SURO CAPITAL - Key Persons

Job Titles:

• Investments
• SuRo As a Vice President

Adam Bates joined SuRo as a Vice President in April 2020. Prior to joining, Adam worked in New Product Business Operations at HomeLight, a VC-backed proptech company, where he focused on go-to-market strategy and operations for HomeLight's Cash Close product suite. Prior to HomeLight, Adam was the Director of International Strategy for Topgolf Entertainment Group, where he led all investments and strategic operations for Topgolf's international business units. He also focused on investment analysis and roll-out strategy in the U.S. prior to his time on the international team. Adam began his career in investment banking at Houlihan Lokey, where he focused on M&A advisory and capital markets financing within the Oilfield Services & Equipment Coverage Group. Adam graduated from Emory University with a B.B.A in Finance.

Job Titles:

• Chief Financial Officer
• Corporate Secretary
• Treasurer

Allison Green joined SuRo Capital in March 2019, having served as Senior Vice President and Controller at its former external advisor, GSV Asset Management, since July 2017. Prior to that Allison was Controller at Rise Companies Corp, parent company of Fundrise, a Washington, DC-based crowdfunded real estate investment platform, where she led financial reporting of the parent company to a successful SEC Regulation A+ Tier 2 crowdfunded IPO. Prior to Fundrise, Allison was the Controller at the Girl Scout Council of the Nation's Capital following her time as a ProInspire Fellow at the Council, where she worked on modernizing the financial aspects of the annual Girl Scout Cookie Sale, the largest girl-run business in the world. Prior to the ProInspire Fellowship, Allison was a member of the Fund Management and Coinvestment teams at The Carlyle Group, focusing on Europe and US Real Estate and Energy Funds. While at The Carlyle Group, Allison founded the firm's Young Professionals Employee Resource Group. Allison began her career at Deloitte & Touche in Los Angeles as an audit associate focused on financial services clients. Allison holds dual degrees in Business (Finance) and Accounting from the University of Southern California.

Job Titles:

• Media Contact

Job Titles:

• SuRo As a Valuations Specialist
• Valuations Specialist

Brent Rivera joined SuRo as a Valuations Specialist in November 2022. Prior to joining SuRo, Brent worked as an Audit Senior in Deloitte's Investment Management Practice where he lead and assisted in the valuations of Debt and Equity investments across various fund structures. During that time he also worked with a cryptocurrency hedge fund to help resolve classification and valuation issues per ASC 820. Brent graduated with an BS in Accounting from Saint Mary's College of California.

Job Titles:

• Investments
• SuRo As an Investor

Evan Schlossman joined SuRo as an Investor in August 2022. Prior to joining SuRo, Evan was a Business Intelligence Manager at the Lifetime Value Company, where he focused on the growth and development of Ownerly.com, a consumer platform focused on leveraging real estate data, and optimizing operations for the parent company through data and analytics. Prior to that, Evan was a consultant at Deloitte in New York, NY where he worked to help solve strategic challenges and support clients on engagements ranging from intelligent automation / robotic process automation (RPA) to mergers and acquisitions activities. Evan graduated with an MBA from the Kellogg School of Management at Northwestern University and a BA in Economics from Cornell University.

Job Titles:

• Investments
• SuRo As an Investor

Henry Emanuel joined SuRo as an Investor in July 2022. Prior to joining full-time, Henry completed a summer internship with the firm. Prior to that, he worked at Quake Capital Partners, an early-stage startup accelerator, and OpticsML, a mortgage startup. Henry graduated from Cornell University with a BS in Industrial and Labor Relations and minors in Information Science and Business. During his time there, he founded a landlord review site as well as a food delivery aggregator which was awarded a $5,000 fellowship grant.

Job Titles:

• Investments

Jackson Stone joined SuRo Capital's predecessor company, GSV Capital, as a Vice President in August 2018. Prior to that, he worked in investment banking at RBC Capital Markets, where he focused on capital markets financing and M&A advisory within the Technology Coverage Group. Jackson graduated from Duke University with a BS in Economics. During his time there, he was involved in the Duke Investment Club and the Club Basketball team.

