SEC Form 4 · accession 0000899243-18-025821
SARATOGA INVESTMENT CORP. · SAR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henri J Steenkamp
Officer — CFO,CCO, Treasurer & Secretary
Period of report
Sep 28, 2018
Accepted (ET)
Oct 2, 2018 · 4:55 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 | A | 7,817 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Steenkamp was awarded 1,003 shares of common stock from his employer, Saratoga Investment Advisors, LLC, which is the external investment adviser of Saratoga Investment Corp.