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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Saratoga Investment Corp.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| July 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended May 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as specifie |
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| July 8, 2025 |
Exhibit 99.1 Saratoga Investment Corp. Announces Fiscal First Quarter 2026 Financial Results Reports 17.9% Increase in Adjusted NII Per Share and 0.9% Increase in NAV from Previous Quarter Quarterly ROE of 14.1% Generates LTM ROE of 9.3% and Beats the BDC Industry Average of 7.0% NEW YORK, July 8, 2025 – Saratoga Investment Corp. (NYSE: SAR) (“Saratoga Investment” or “the Company”), a business dev |
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| July 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 8, 2025 SARATOGA INVESTMENT CORP. |
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| May 7, 2025 |
Exhibit 21 Name Jurisdiction Saratoga Investment Funding II LLC Delaware Saratoga Investment Funding III LLC Delaware Saratoga Investment Corp. SBIC II LP Delaware Saratoga Investment Corp. SBIC III LP Delaware Saratoga Investment Corp. GP, LLC Delaware |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended February 28, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact |
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| May 7, 2025 |
Exhibit 99.1 Saratoga Investment Corp. Announces 2025 Fiscal Year and Fourth Quarter Financial Results Reports 4.7% Sequential Quarter and 6.1% Annual Increase in NAV Reducing Leverage Net Deployments of $25.9 Million for the Fiscal Fourth Quarter 2025, Supporting One New Platform and Six Follow-Ons – Two Additional New Portfolio Companies Since Year-End Non-Accruals Reduced to 0.3% of Fair Value |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 7, 2025 SARATOGA INVESTMENT CORP. |
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| January 8, 2025 |
Exhibit 99.1 Saratoga Investment Corp. Announces Fiscal Third Quarter 2025 Financial Results Reports 1.1% Sequential Quarter Increase in Adjusted NII per Share (Excluding the Effect of the One-Time Interest Reserve Reversal) and Grows LTM ROE to 9.2% Reports Strong Deployments of $84.5 Million, Supporting Two New Platforms and Eight Existing Portfolio Companies, Offset by Repayments NEW YORK, Janu |
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| January 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended November 30, 2024 ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as spe |
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| January 8, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 8, 2025 SARATOGA INVESTMENT CORP. |
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| October 23, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) October 23, 2024 SARATOGA INVESTMENT CORP. |
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| October 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended August 31, 2024 ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as speci |
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| October 8, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 8, 2024 SARATOGA INVESTMENT CORP. |
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| October 8, 2024 |
Exhibit 99.1 Saratoga Investment Corp. Announces Fiscal Second Quarter 2025 Financial Results Reports Per Share Increases in Net Investment Income (“NII”), Adjusted NII, and Net Asset Value (“NAV”), as Compared to Prior Quarter NEW YORK, October 8, 2024 – Saratoga Investment Corp. (NYSE: SAR) (“Saratoga Investment” or “the Company”), a business development company (“BDC”), today announced financia |
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| September 25, 2024 |
Exhibit 99.1 Saratoga Investment Corp. Announces Postponement of Annual Meeting of Stockholders Until October 23, 2024 Urges Stockholders To Vote Their Shares NEW YORK, NY, Sept. 25, 2024 (GLOBE NEWSWIRE) - Saratoga Investment Corp. (NYSE: SAR) (“Saratoga Investment,” “Saratoga” or “the Company”) today announced that the Company anticipates that it will not have a sufficient number of shares of th |
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| September 25, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) September 25, 2024 SARATOGA INVESTMENT CORP. |
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| August 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| July 9, 2024 |
Saratoga Investment Corp. Announces Fiscal First Quarter 2025 Financial Results Exhibit 99.1 Saratoga Investment Corp. Announces Fiscal First Quarter 2025 Financial Results NEW YORK, July 09, 2024 (GLOBE NEWSWIRE) - Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company (“BDC”), today announced financial results for its 2025 fiscal first quarter, with Net Investment Income (“NII”) per share of $1.05 versus $1.35 last year |
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| July 9, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 9, 2024 SARATOGA INVESTMENT CORP. |
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| July 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended May 31, 2024 ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as specifie |
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| June 17, 2024 |
Exhibit 10.1 FIRST AMENDMENT and LENDER joinder TO CREDIT AND SECURITY AGREEMENT This FIRST AMENDMENT AND LENDER JOINDER TO CREDIT AND SECURITY AGREEMENT (this “Amendment”) is made as of June 14, 2024 by and among SARATOGA INVESTMENT FUNDING III LLC, a Delaware limited liability company (“Borrower”), SARATOGA INVESTMENT CORP., a Maryland corporation (“Collateral Manager”); the lenders identified o |
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| June 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 14, 2024 SARATOGA INVESTMENT CORP. |
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| May 15, 2024 |
Exhibit 10.1 SARATOGA INVESTMENT CORP. (a Maryland corporation) AMENDMENT NO. 4 TO EQUITY DISTRIBUTION AGREEMENT May 15, 2024 Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue 4th Floor New York, New York 10019 Compass Point Research & Trading, LLC 1055 Thomas Jefferson Street NW Suite 303 Washington, DC 20007 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Lucid C |
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| May 15, 2024 |
Filed pursuant to Rule 424(b)(3) File No. 333-269186 Saratoga Investment Corp. Up to $300,000,000 Common Stock Supplement No. 3, dated May 15, 2024 to Prospectus, dated March 13, 2023 and Prospectus Supplement, dated June 7, 2023 This supplement amends, supplements or modifies certain information contained in the prospectus supplement, dated June 7, 2023 (the “ATM Prospectus Supplement”), and the |
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| May 15, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 15, 2024 SARATOGA INVESTMENT CORP. |
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| May 6, 2024 |
