SEC Form 4 · accession 0000899243-18-025820
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 28, 2018
Accepted (ET)
Oct 2, 2018 · 4:54 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 | Sep 28, 2018 | J | 1,003 | $0.00 | D | 119,377 | I | By Saratoga Investment Advisors, LLC |
| Common Stock | holding | — | — | — | 618,068 | D | ||
| Common Stock | holding | — | — | — | 217,774 | I | CLO Partners LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On September 28, 2018, Saratoga Investment Advisors, LLC, which Mr. Oberbeck controls, transferred 1,003 shares of common stock as compensation.