SEC Form 4 · accession 0000899243-17-022360
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
Sep 19, 2017
Accepted (ET)
Sep 20, 2017 · 5:47 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 | Sep 19, 2017 | J | 1,173 | $0.00 | D | 121,015 | I | By Saratoga Investment Advisors, LLC |
| Common Stock | holding | — | — | — | 623,541 | D | ||
| Common Stock | holding | — | — | — | 220,324 | I | CLO Partners LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On September 19, 2017, Saratoga Investment Advisors, LLC, which Mr. Oberbeck controls, transferred 1,173 shares of common stock as compensation.