AlphaYouNSLR: Klein Mark D discloses a purchase
By AlphaYouPublished Form 4
Klein Mark D
Reporting filer
Klein Mark D reported Purchase in Neostellar Capital Corp.: 5000 units of Common Stock, dated 2026-09-21. The full Form 4 contains 1 transaction entry.
- Disclosed
- Sep 22, 2026
Reported details
1 entry| Security | Owner | Date | Code | Action | Quantity | Price | Following holdings | Reporting delay | Filed terms and references |
|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Klein Mark D | 2026-09-21 | P | Purchase | 5000 | 7.91 | 1,763,796 | 1 day | Filed terms
|
Common Stock
- Owner
- Klein Mark D
- Date
- 2026-09-21
- Code
- P
- Action
- Purchase
- Quantity
- 5000
- Price
- 7.91
- Following holdings
- 1,763,796
- Reporting delay
- 1 day
- Filed terms and references
Filed terms
- security Title: Common Stock
- transaction Date: 2026-09-21
- deemed Execution Date:
- transaction Form Type: 4
- transaction Code: P
- equity Swap Involved: 0
- transaction Timeliness:
- transaction Shares: 5000
- transaction Price Per Share: 7.91
- id: F1
- transaction Acquired Disposed Code: A
- shares Owned Following Transaction: 1763796
- id: F2
- direct Or Indirect Ownership: D
Purchases, sales, grants and option exercises are different transactions. The reported code identifies the action; it does not establish a motive.
Filing context
- Quantities and prices are shown in the units filed. No trade value is inferred from their product.
- Klein Mark D: Chairman, CEO and President, Director.
- F1: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Neostellar Capital Corp. (the "Company"), or a security holder of the Company, full information regarding the number of shares purchased at each separate price.
- F2: This total includes (i) 837,686 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; 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. On June 15, 2026, in connection with the stockholders' approval of the Company's externalization and the Board's approval of the acceleration of vesting of all unvested restricted shares, such plans were terminated and the Reporting Person entered into a lock-up agreement. Such shares are fully vested but remain subject to transfer restrictions under the lock-up agreement that expire on the dates such shares otherwise would have vested.
Original sources
Prepared automatically from public filing data. Report a correction.