SEC Form 4 · accession 0001209191-15-038786
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
May 1, 2015
Accepted (ET)
May 5, 2015 · 3:26 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, par value $0.001 per share | May 1, 2015 | J | 2,672 | $0.00 | D | 166,727 | I | By Saratoga Investment Advisors, LLC |
| Common Stock, par value $0.001 per share | holding | — | — | — | 468,973 | D | ||
| Common Stock, par value $0.001 per share | holding | — | — | — | 178,804 | I | CLO Partners LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On May 1, 2015, Saratoga Investment Advisors, LLC, which Mr. Oberbeck controls, awarded 2,672 shares of common stock to an employee as compensation.