396.0K +44.0K shares	$396.0K 44.0K shares
Hillsdale Investment Management Inc. Long Only Manager	+$318.6K +35.4K shares	$318.6K 35.4K shares
L LPL Financial LLC Institution	+$309.3K +34.4K shares	$791.0K 87.9K shares
O'SHAUGHNESSY ASSET MANAGEMENT, LLC Long Only Manager	+$295.0K +32.8K shares	$295.0K 32.8K shares
ACADIAN ASSET MANAGEMENT LLC Long Only Manager	+$291.5K +32.4K shares	$1.6M 176.6K shares
Marshall Wace LLP Institution	+$285.3K +31.7K shares	$285.3K 31.7K shares

Biggest Sellers

Institution	Net Sold	Current Position
Thomas J. Herzfeld Advisors, Inc. Long Only Manager	−$2.2M −264.3K shares	Sold Off 0 shares
HARBOR CAPITAL ADVISORS, INC. ETF Provider	−$1.2M −128.0K shares	$708.0K 78.7K shares
Bulldog Investors, LLC Hedge Fund•Activist	−$726.3K −80.7K shares	$1.1M 121.5K shares
E EJF Capital LLC Institution	−$649.5K −79.1K shares	Sold Off 0 shares
R ROYAL BANK OF CANADA Institution	−$492.2K −54.7K shares	$50.7K 5.6K shares
FRANKLIN RESOURCES INC Institution	−$457.6K −50.8K shares	$1.7M 189.7K shares
MORGAN STANLEY RIA/Wealth	−$328.1K −36.5K shares	$825.4K 91.7K shares
CITADEL ADVISORS LLC Hedge Fund•Multi-Strategy	−$321.1K −35.7K shares	$472.9K 52.5K shares
SPRINGBOK CAPITAL MANAGEMENT, LLC Fund of Funds	−$299.7K −36.5K shares	Sold Off 0 shares
JPMORGAN CHASE & CO Institution	−$149.7K −16.6K shares	$157.1K 17.5K shares

Entry and Exit Activity

Institutions that initiated new positions or completely exited SSSS and SSSSL in Q3 2025

New Positions: 11
New Value: $1.0M
Exited Positions: 11
Exited Value: $3.4M

New Positions

Institution	Position Value
O'SHAUGHNESSY ASSET MANAGEMENT, LLC Long Only Manager	$295.0K 32.8K shares
Comprehensive Portfolio Management, LLC RIA/Wealth	$158.5K 17.6K shares
Q Qube Research & Technologies Ltd Institution	$158.3K 17.6K shares
Verition Fund Management LLC Hedge Fund•Multi-Strategy	$125.9K 14.0K shares
Cresset Asset Management, LLC RIA/Wealth	$120.3K 13.4K shares
LLBH Private Wealth Management, LLC RIA/Wealth	$101.5K 11.3K shares
Wealth Preservation Advisors, LLC RIA/Wealth	$31.0K 3.4K shares
N N.E.W. Advisory Services LLC RIA/Wealth	$9.9K 1.1K shares
Larson Financial Group LLC RIA/Wealth	$6.4K 715.0 shares
Union Bankshares Corp Institution	$529.0 59.0 shares

Exited Positions

Institution	Previous Position
Thomas J. Herzfeld Advisors, Inc. Long Only Manager	$2.2M 264.3K shares
E EJF Capital LLC Institution	$649.5K 79.1K shares
SPRINGBOK CAPITAL MANAGEMENT, LLC Fund of Funds	$299.7K 36.5K shares
O OXFORD ASSET MANAGEMENT Institution	$122.1K 14.9K shares
LEVIN CAPITAL STRATEGIES, L.P. Hedge Fund•Multi-Strategy	$82.1K 10.0K shares
S SIMPLEX TRADING, LLC Institution	$42.7K 5.2K shares
RAYMOND JAMES FINANCIAL INC RIA/Wealth	$31.1K 3.8K shares
S STEPHENSON NATIONAL BANK & TRUST Institution	$12.3K 1.5K shares
S SIERRA OCEAN, LLC RIA/Wealth	$2.0K 243.0 shares
C Colonial Asset Management, Inc. RIA/Wealth	$903.0 110.0 shares

Options Activity

Institutions with the largest Call and Put options positions in SSSS and SSSSL as of Q3 2025

Call Positions: 2
Call Value: $1.5M
Put Positions: 2
Put Value: $393.3K

Call Positions

Institution	Position Value
SUSQUEHANNA INTERNATIONAL GROUP, LLP Private Equity	$1.3M 1.5K contracts
CITADEL ADVISORS LLC Hedge Fund•Multi-Strategy	$178.2K 198.0 contracts

Put Positions

Institution	Position Value
SUSQUEHANNA INTERNATIONAL GROUP, LLP Private Equity	$393.3K 437.0 contracts
CITADEL ADVISORS LLC Hedge Fund•Multi-Strategy	- - contracts

Most Committed Institutions

Institutions with SSSS and SSSSL as the highest % of their portfolio as of Q3 2025

Institution	Key People	Portfolio Weight	Ownership	Owned Since	Total AUM (Long)
I INTREPID FAMILY OFFICE LLC Institution	-	0.88% $900.0K	0.42% 100.0K shares	Q4 2024 Held for 11 months	$102.3M
NEEDHAM INVESTMENT MANAGEMENT LLC Hedge Fund•Long/Short	George Austin Needham CEO	0.27% $3.8M	1.79% 426.6K shares	Q1 2014 Held for 11y 8m	$1.4B
Bulldog Investors, LLC Hedge Fund•Activist	Phillip Franklin Goldstein Managing Partner	0.27% $1.1M	0.51% 121.5K shares	Q4 2019 Held for 5y 11m	$409.9M
S Supplemental Annuity Collective Trust of NJ Institution	-	0.20% $756.1K	0.35% 84.0K shares	Q2 2015 Held for 10y 5m	$380.4M
N NJ State Employees Deferred Compensation Plan Institution	-	0.09% $847.0K	0.39% 94.1K shares	Q1 2017 Held for 8y 8m	$906.0M
GABELLI FUNDS LLC Long Only Manager	John Chester Ball President	0.09% $13.3M	6.17% 1.5M shares	Q3 2022 Held for 3y 2m	$14.5B
Wellington Shields & Co., LLC RIA/Wealth	William Jameson Mcfadden CEO	0.06% $239.3K	0.11% 26.6K shares	Q1 2022 Held for 3y 8m	$383.1M
We Are One Seven, LLC RIA/Wealth	Richard Julius Gross President	0.06% $2.4M	1.12% 268.5K shares	Q4 2022 Held for 2y 11m	$4.3B
HARBOR CAPITAL ADVISORS, INC. ETF Provider	David Gordon Van Hooser Chairman	0.06% $708.0K	0.33% 78.7K shares	Q1 2025 Held for 8 months	$1.3B
Intrinsic Edge Capital Management LLC Hedge Fund•Multi-Strategy	Mark David Coe Managing Partner	0.05% $360.0K	0.17% 40.0K shares	Q2 2025 Held for 5 months	$658.6M