Saratoga Investment Corp. Announces Fiscal Year-End and Fourth Quarter 2024 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Lena Cati The Equity Group Inc. 212-836-9611 Saratoga Investment Corp. Announces Fiscal Year-End and Fourth Quarter 2024 Financial Results NEW YORK, May 6, 2024 – Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company (“BDC”), today announced financial results for its |
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| May 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 6, 2024 SARATOGA INVESTMENT CORP. |
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| May 6, 2024 |
Compensation Recoupment Policy. Exhibit 97.1 Compensation Recoupment Policy SARATOGA INVESTMENT CORP. COMPENSATION RECOUPMENT POLICY The Board of Directors of Saratoga Investment Corp. has adopted the following Compensation Recoupment Policy effective as of November 27, 2023. Purpose It is the intention of the Board that this Compensation Recoupment Policy be interpreted and administered in a manner consistent with applicable la |
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| May 6, 2024 |
Exhibit 21 Name Jurisdiction Saratoga Investment Funding II LLC Delaware Saratoga Investment Corp. SBIC II LP Delaware Saratoga Investment Corp. SBIC III LP Delaware Saratoga Investment Corp. GP, LLC Delaware |
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| May 6, 2024 |
Insider Trading Policies and Procedures. Exhibit 19 Statement of Policy on Insider Trading SARATOGA INVESTMENT CORP. Statement of Policy on Insider Trading Introduction It is illegal for any person, either personally or on behalf of others, to trade in securities on the basis of material, non-public information. It is also illegal to communicate (or “tip”) material, non-public information to others who may trade in securities on the basi |
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| May 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended February 29, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 27, 2024 SARATOGA INVESTMENT CORP. |
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| March 28, 2024 |
Exhibit 10.1 CREDIT AND SECURITY AGREEMENT Dated as of March 27, 2024 among SARATOGA INVESTMENT FUNDING III LLC, as Borrower, SARATOGA investment corp., as Collateral Manager, SARATOGA INVESTMENT CORP., as Equityholder, THE LENDERS FROM TIME TO TIME PARTIES HERETO, LIVE OAK BANKING COMPANY, as Administrative Agent and as Collateral Agent, U.S. BANK NATIONAL ASSOCIATION, as Custodian and u.s. bank |
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| March 28, 2024 |
Exhibit 10.3 LOAN SALE AND CONTRIBUTION AGREEMENT between SARATOGA INVESTMENT CORP., as Seller and SARATOGA INVESTMENT FUNDING III LLC, as Purchaser Dated as of March 27, 2024 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 SECTION 1.1 Definitions. 1 SECTION 1.2 Other Terms. 2 SECTION 1.3 Computation of Time Periods. 3 SECTION 1.4 Interpretation. 3 ARTICLE II CONVEYANCES OF TRANSFERRED ASSETS 4 SEC |
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| March 28, 2024 |
Exhibit 10.2 Execution Version EQUITY PLEDGE AGREEMENT This EQUITY PLEDGE AGREEMENT (this “Agreement”), dated as of March 27, 2024, is entered into between SARATOGA INVESTMENT CORP., a Maryland corporation (the “Pledgor”), and LIVE OAK BANKING COMPANY, as collateral agent for the benefit of the Secured Parties (in such capacity, together with its successors and permitted assigns in such capacity, |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 12)* SARATOGA INVESTMENT CORP. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 80349A208 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended November 30, 2023 ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as spe |
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| January 9, 2024 |
Saratoga Investment Corp. Announces Fiscal Third Quarter 2024 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Third Quarter 2024 Financial Results NEW YORK, Jan. 09, 2024 (GLOBE NEWSWIRE) - Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company (“BDC”), today announced financial resu |
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| January 9, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 9, 2024 SARATOGA INVESTMENT CORP. |
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| October 10, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 10, 2023 SARATOGA INVESTMENT CORP. |
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| October 10, 2023 |
Saratoga Investment Corp. Announces Fiscal Second Quarter 2024 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Second Quarter 2024 Financial Results NEW YORK, Oct. 9, 2023 – Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company (“BDC”), today announced financial results for its 2024 |
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| October 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended August 31, 2023 ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as speci |
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| September 28, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 28, 2023 SARATOGA INVESTMENT CORP. |
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| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| July 19, 2023 |
Filed pursuant to Rule 424(b)(3) File No. 333-269186 Saratoga Investment Corp. Up to $300,000,000 Common Stock Supplement No. 2, dated July 19, 2023 to Prospectus, dated March 13, 2023 and Prospectus Supplement, dated June 7, 2023 This supplement amends, supplements or modifies certain information contained in the prospectus supplement, dated June 7, 2023 (the “ATM Prospectus Supplement”), and the |
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| July 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 19, 2023 SARATOGA INVESTMENT CORP. |
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| July 19, 2023 |
Exhibit 10.1 SARATOGA INVESTMENT CORP. (a Maryland corporation) AMENDMENT NO. 3 TO EQUITY DISTRIBUTION AGREEMENT July 19, 2023 Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue 4th Floor New York, New York 10019 Compass Point Research & Trading, LLC 1055 Thomas Jefferson Street NW Suite 303 Washington, DC 20007 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies |
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| July 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 10, 2023 SARATOGA INVESTMENT CORP. |
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| July 10, 2023 |
Saratoga Investment Corp. Announces Fiscal First Quarter 2024 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal First Quarter 2024 Financial Results NEW YORK, July 10, 2023 (GLOBE NEWSWIRE) - Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company (“BDC”), today announced financial resu |
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| July 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 10, 2023 SARATOGA INVESTMENT CORP. |
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| July 10, 2023 |