Job Titles:

• Finance Associate

Job Titles:

• Chairman of the Audit Committee
• Chairman of the Compensation Committee
• Chairman of the Nominating and Corporate Governance Committee
• Member of the Board of Directors
• Member of Our Board of Directors
• Member of the Professional

Ronald M. Lott has served as a member of our Board of Directors since 2015. Mr. Lott, a member of the Professional and College Football Halls of Fame, has served as the managing member of Lott Auto LLC since 2018, the managing member of Lott Auto Land LLC since 2018, the Chief Executive Officer of Lott Auto Ventures, LLC since 2004 and the managing member of Tracy Auto Land, LLC since 1998. Mr. Lott was previously co-partner and owner of Mercedes-Benz of Medford, Oregon from 2003 until 2011 and Stan Morris Chrysler in Tracy, California from 1997 until 1998. Mr. Lott has also been a member of the board of directors of OneMain Holdings, Inc. (NYSE: OMF), a provider of consumer finance and credit insurance products and services, since 2013 and True Capital Management, a wealth management firm designed for professional athletes, entertainers, and high net worth individuals, since 2006. In 1999, Mr. Lott co-founded HRJ Capital, L.L.C., an investment management firm, remaining as a managing partner through 2009, until it was sold. Between 2013 - 2015, Mr. Lott served as a consultant for TVU Networks Corp., a product and service company for the television industry, and has been a consultant at H. Barton Asset Management, LLC since 2009. He serves on the Advisory Board for the following companies: Chegg, SportsBubble, Thoughtspot, Uptake and Zenefits. Mr. Lott played 14 seasons in the National Football League before retiring from professional football in 1994. Our Board of Directors has concluded that Mr. Lott's leadership experience and his extensive business and management experience as a director of a public company and as a small business owner provide significant value to our Board of Directors, and that therefore he is qualified to serve as a member of our Board of Directors. Marc Mazur has served as a member of our Board of Directors since March 2017. Mr. Mazur has served as an Industry Advisor to Brightwood Capital Advisors, LLC, a $4 billion private debt fund, since 2014 and has served as a member of the board of directors for Fibrocell Science, Inc. (NASDAQ: FCSC), an autologous cell and gene therapy company, since April 2010. Mr. Mazur previously served as the Chief Executive Officer of Brevan Howard U.S. Asset Management, a London-based global macro hedge fund, and as a senior advisor of such company until 2010. He also previously served as a senior advisor to Tsinghua Venture Capital Company. Mr. Mazur served in management roles at Salomon Brothers, Inc., The Goldman Sachs Group, Inc. from 1987 until 1996, and served as a consultant for Goldman from 1997 to 1999. He was an executive with Careinsite/Medical Manager and has served as a director of Staywell Health, DeVilbiss Healthcare, ChanceLight Behavioral Health and other private companies in the wellness, addiction treatment, homecare and medical device fields. Mr. Mazur received his B.A. in Political Science from Columbia University and a J.D. from Villanova University School of Law. Our Board of Directors has concluded that Mr. Mazur's senior executive-level experience in finance, healthcare consulting and business strategy, as well as his board experience, provide valuable expertise to the Board of Directors, and that therefore, he is qualified to serve as a member of our Board of Directors. Leonard A. Potter has served as a member of our Board of Directors since 2011. Mr. Potter founded Wildcat Capital Management, LLC, a registered investment advisor in September 2011 and has served as its president and chief investment officer since inception. Mr. Potter has also served (i) as chief executive officer of Infinity Q Capital Management, a registered investment advisor, since its inception in 2014, and (ii) as a founder and senior managing director of Vida Ventures, a biotech venture fund, since its inception in 2017. From 2002 through 2009, Mr. Potter was managing director - private equity at Soros Fund Management LLC ("SFM") where, from May 2005 through July 2009, he served as co-head of its private equity group and as a member of the private equity investment committee. From July 2009 until September 2011, Mr. Potter served as a consultant to SFM, and as chief investment officer of Salt Creek Hospitality, a private acquirer and owner of hospitality-related assets, which was backed by SFM. From September 1998 until joining SFM in 2002, Mr. Potter was a managing director of Alpine Consolidated LLC, a private merchant bank. From April 1996 through September 1998, Mr. Potter founded and served as a managing director of Capstone Partners LLC, a private merchant bank ("Capstone"). Prior to founding Capstone, Mr. Potter was an attorney specializing in mergers, acquisitions, corporate governance and corporation finance at Morgan, Lewis & Bockius LLP, and at Willkie Farr & Gallagher LLP. Mr. Potter has served and continues to serve as a director on a number of boards of public and private companies, including Solar Capital Ltd. (NASDAQ: SLRC), Solar Senior Capital Ltd. (NASDAQ: SUNS), both of which are business development companies, and, since January 2017, as chairman of the board of directors for Hilton Grand Vacations Inc. (NYSE: HGV). Mr. Potter received a Bachelor of Arts degree from Brandeis University and a Juris Doctor degree from Fordham University School of Law. Our Board of Directors has concluded that Mr. Potter's experience practicing as a corporate lawyer provides valuable insight to the Board of Directors on regulatory and risk management issues, and that his tenure in private equity investments and service as a director of both public and private companies provides industry-specific knowledge and expertise to our Board of Directors, and that therefore he is qualified to serve as a member of our Board of Directors.

