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Filing Details

Accession Number:: 0001213900-20-018609
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-07-24 21:17:32
Reporting Period:: 2020-07-22

Accepted Time:: 2020-07-24 21:17:32
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-07-22	2,000	$17.53	716,450	No	4	P	Direct
Common Stock	Acquisiton	2020-07-23	3,000	$17.50	719,450	No	4	P	Direct
Common Stock	Acquisiton	2020-07-24	1,000	$16.89	720,450	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	P	Direct
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 $17.48 to $17.55 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 $17.37 to $17.64 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 $16.86 to $16.92 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.