Klein Mark D — SEC Form 4 filings
SEC reporting owner CIK 1322402. 15 Form 4 filings on record with FilingPulse; latest filed 2026-08-10.
Transaction summary — filings shown
Covers all 15 filings on record, filed 2024-02-13 to 2026-08-10. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 11 legs across 7 filings — 156,111 shares, $994,591 total (shares × price as filed).
- Open-market sales (code S, non-derivative): none reported.
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 12.
- Largest priced transaction: purchase of 26,040 shares @ $9.60 ($249,984) in Neostellar Capital Corp., filed 2026-08-10.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Neostellar Capital Corp. (NSLR) | Chairman, CEO and President, Director | 15 | 11 legs · 156,111 sh · $994,591 | — | 12 |
Form 4 filings — Klein Mark D
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-08-10 | 4 | Neostellar Capital Corp. (NSLR) | Purchase (P): 26,040 @ $9.60 | EDGAR |
| 2026-06-16 | 4 | SURO CAPITAL CORP. (SSSS) | Grant/award (A): 350,000 @ $0 · Tax withholding (F): 293,265 @ $13.56 | EDGAR |
| 2026-04-22 | 4 | SURO CAPITAL CORP. (SSSS) | Purchase (P): 2,500 @ $13.08 · Purchase (P): 2,500 @ $13.25 | EDGAR |
| 2025-12-16 | 4 | SURO CAPITAL CORP. (SSSS) | Tax withholding (F): 17,017 @ $9.59 · Tax withholding (F): 17,017 @ $9.24 | EDGAR |
| 2025-11-25 | 4 | SURO CAPITAL CORP. (SSSS) | Grant/award (A): 174,465 @ $0 | EDGAR |
| 2025-08-12 | 4 | SURO CAPITAL CORP. (SSSS) | Purchase (P): 4,571 @ $8.69 · Purchase (P): 10,000 @ $8.45 | EDGAR |
| 2025-05-19 | 4 | SURO CAPITAL CORP. (SSSS) | Grant/award (A): 300,000 @ $0 | EDGAR |
| 2025-05-09 | 4 | SURO CAPITAL CORP. (SSSS) | Purchase (P): 16,500 @ $5.26 | EDGAR |
| 2025-02-12 | 4 | SURO CAPITAL CORP. (SSSS) | Tax withholding (F): 32,858 @ $6.17 | EDGAR |
| 2024-12-18 | 4 | SURO CAPITAL CORP. (SSSS) | Tax withholding (F): 17,017 @ $6.02 | EDGAR |
| 2024-12-12 | 4 | SURO CAPITAL CORP. (SSSS) | Grant/award (A): 100,000 @ $0 · Tax withholding (F): 21,272 @ $6.14 | EDGAR |
| 2024-12-04 | 4 | SURO CAPITAL CORP. (SSSS) | Purchase (P): 743 @ $5.49 | EDGAR |
| 2024-11-29 | 4 | SURO CAPITAL CORP. (SSSS) | Purchase (P): 10,000 @ $5.03 · Purchase (P): 32,257 @ $5.10 · Purchase (P): 39,000 @ $5.20 | EDGAR |
| 2024-08-20 | 4 | SURO CAPITAL CORP. (SSSS) | Purchase (P): 12,000 @ $3.84 | EDGAR |
| 2024-02-13 | 4 | SURO CAPITAL CORP. (SSSS) | Tax withholding (F): 32,285 @ $3.39 · Tax withholding (F): 41,273 @ $3.54 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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