Filing Details
- Accession Number:
- 0001213900-20-012496
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-05-15 12:53:12
- Reporting Period:
- 2020-05-13
- Accepted Time:
- 2020-05-15 12:53:12
- 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 | 2020-05-13 | 4,000 | $12.88 | 740,435 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2020-05-14 | 4,000 | $12.41 | 744,435 | 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
- 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 $12.50 to $13.25 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.
- 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 $12.15 to $12.75 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.
Billionaire Hedge Funds
