Klein Mark D's Form 4 filing
Neostellar Capital Corp.NSLR · filed Nov 29, 2024
- Accession no.
- 0001104659-24-124149
- Filed
- Nov 29, 2024
- Trade date
- Nov 26-29, 2024
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market purchases total $417.6K. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Klein Mark DCIK 0001322402 | Director, Officer (Chairman, CEO and President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 26, 2024 | Common Stock | PPurchaseAcquired | +10,000 | $5.03F1 | +$50,300 | 1,098,666 | Direct | |
| Nov 27, 2024 | Common Stock | PPurchaseAcquired | +32,257 | $5.10F3 | +$164,510.7 | 1,130,923 | Direct | |
| Nov 29, 2024 | Common Stock | PPurchaseAcquired | +39,000 | $5.20F4 | +$202,800 | 1,169,923 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $5.00 to $5.07 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Company"), or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $5.00 to $5.15 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Company, or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $5.13 to $5.25 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Company, or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.