SEC Form 4 · accession 0001209191-15-004886
SARATOGA INVESTMENT CORP. · SAR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Cabell Williams III
Director
Period of report
Jan 16, 2015
Accepted (ET)
Jan 20, 2015 · 12:23 pm EST
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 StockF1 | Jan 16, 2015 | P | 6,301 | $15.09 | A | 26,677 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.995 to $15.25, inclusive. The reporting person undertakes to provide to Saratoga Investment Corp., any security holder of Saratoga Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.