Filing Details

Accession Number:
0001213900-20-021700
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-08-12 21:09:16
Reporting Period:
2020-08-10
Accepted Time:
2020-08-12 21:09:16
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1377936 Saratoga Investment Corp. SAR () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1349483 L Christian Oberbeck C/O Saratoga Investment Corp.
535 Madison Avenue
New York NY 10022
Ceo And Director Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-08-10 5,000 $17.51 725,450 No 4 P Direct
Common Stock Acquisiton 2020-08-11 2,000 $17.67 727,450 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 217,774 Indirect By CLO Partners LLC
Common Stock 15,375 Indirect By children
Common Stock 1,011 Indirect By wife
Footnotes
  1. 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 $17.40 to $17.60 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Saratoga Investment Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  2. 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 $17.60 to $17.75 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Saratoga Investment Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.