SEC Form 4 · accession 0000899243-16-016248
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
Mar 14, 2016
Accepted (ET)
Mar 17, 2016 · 9:54 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 | Mar 14, 2016 | J | 38,561 | $0.00 | D | 506,251 | D | |
| Common Stock | Mar 14, 2016 | J | 10,587 | $0.00 | D | 197,280 | I | CLO Partners LLC |
| Common Stock | Mar 15, 2016 | J | 8,472 | $0.00 | D | 497,779 | D | |
| Common Stock | holding | — | — | — | 178,776 | I | By Saratoga Investment Advisors, LLC | |
| Common Stock | holding | — | — | — | 178,776 | I | By Saratoga Investment Advisors, LLC | |
| Common Stock | holding | — | — | — | 197,280 | I | CLO Partners LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On March 14, 2016, Mr. Oberbeck transferred 38,561 shares of common stock to Saratoga Investment Advisors, LLC and CLO Partners LLC transferred 10,587 shares of common stock to Saratoga Investment Advisors, LLC. Saratoga Investment Advisors, LLC and CLO Partners, LLC are controlled by Mr. Oberbeck. On March 14, 2016, Saratoga Investment Advisors, LLC transferred 49,218 shares of common stock as compensation.
- F2On March 15, 2016, Mr. Oberbeck transferred 8,472 shares of common stock to Saratoga Investment Advisors, LLC, which Mr. Oberbeck controls. On March 15, 2016, Saratoga Investment Advisors, LLC, transferred 8,472 shares of common stock as compensation.