Filed pursuant to Rule 424(b)(3) File No. 333-269186 Saratoga Investment Corp. Up to $300,000,000 Common Stock Supplement No. 1, dated July 10, 2023 to Prospectus, dated March 13, 2023 and Prospectus Supplement, dated June 7, 2023 This supplement amends, supplements or modifies certain information contained in the prospectus supplement, dated June 7, 2023 (the “ATM Prospectus Supplement”), and the |
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| July 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended May 31, 2023 ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as specifie |
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| July 10, 2023 |
Exhibit 10.1 SARATOGA INVESTMENT CORP. (a Maryland corporation) AMENDMENT NO. 2 TO EQUITY DISTRIBUTION AGREEMENT July 10, 2023 Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue 4th Floor New York, New York 10019 Compass Point Research & Trading, LLC 1055 Thomas Jefferson Street NW Suite 303 Washington, DC 20007 Ladies and Gentlemen: This Amendment No. 2, dated July 10, 2023 (the “Amendment”), is to t |
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| June 7, 2023 |
Saratoga Investment Corp. Common Stock Filed pursuant to Rule 424(b)(2) File No. 333-269186 PROSPECTUS SUPPLEMENT (to Prospectus dated March 13, 2023) Saratoga Investment Corp. $150,000,000 Common Stock We are a specialty finance company that invests primarily in senior and unitranche leveraged loans and mezzanine debt issued by private U.S. middle-market companies, both through direct lending and through participation in loan syndicat |
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| May 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended February 28, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact |
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| May 2, 2023 |
Exhibit 21 SUBSIDIARIES OF SARATOGA INVESTMENT CORP. Name Jurisdiction Saratoga Investment Funding II LLC Delaware Saratoga Investment Corp. SBIC, LP Delaware Saratoga Investment Corp. SBIC II LP Delaware Saratoga Investment Corp. SBIC III LP Delaware Saratoga Investment Corp. GP, LLC Delaware |
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| May 2, 2023 |
Exhibit 4.24 DESCRIPTION OF SECURITIES As of the date of the filing of the Annual Report on Form 10-K for fiscal year ended February 28, 2023 (the “Annual Report”), Saratoga Investment Corp (“we,” “our,” “us,” or the “Company”) has five classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (i) its common stock, par value $0.001 p |
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| May 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 2, 2023 SARATOGA INVESTMENT CORP. |
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| May 2, 2023 |
Saratoga Investment Corp. Announces Fiscal Year-End and Fourth Quarter 2023 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Year-End and Fourth Quarter 2023 Financial Results NEW YORK, May 2, 2023 – Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company (“BDC”), today announced financial results f |
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| April 14, 2023 |
Exhibit 1.1 $50,000,000 SARATOGA INVESTMENT CORP. 8.50% Notes due 2028 UNDERWRITING AGREEMENT April 11, 2023 April 11, 2023 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, NY 10019 Ladies and Gentlemen: Saratoga Investment Corp., a corporation incorporated under |
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| April 14, 2023 |
Exhibit 4.2 FIFTEENTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of April 14, 2023 THIS FIFTEENTH SUPPLEMENTAL INDENTURE (this “Fifteenth Supplemental Indenture”), dated as of April 14, 2023, is between Saratoga Investment Corp., a Maryland corporation (the “Company”), and U.S. Bank Trust Company, National Associa |
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| April 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 11, 2023 SARATOGA INVESTMENT CORP. |
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| April 14, 2023 |
As filed with the Securities and Exchange Commission on April 14, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 12, 2023 |
Filed pursuant to Rule 424(b)(2) File No. 333-269186 PROSPECTUS SUPPLEMENT (to Prospectus dated March 13, 2023) $50,000,000 8.50% Notes due 2028 We are a specialty finance company that invests primarily in senior and unitranche leveraged loans and mezzanine debt issued by private U.S. middle-market companies, both through direct lending and through participation in loan syndicates, and, to a lesse |
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| April 11, 2023 |
SUBJECT TO COMPLETION, DATED APRIL 11, 2023 Filed pursuant to Rule 424(b)(2) File No. 333-269186 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are not solic |
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| April 11, 2023 |
Saratoga Investment Corp. 8.50% Notes Due 2028 Final Pricing Term Sheet April 11, 2023 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated April 11, 2023 Relating to Preliminary Prospectus Supplement dated April 11, 2023 and Prospectus dated March 13, 2023 Registration No. |
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| February 21, 2023 |
[Eversheds Sutherland (US) LLP Letterhead] [Eversheds Sutherland (US) LLP Letterhead] February 21, 2023 VIA EDGAR David L. Orlic, Esq. U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Saratoga Investment Corp. Registration Statement on Form N-2 Filed on January 11, 2023 File No. 333-269186 Dear Mr. Orlic: On behalf of Saratoga Investment Corp. (the “Company”), set forth below are the Company’s responses |
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| February 10, 2023 |
SC 13G/A 1 brhc10047518sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* SARATOGA INVESTMENT CORP. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 80349A208 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Stateme |
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| February 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 27, 2023 SARATOGA INVESTMENT CORP. |
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| February 2, 2023 |
Exhibit 10.1 Execution Version FIRST AMENDMENT TO CREDIT AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO CREDIT AND SECURITY AGREEMENT (this “Amendment”) is entered into as of January 27, 2023, by and among SARATOGA INVESTMENT FUNDING II LLC, a Delaware limited liability company, as Borrower (the “Borrower”); SARATOGA INVESTMENT CORP., a Maryland corporation, as Equityholder (the “Equityholder”); a |
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| January 10, 2023 |
Exhibit 4.7 SEVENTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of January 28, 2021 SEVENTH SUPPLEMENTAL INDENTURE THIS SEVENTH SUPPLEMENTAL INDENTURE (this “Seventh Supplemental Indenture”), dated as of January 28, 2021, is between Saratoga Investment Corp., a Maryland corporation (the “Company”), and U.S. Bank National Associat |
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| January 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended November 30, 2022 ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as spe |
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| January 10, 2023 |
