SEC Form 4 · accession 0000899243-15-001408
SARATOGA INVESTMENT CORP. · SAR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christian L Oberbeck
Officer — CEO and Director · Director · 10% Owner
Period of report
Jul 17, 2015
Accepted (ET)
Jul 20, 2015 · 4:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001377936
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per share | Jul 17, 2015 | J | 2,948 | $0.00 | D | 167,468 | I | By Saratoga Investment Advisors, LLC |
| Common Stock, par value $0.001 per share | holding | — | — | — | 505,002 | D | ||
| Common Stock, par value $0.001 per share | holding | — | — | — | 192,540 | I | CLO Partners LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On July 17, 2015, Saratoga Investment Advisors, LLC, which Mr. Oberbeck controls, awarded a total of 2,948 shares of common stock to an employee as compensation.