SEC Form 4 · accession 0001493152-26-028550
Neostellar Capital Corp. · NSLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald M. Lott
Director
Period of report
Jun 10, 2026
Accepted (ET)
Jun 12, 2026 · 6:50 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001509470
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 10, 2026 | A | 3,536 | $0.00 | A | 3,536 | D | |
| Common StockF2 | holding | — | — | — | 18,481 | I | By Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Relates to restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which are scheduled to vest in full on the earlier of (i) the first anniversary of the award date (with such first anniversary being June 10, 2027) and (ii) the date of SuRo Capital Corp.'s annual meeting of stockholders that is closest to the first anniversary of the award date. In connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company may, in its sole discretion, accelerate the vesting of these shares.
- F2These shares are held of record by the Ronald M. Lott Family Trust dtd 3/9/1992 (the "Trust"), of which Mr. Lott is a trustee and beneficiary, and may be deemed to be beneficially owned by Mr. Lott. Mr. Lott disclaims beneficial ownership of the shares held by the Trust except to the extent of his pecuniary interest therein.