Exhibit 4.11 ELEVENTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of September 8, 2022 THIS ELEVENTH SUPPLEMENTAL INDENTURE (this “Eleventh Supplemental Indenture”), dated as of September 8, 2022, is between Saratoga Investment Corp., a Maryland corporation (the “Company”), and U.S. Bank Trust Company, National Ass |
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| January 10, 2023 |
Exhibit 4.6 FIFTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of July 9, 2020 FIFTH SUPPLEMENTAL INDENTURE THIS FIFTH SUPPLEMENTAL INDENTURE (this “Fifth Supplemental Indenture”), dated as of July 9, 2020, is between Saratoga Investment Corp., a Maryland corporation (the “Company”), and U.S. Bank National Association, as trustee |
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| January 10, 2023 |
Saratoga Investment Corp. Announces Fiscal Third Quarter 2023 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Third Quarter 2023 Financial Results NEW YORK, January 10, 2023 – Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company (“BDC”), today announced financial results for its 20 |
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| January 10, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 10, 2023 SARATOGA INVESTMENT CORP. |
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| December 13, 2022 |
Exhibit 4.2 THIRTEENTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of December 13, 2022 THIS THIRTEENTH SUPPLEMENTAL INDENTURE (this ?Thirteenth Supplemental Indenture?), dated as of December 13, 2022, is between Saratoga Investment Corp., a Maryland corporation (the ?Company?), and U.S. Bank Trust Company, Nationa |
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| December 13, 2022 |
As filed with the Securities and Exchange Commission on December 13, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 13, 2022 SARATOGA INVESTMENT CORP. |
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| December 6, 2022 |
Filed pursuant to Rule 424(b)(2) File No. 333-256366 PROSPECTUS SUPPLEMENT (to Prospectus dated July 7, 2021) $52,500,000 8.125% Notes due 2027 We are a specialty finance company that invests primarily in senior and unitranche leveraged loans and mezzanine debt issued by private U.S. middle-market companies, both through direct lending and through participation in loan syndicates, and, to a lesser |
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| December 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 5, 2022 SARATOGA INVESTMENT CORP. |
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| December 6, 2022 |
EX-1.1 2 ea169723ex1-1saratoga.htm UNDERWRITING AGREEMENT, DATED DECEMBER 5, 2022, BY AND AMONG THE COMPANY, THE ADVISER, LADENBURG THALMANN & CO. INC. AS REPRESENTATIVE OF THE SEVERAL UNDERWRITERS NAMED IN SCHEDULE I THERETO Exhibit 1.1 $52,500,000 SARATOGA INVESTMENT CORP. 8.125% Notes due 2027 UNDERWRITING AGREEMENT December 5, 2022 December 5, 2022 Ladenburg Thalmann & Co. Inc. As Representati |
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| December 5, 2022 |
Saratoga Investment Corp. 8.125% Notes Due 2027 Final Pricing Term Sheet December 5, 2022 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated December 5, 2022 Relating to Preliminary Prospectus Supplement dated December 5, 2022 and Prospectus dated July 7, 2021 Registration No. |
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| December 5, 2022 |
SUBJECT TO COMPLETION, DATED DECEMBER 5, 2022 Filed pursuant to Rule 424(b)(2) File No. 333-256366 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are not solic |
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| October 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 27, 2022 SARATOGA INVESTMENT CORP. |
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| October 27, 2022 |
Exhibit 4.2 TWELFTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of October 27, 2022 THIS TWELFTH SUPPLEMENTAL INDENTURE (this “Twelfth Supplemental Indenture”), dated as of October 27, 2022, is between Saratoga Investment Corp., a Maryland corporation (the “Company”), and U.S. Bank Trust Company, National Associati |
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| October 27, 2022 |
As filed with the Securities and Exchange Commission on October 27, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 20, 2022 |
Saratoga Investment Corp. 8.00% Notes Due 2027 Final Pricing Term Sheet October 19, 2022 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated October 19, 2022 Relating to Preliminary Prospectus Supplement dated October 19, 2022 and Prospectus dated July 7, 2021 Registration No. |
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| October 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 19, 2022 SARATOGA INVESTMENT CORP. |
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| October 20, 2022 |
Filed pursuant to Rule 424(b)(2) File No. 333-256366 PROSPECTUS SUPPLEMENT (to Prospectus dated July 7, 2021) $40,000,000 8.00% Notes due 2027 We are a specialty finance company that invests primarily in senior and unitranche leveraged loans and mezzanine debt issued by private U.S. middle-market companies, both through direct lending and through participation in loan syndicates, and, to a lesser |
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| October 20, 2022 |
Exhibit 1.1 $40,000,000 SARATOGA INVESTMENT CORP. 8.00% Notes due 2027 UNDERWRITING AGREEMENT October 19, 2022 October 19, 2022 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, NY 10019 Ladies and Gentlemen: Saratoga Investment Corp., a corporation incorporated un |
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| October 19, 2022 |
SUBJECT TO COMPLETION, DATED OCTOBER 19, 2022 Filed pursuant to Rule 424(b)(2) File No. 333-256366 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are not solic |
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| October 19, 2022 |
[Eversheds Sutherland (US) LLP Letterhead] [Eversheds Sutherland (US) LLP Letterhead] October 19, 2022 Via EDGAR Jeffrey W. Long Division of Investment Management, Disclosure Review and Accounting U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Saratoga Investment Corp. Dear Mr. Long: On behalf of Saratoga Investment Corp. (the ?Company?), set forth below are the Company?s responses to the comments of |
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| October 13, 2022 |
[Eversheds Sutherland (US) LLP Letterhead] [Eversheds Sutherland (US) LLP Letterhead] October 13, 2022 Via EDGAR Jeffrey W. Long Division of Investment Management, Disclosure Review and Accounting U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Saratoga Investment Corp. Dear Mr. Long: On behalf of Saratoga Investment Corp. (the ?Company?), set forth below are the Company?s responses to the comments of |
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| October 4, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 4, 2022 SARATOGA INVESTMENT CORP. |
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| October 4, 2022 |
