SEC Form 4 · accession 0000899243-16-023412
SARATOGA INVESTMENT CORP. · SAR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Grisius
Officer — President and Director · Director
Period of report
Jun 20, 2016
Accepted (ET)
Jun 22, 2016 · 8:42 am 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 StockF1 | Jun 20, 2016 | J | 2,050 | $0.00 | A | 132,239 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Grisius was awarded 2,050 shares of common stock from his employer, Saratoga Investment Advisors, LLC, which is the external investment adviser of Saratoga Investment Corp.