SEC Form 4 · accession 0001493152-26-028968
Neostellar Capital Corp. · NSLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark D Klein
Officer — Chairman, CEO and President · Director
Period of report
Jun 12, 2026
Accepted (ET)
Jun 16, 2026 · 8:23 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 StockF2 | Jun 12, 2026 | A | 350,000 | $0.00 | A | 2,026,021 | D | |
| Common StockF2 | Jun 15, 2026 | F | 293,265 | $13.56 | D | 1,732,756 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on June 12, 2027, 1/3 vests on June 12, 2028, and 1/3 vests on June 12, 2029.
- F2This 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.
- F3Shares 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.