Exhibit 10.13 SARATOGA INVESTMENT CORP. NOTES PURCHASE AGREEMENT Dated as of July 9, 2020 To the Purchaser Listed in the signature page: Ladies and Gentlemen: The undersigned, Saratoga Investment Corp., a Maryland corporation (the ?Corporation?), hereby agrees with you as follows: 1. AUTHORIZATION; SALE AND PURCHASE OF NOTES 1.1. Authorization of Notes. The Corporation has duly authorized the issu |
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| October 4, 2022 |
Exhibit 10.14 SARATOGA INVESTMENT CORP. First SUPPLEMENTAL NOTES PURCHASE AGREEMENT Dated as of January 28, 2021 To the Purchaser Listed in the signature page: Ladies and Gentlemen: Reference is made to that certain Note Purchase Agreement dated July 9, 2020 (the ?Purchase Agreement?), by and between Saratoga Investment Corp., a Maryland corporation (the ?Corporation?) and The HCM Master Fund Limi |
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| October 4, 2022 |
Saratoga Investment Corp. Announces Fiscal Second Quarter 2023 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Second Quarter 2023 Financial Results NEW YORK, Oct. 04, 2022 (GLOBE NEWSWIRE) - Saratoga Investment Corp. (NYSE:SAR) (?Saratoga Investment? or ?the Company?), a business development company (?BDC?), today announced financial res |
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| October 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended August 31, 2022 ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as speci |
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| October 4, 2022 |
Exhibit 10.15 SARATOGA INVESTMENT CORP. Second SUPPLEMENTAL NOTES PURCHASE AGREEMENT Dated as of September 8, 2022 To the Purchaser Listed in the signature page: Ladies and Gentlemen: Reference is made to that certain Note Purchase Agreement dated July 9, 2020 (the ?Purchase Agreement?), by and between Saratoga Investment Corp., a Maryland corporation (the ?Corporation?) and The HCM Master Fund Li |
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| September 29, 2022 |
Exhibit 99.1 Saratoga Investment Corp. Receives Approval of Third SBIC License Providing Up to $175 Million of Additional Growth Capital NEW YORK, September 29, 2022 (GLOBE NEWSWIRE) - Saratoga Investment Corp. (NYSE:SAR) (?Saratoga Investment? or ?the Company?), a business development company, today announced that it has received notification from the Small Business Administration (the ?SBA?) tha |
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| September 29, 2022 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 29, 2022 SARATOGA INVESTMENT CORP. |
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| September 29, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) September 29, 2022 SARATOGA INVESTMENT CORP. |
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| September 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 8, 2022 SARATOGA INVESTMENT CORP. |
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| August 15, 2022 |
Exhibit 1.1 PURCHASE AGREEMENT THIS PURCHASE AGREEMENT (this ?Agreement?) is entered into as of August 11, 2022, by and among Saratoga Investment Corp., a Maryland corporation (the ?Company?), Saratoga Investment Advisors, LLC, a Delaware limited liability company, Ladenburg Thalmann & Co. Inc., a Delaware corporation (?Ladenburg?), and each purchaser identified on Appendix A hereto (each a ?Purch |
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| August 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 11, 2022 SARATOGA INVESTMENT CORP. |
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| August 11, 2022 |
Filed pursuant to Rule 424(b)(2) File No. 333-256366 PROSPECTUS SUPPLEMENT (to Prospectus dated July 7, 2021) $8,000,000 6.00% Notes due 2027 We are a specialty finance company that invests primarily in senior and unitranche leveraged loans and mezzanine debt issued by private U.S. middle-market companies, both through direct lending and through participation in loan syndicates, and, to a lesser e |
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| August 3, 2022 |
DEF 14A 1 def14a0822saratogainvest.htm DEFINITIVE PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropr |
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| July 15, 2022 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 26, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| July 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended May 31, 2022 ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as specifie |
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| July 6, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 6, 2022 SARATOGA INVESTMENT CORP. |
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| July 6, 2022 |
Saratoga Investment Corp. Announces Fiscal First Quarter 2023 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal First Quarter 2023 Financial Results NEW YORK, July 6, 2022 ? Saratoga Investment Corp. (NYSE:SAR) (?Saratoga Investment? or ?the Company?), a business development company (?BDC?), today announced financial results for its 2023 f |
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| June 14, 2022 |
Financial Statements and Exhibits, Other Events 8-K 1 ea161543-8ksaratoga.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 14, 2022 SARATOGA INVESTMENT CORP. (Exact Name of Registrant as Specified in Charter) Maryland 814-00732 20-8700615 (State or Other Jur |
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| June 14, 2022 |
Exhibit 99.1 NOTICE OF REDEMPTION TO THE HOLDERS OF THE 7.25% Notes due 2025 of Saratoga Investment Corp. (CUSIP No. 80349A 604)* Redemption Date: July 14, 2022 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture dated as of May 10, 2013 (the ?Base Indenture?), between Saratoga Investment Corp., a Maryland corporation (the ?Company?), and U.S. Bank National Association (the ?Trustee) |
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| May 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended February 28, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact |
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| May 4, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 4, 2022 SARATOGA INVESTMENT CORP. |
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| May 4, 2022 |
Saratoga Investment Corp. Announces Fiscal Year-End and Fourth Quarter 2022 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Year-End and Fourth Quarter 2022 Financial Results NEW YORK, May 4, 2022 ? Saratoga Investment Corp. (NYSE:SAR) (?Saratoga Investment? or ?the Company?), a business development company (?BDC?), today announced financial results f |
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| April 27, 2022 |
Exhibit 4.2 TENTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of April 27, 2022 THIS TENTH SUPPLEMENTAL INDENTURE (this ?Tenth Supplemental Indenture?), dated as of April 27, 2022, is between Saratoga Investment Corp., a Maryland corporation (the ?Company?), and U.S. Bank Trust Company, National Association (as suc |
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| April 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 27, 2022 SARATOGA INVESTMENT CORP. |
