SEC Form 4 · accession 0000899243-17-010348
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
Apr 13, 2017
Accepted (ET)
Apr 17, 2017 · 4:28 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 6, 2017 | G | 850 | $0.00 | D | 623,541 | D | |
| Common Stock | Mar 6, 2017 | G | 850 | $0.00 | A | 850 | I | By wife |
| Common Stock | Apr 13, 2017 | J | 1,373 | $0.00 | D | 122,188 | I | By Saratoga Investment Advisors, LLC |
| Common Stock | holding | — | — | — | 2,550 | I | By children | |
| Common Stock | holding | — | — | — | 220,324 | I | By CLO Partners LLC | |
| Common Stock | holding | — | — | — | 623,541 | D |
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 wife, who shares the reporting person's household.
- F2On April 13, 2017, Saratoga Investment Advisors, LLC, which Mr. Oberbeck controls, transferred 1,373 shares of common stock as compensation.