Job Titles:

• Member of the Board of Directors
• Managing Director and Head of Strategy
• Member of Our Board of Directors

Lisa Westley has served as a member of our Board of Directors since July 2019. Ms. Westley has been a Managing Director and Head of Strategy, Advent TECH at Advent International Corporation, a private equity firm, since September 2019. From March 2019 to August 2019, she served as a Senior Advisor of Vida Ventures, LLC, a life sciences venture fund, and from January 2019 to August 2019, she served as a Senior Advisor of Brooklands Capital Strategies, a global capital raising and strategic advisory firm. From January 2014 to December 2018, Ms. Westley was a Partner and Chief Operating Officer of Brooklands Capital Strategies, a spin-out of TPG Capital that provides global fundraising and strategic advisory services to alternative asset managers and companies at all stages of growth. Prior to her time at Brooklands Capital Strategies, Ms. Westley spent nine years at TPG Capital, initially as the Chief Operating Officer of TPG's Asia-Pacific private equity business and subsequently as the Global Head of Talent Management. Before TPG, Ms. Westley spent 15 years as an investment banker, having been a Founding Partner, Co-Head of the Consumer Group and Head of the IT Services / Business Services Group at Thomas Weisel Partners and a Senior Managing Director at Montgomery Securities. Ms. Westley began her investment banking career at Goldman, Sachs & Co. and Salomon Brothers, Inc. Ms. Westley received a B.A., phi beta kappa, in Economics and Asian Studies from Amherst College and an M.B.A. from the Stanford Graduate School of Business.

Job Titles:

• Chairman
• Chief Executive Officer
• Member of the Board of Directors
• President
• Board Member at Three NYSE

Mark Klein has spent the last two decades running public companies and investment firms. He has been Chairman, President and Chief Executive Officer of SuRo Capital since 2017 and a director of the company since 2011. A director of SuRo portfolio company Course Hero since 2020, Mark is also a current board member at three NYSE-listed special purpose acquisition companies (SPACs): Churchill Capital Corp V, VI and VII, and was formerly a board member of Churchill Capital Corp II, III and IV. Additionally, since 2012 he has been Managing Member and Majority Partner at M. Klein & Company, LLC, an investment banking and advisory firm. Before joining SuRo, Mark held positions including Chairman and CEO at several public and private companies and served on a variety of corporate boards. He earned a bachelor's degree with high distinction in Business Administration from Emory University and an MBA from the J. L. Kellogg School of Management at Northwestern University.

Job Titles:

• Controller

Job Titles:

• Investments
• SuRo As a Vice President

Sindhu Kotha joined SuRo as a Vice President in September 2022. Prior to joining SuRo, Sindhu worked on high-trust teams to invest in early- and growth-stage companies at Antler and B37 Ventures, founded a femtech company and, as a Finance & Strategy operator, co-led the IPO process at climatetech startup Proterra. Sindhu began her career in investment banking at SunTrust Robinson Humphrey, where she focused on M&A advisory and capital markets financing in the Healthcare Coverage Group. Sindhu graduated with an MBA (Entrepreneurship/Venture Capital) from the Kellogg School of Management at Northwestern University and a BBA in Finance and Comparative Literature from Emory University.

Job Titles:

• Investments
• SuRo As an Investor

William "Willy" Lee joined SuRo as an Investor in July 2021. Prior to joining SuRo, Willy worked as a government and public services analyst at Deloitte in Washington, DC where he helped lead predictive analytics efforts for passport application systems. During that time he also worked on fundraising strategies and financial projections for non-profits such as PelotonU in Texas and the Petersfield Galloway Benevolent Society in Jamaica. Prior to Deloitte, Willy worked in academia mapping social decision-making through machine learning models. He also served as an adjunct professor at Becker College in Worcester, Massachusetts, teaching an Introduction to Esports course.