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| April 27, 2022 |
8-A12B 1 ea158880-8a12bsaratoga.htm FOR REGISTRATION OF CERTAIN CLASSES As filed with the Securities and Exchange Commission on April 27, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Saratoga Investment Corp. (Exact name of registrant as |
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| April 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 19, 2022 SARATOGA INVESTMENT CORP. |
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| April 20, 2022 |
Filed pursuant to Rule 424(b)(2) File No. 333-256366 PROSPECTUS SUPPLEMENT (to Prospectus dated July 7, 2021) $87,500,000 6.00% Notes due 2027 We are a specialty finance company that invests primarily in senior and unitranche leveraged loans and mezzanine debt issued by private U.S. middle-market companies, both through direct lending and through participation in loan syndicates, and, to a lesser |
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| April 20, 2022 |
Exhibit 1.1 $87,500,000 SARATOGA INVESTMENT CORP. 6.00% Notes due 2027 UNDERWRITING AGREEMENT April 19, 2022 April 19, 2022 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, NY 10019 Ladies and Gentlemen: Saratoga Investment Corp., a corporation incorporated under |
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| April 19, 2022 |
Saratoga Investment Corp. 6.00% Notes Due 2027 Final Pricing Term Sheet April 19, 2022 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated April 19, 2022 Relating to Preliminary Prospectus Supplement dated April 18, 2022 and Prospectus dated July 7, 2021 Registration No. |
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| April 18, 2022 |
SUBJECT TO COMPLETION, DATED APRIL 18, 2022 The information in this preliminary prospectus supplement is not complete and may be changed. |
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| February 14, 2022 |
SAR / Saratoga Investment Corp / BLACK DIAMOND CAPITAL MANAGEMENT, L.L.C. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* SARATOGA INVESTMENT CORP. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 80349A208 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 19, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 13, 2022 SARATOGA INVESTMENT CORP. |
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| January 19, 2022 |
Exhibit 4.2 NINTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of January 19, 2022 THIS NINTH SUPPLEMENTAL INDENTURE (this ?Ninth Supplemental Indenture?), dated as of January 19, 2022, is between Saratoga Investment Corp., a Maryland corporation (the ?Company?), and U.S. Bank National Association, as trustee (the ?Trustee?). All |
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| January 19, 2022 |
Exhibit 1.1 SARATOGA INVESTMENT CORP. $75,000,000 4.35% Notes due 2027 UNDERWRITING AGREEMENT January 13, 2022 Raymond James & Associates, Inc. As representative of the several underwriters named in Exhibit A c/o Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: Saratoga Investment Corp., a Maryland corporation (the ?Company?), and Saratoga I |
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| January 14, 2022 |
Filed pursuant to Rule 424(b)(2) File No. 333-256366 PROSPECTUS SUPPLEMENT (to Prospectus dated July 7, 2021) $75,000,000 4.35% Notes due 2027 We are a specialty finance company that invests primarily in senior and unitranche leveraged loans and mezzanine debt issued by private U.S. middle-market companies, both through direct lending and through participation in loan syndicates, and, to a lesser |
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| January 13, 2022 |
SUBJECT TO COMPLETION DATED JANUARY 13, 2022 The information in this preliminary prospectus supplement is not complete and may be changed. |
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| January 13, 2022 |
SARATOGA INVESTMENT CORP. 4.35% Notes due 2027 PRICING TERM SHEET January 13, 2022 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated January 13, 2022 Relating to Preliminary Prospectus Supplement dated January 13, 2022 and Prospectus dated July 7, 2021 Registration No. |
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| January 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended November 30, 2021 ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as spe |
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| January 5, 2022 |
Saratoga Investment Corp. Announces Fiscal Third Quarter 2022 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Third Quarter 2022 Financial Results NEW YORK, January 5, 2022 ? Saratoga Investment Corp. (NYSE:SAR) (?Saratoga Investment? or ?the Company?), a business development company (?BDC?), today announced financial results for its 202 |
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| January 5, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 5, 2022 SARATOGA INVESTMENT CORP. |
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| October 28, 2021 |
Exhibit 10.1 SARATOGA SENIOR LOAN FUND I JV LLC LIMITED LIABILITY COMPANY AGREEMENT THE SECURITIES REPRESENTED BY THIS AGREEMENT HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), OR REGISTERED OR QUALIFIED UNDER THE SECURITIES LAWS OF ANY STATES OR OTHER JURISDICTIONS. THEY ARE BEING OFFERED AND SOLD IN RELIANCE ON EXEMPTIONS FROM THE REGISTRATION R |
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| October 28, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 26, 2021 SARATOGA INVESTMENT CORP. |
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| October 7, 2021 |
Exhibit 10.3 LOAN SALE AND CONTRIBUTION AGREEMENT between SARATOGA INVESTMENT CORP., as Seller and SARATOGA INVESTMENT FUNDING II LLC, as Purchaser Dated as of October 4, 2021 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 SECTION 1.1 Definitions. 1 SECTION 1.2 Other Terms. 2 SECTION 1.3 Computation of Time Periods. 3 SECTION 1.4 Interpretation. 3 ARTICLE II CONVEYANCES OF TRANSFERRED ASSETS 4 SEC |
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| October 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 4, 2021 SARATOGA INVESTMENT CORP. |
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| October 7, 2021 |
Exhibit 10.2 EQUITY PLEDGE AGREEMENT This EQUITY PLEDGE AGREEMENT (this ?Agreement?), dated as of October 4, 2021, is entered into between SARATOGA INVESTMENT CORP., a Maryland corporation (the ?Pledgor?), and ENCINA LENDER FINANCE, LLC, as collateral agent for the benefit of the Secured Parties (in such capacity, together with its successors and permitted assigns in such capacity, the ?Collateral |
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| October 7, 2021 |
Exhibit 10.1 CREDIT AND SECURITY AGREEMENT Dated as of October 4, 2021 among SARATOGA INVESTMENT FUNDING II LLC, as Borrower, SARATOGA investment corp., as Collateral Manager, SARATOGA INVESTMENT CORP., as Equityholder, THE LENDERS FROM TIME TO TIME PARTIES HERETO, ENCINA LENDER FINANCE, LLC, as Administrative Agent and as Collateral Agent, and U.S. BANK NATIONAL ASSOCIATION, as Custodian and as C |
