SEC Form 5 · accession 0000899243-17-010300
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
Feb 28, 2017
Accepted (ET)
Apr 14, 2017 · 11:37 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 Stock | Dec 27, 2016 | G | 3,400 | $0.00 | D | 624,391 | D | |
| Common Stock | Dec 27, 2016 | G | 2,550 | $0.00 | D | 624,391 | D | |
| Common Stock | Dec 27, 2016 | G | 2,550 | $0.00 | A | 2,550 | I | By children |
| Common Stock | holding | — | — | — | 123,561 | I | By Saratoga investment Advisers, LLC | |
| Common Stock | holding | — | — | — | 220,324 | I | By CLO Partners LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction involved gifts of securities by the reporting person to his children, who share the reporting person's household.