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| October 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended August 31, 2021 ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as speci |
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| October 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 5, 2021 SARATOGA INVESTMENT CORP. |
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| October 5, 2021 |
Saratoga Investment Corp. Announces Fiscal Second Quarter 2022 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Second Quarter 2022 Financial Results NEW YORK, October 5, 2021 ? Saratoga Investment Corp. (NYSE:SAR) (?Saratoga Investment? or ?the Company?), a business development company (?BDC?), today announced financial results for its 20 |
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| September 30, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) September 27, 2021 SARATOGA INVESTMENT CORP. |
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| August 31, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on September 13, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of |
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| August 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.c. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of |
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| August 2, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 30, 2021 SARATOGA INVESTMENT CORP. |
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| August 2, 2021 |
Exhibit 10.1 SARATOGA INVESTMENT CORP. (a Maryland corporation) EQUITY DISTRIBUTION AGREEMENT July 30, 2021 Ladenburg Thalmann & Co. Inc. 640 5th Avenue, 4th Floor New York, New York 10019 Compass Point Research & Trading, LLC 1055 Thomas Jefferson Street NW Suite 303 Washington, DC 20007 Ladies and Gentlemen: Saratoga Investment Corp., a Maryland corporation (the ?Company?), and Saratoga Investme |
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| July 30, 2021 |
Saratoga Investment Corp. Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-256366 PROSPECTUS SUPPLEMENT (to Prospectus dated July 7, 2021) Saratoga Investment Corp. $150,000,000 Common Stock We are a specialty finance company that invests primarily in senior and unitranche leveraged loans and mezzanine debt issued by private U.S. middle-market companies, both through direct lending and through participation in loan syndicates |
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| July 28, 2021 |
Termination of a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 26, 2021 SARATOGA INVESTMENT CORP. |
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| July 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 15, 2021 SARATOGA INVESTMENT CORP. |
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| July 20, 2021 |
Exhibit 99.1 NOTICE OF REDEMPTION TO THE HOLDERS OF THE 6.25% Notes due 2025 of Saratoga Investment Corp. (CUSIP No. 80349A 505)* Redemption Date: August 31, 2021 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture dated as of May 10, 2013 (the ?Base Indenture?), between Saratoga Investment Corp., a Maryland corporation (the ?Company?), and U.S. Bank National Association (the ?Truste |
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| July 20, 2021 |
EX-1.1 2 ea144483ex1-1saratoga.htm UNDERWRITING AGREEMENT, DATED AS OF JULY 15, 2021, BY AND AMONG SARATOGA INVESTMENT CORP., SARATOGA INVESTMENT ADVISORS, LLC AND RAYMOND JAMES & ASSOCIATES, INC Exhibit 1.1 SARATOGA INVESTMENT CORP. $125,000,000 4.375% Notes due 2026 UNDERWRITING AGREEMENT July 15, 2021 Raymond James & Associates, Inc. As representative of the several underwriters named in Exhibi |
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| July 16, 2021 |
Filed pursuant to Rule 424(b)(2) File No. 333-256366 PROSPECTUS SUPPLEMENT (to Prospectus dated July 7, 2021) $125,000,000 4.375% Notes due 2026 We are a specialty finance company that invests primarily in senior and unitranche leveraged loans and mezzanine debt issued by private U.S. middle-market companies, both through direct lending and through participation in loan syndicates, and, to a lesse |
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| July 15, 2021 |
SARATOGA INVESTMENT CORP. 4.375% Notes due 2026 PRICING TERM SHEET July 15, 2021 FWP 1 ea144300-fwpsaratoga.htm FWP Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated July 15, 2021 Relating to Preliminary Prospectus Supplement dated July 15, 2021 and Prospectus dated July 7, 2021 Registration No. 333-256366 SARATOGA INVESTMENT CORP. $125,000,000 4.375% Notes due 2026 PRICING TERM SHEET July 15, 2021 The following sets forth the final terms of the 4.375% Notes due |
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| July 15, 2021 |
SUBJECT TO COMPLETION DATED JULY 15, 2021 The information in this preliminary prospectus supplement is not complete and may be changed. |
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| July 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended May 31, 2021 ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as specifie |
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| July 7, 2021 |
Saratoga Investment Corp. Announces Fiscal First Quarter 2022 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal First Quarter 2022 Financial Results NEW YORK, July 7, 2021 ? Saratoga Investment Corp. (NYSE:SAR) (?Saratoga Investment? or ?the Company?), a business development company (?BDC?), today announced financial results for its 2022 f |
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| July 7, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 7, 2021 SARATOGA INVESTMENT CORP. |
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| July 1, 2021 |
[Letterhead of Eversheds Sutherland (US) LLP] July 1, 2021 [Letterhead of Eversheds Sutherland (US) LLP] July 1, 2021 VIA EDGAR David L. Orlic, Senior Counsel Jeff Long, Accountant U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-4720 Re: Saratoga Investment Corp. Registration Statement on Form N-2 (File No. 333-256366) Dear Mr. Orlic and Mr. Long: On behalf of Saratoga Investment Corp. (the ?Company?), set forth below are |
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| May 5, 2021 |
Saratoga Investment Corp. Announces Fiscal Year-End and Fourth Quarter 2021 Financial Results EX-99.1 2 ea140379ex99-1saratoga.htm PRESS RELEASE DATED MAY 5, 2021 OF SARATOGA INVESTMENT CORP Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Year-End and Fourth Quarter 2021 Financial Results NEW YORK, May 5, 2021 – Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investmen |
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| May 5, 2021 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 8-K 1 ea140379-8ksaratoga.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 5, 2021 SARATOGA INVESTMENT CORP. (Exact Name of Registrant as Specified in Charter) Maryland 814-00732 20-8700615 (State or Other Juris |
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| May 5, 2021 |
Exhibit 4.10 DESCRIPTION OF SECURITIES As of February 28, 2021, Saratoga Investment Corp (?we,? ?our,? ?us,? or the ?Company?) has three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): (i) its common stock, par value $0.001 per share (?common stock?); (ii) its 6.25% Notes due 2025 (the ?6.25% 2025 Notes?); and (iii) its 7.2 |
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| May 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended February 28, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact |
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| March 10, 2021 |
EX-4.2 2 ea137359ex4-2saratoga.htm EIGHTH SUPPLEMENTAL INDENTURE, DATED AS OF MARCH 10, 2021, BETWEEN SARATOGA INVESTMENT CORP. AND U.S. BANK NATIONAL ASSOCIATION, AS TRUSTEE Exhibit 4.2 EIGHTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of March 10, 2021 THIS EIGHTH SUPPLEMENTAL INDENTURE (this “Eighth Supplemental Indenture”), |
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| March 10, 2021 |
8-K 1 ea137359-8ksaratogainvest.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 10, 2021 SARATOGA INVESTMENT CORP. (Exact Name of Registrant as Specified in Charter) Maryland 814-00732 20-8700615 (State or Ot |
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| March 5, 2021 |
8-K 1 ea137083-8ksarainvco.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 3, 2021 SARATOGA INVESTMENT CORP. (Exact Name of Registrant as Specified in Charter) Maryland 814-00732 20-8700615 (State or Other Ju |
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| March 5, 2021 |
EX-1.1 2 ea137083ex1-1sarainvco.htm UNDERWRITING AGREEMENT, DATED AS OF MARCH 3, 2021, BY AND AMONG SARATOGA INVESTMENT CORP., SARATOGA INVESTMENT ADVISORS, LLC AND RAYMOND JAMES & ASSOCIATES, INC. Exhibit 1.1 SARATOGA INVESTMENT CORP. $50,000,000 4.375% Notes due 2026 UNDERWRITING AGREEMENT March 3, 2021 Raymond James & Associates, Inc. As representative of the several underwriters named in Exhib |
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| March 4, 2021 |
EX-10.1 2 ea137017ex10-1saratogainv.htm AMENDED AND RESTATED COLLATERAL MANAGEMENT AGREEMENT, DATED AS OF FEBRUARY 26, 2021, BY AND BETWEEN SARATOGA INVESTMENT CORP. CLO 2013-1, LTD. AND SARATOGA INVESTMENT CORP Exhibit 10.1 EXECUTION VERSION AMENDED AND RESTATED INVESTMENT MANAGEMENT AGREEMENT This Amended and Restated Investment Management Agreement, dated as of February 26, 2021 (as the same ma |
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| March 4, 2021 |
Filed pursuant to Rule 424(b)(2) File No. 333-227116 PROSPECTUS SUPPLEMENT (to Prospectus dated June 28, 2019) $50,000,000 4.375% Notes due 2026 We are a specialty finance company that invests primarily in senior and unitranche leveraged loans and mezzanine debt issued by private U.S. middle-market companies, both through direct lending and through participation in loan syndicates, and, to a lesse |
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| March 4, 2021 |
Exhibit 10.2 Execution Version AMENDED AND RESTATED COLLATERAL ADMINISTRATION AGREEMENT THIS AMENDED AND RESTATED COLLATERAL ADMINISTRATION AGREEMENT, dated as of February 26, 2021 (as amended, modified or supplemented from time to time, the ?Agreement?), by and among Saratoga Investment Corp. CLO 2013-1, Ltd., an exempted company incorporated with limited liability under the laws of the Cayman Is |
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| March 4, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 ea137017-8ksaratogainv.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 26, 2021 SARATOGA INVESTMENT CORP. (Exact Name of Registrant as Specified in Charter) Maryland 814-00732 20-8700615 (State or Ot |
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| March 3, 2021 |
SARATOGA INVESTMENT CORP. 4.375% Notes due 2026 PRICING TERM SHEET March 3, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated March 3, 2021 Relating to Preliminary Prospectus Supplement dated March 3, 2021 and Prospectus dated June 28, 2019 Registration No. |
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| March 3, 2021 |
SUBJECT TO COMPLETION DATED MARCH 3, 2021 The information in this preliminary prospectus supplement is not complete and may be changed. |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* SARATOGA INVESTMENT CORP. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 80349A208 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate t |
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| January 6, 2021 |
Exhibit 3.2 SARATOGA INVESTMENT CORP. THIRD AMENDED AND RESTATED BYLAWS ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such places as the Board |
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| January 6, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 6, 2021 SARATOGA INVESTMENT CORP. |
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| January 6, 2021 |
Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Saratoga Investment Corp. Announces Fiscal Third Quarter 2021 Financial Results and Increases Dividend by $0.01 to $0.42 per Share for the Quarter Ending November 30, 2020 NEW YORK, January 6, 2021 – Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company (“BDC”), toda |
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| January 6, 2021 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended November 30, 2020 ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as spe |
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| October 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 15, 2020 SARATOGA INVESTMENT CORP. |
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| October 7, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 7, 2020 SARATOGA INVESTMENT CORP. |
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| October 7, 2020 |
Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Second Quarter 2021 Financial Results and Increases Dividend to $0.41 per Share for the Quarter Ending August 31, 2020 NEW YORK, October 7, 2020 – Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a b |
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| October 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q S Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended August 31, 2020 £ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 814-00732 SARATOGA INVESTMENT CORP. (Exact name of registrant as speci |
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| October 2, 2020 |
Submission of Matters to a Vote of Security Holders - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) September 29, 2020 SARATOGA INVESTMENT CORP. |
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| September 17, 2020 |
08&/V0W@ER ME-$11=)87):%\EKY-L=MSH>*'G ^97O2>;#(4%G27$+L6IS%#RAP@K,O"E# M '%2-[CM ?(6.&R_1!ZDA>68K+5 begin 644 exhibita.pdf M)5!$1BTQ+C8-)>+CS],-"C4Q.2 P(&]B:@T\/"],:6YE87)I>F5D(#$O3" U M.34R,3@O3R U,C$O12 X.30Y-R].(#$Q.2]4(#4Y-#,U,2]((%L@-#8U(#8R M.%T^/@UE;F1O8FH-(" @(" @(" @(" @#0HU,C8@,"!O8FH-/#PO1&5C;V1E M4&%R;7,\/"]#;VQU;6YS(#0O4')E9&EC=&]R(#$R/CXO1FEL=&5R+T9L871E M1&5C;V1E+TE$6SPV0S!"-4$P,#DR0T$X,30S0C8Q1D8Q.#0Y-$%$.34S0CX\ M,#)#,#%$-T(U-#E!,#%LU,3D@ M,35=+TEN9F\@-3$X(# @4B],96YG=&@@-3F4@-3 |
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| September 17, 2020 |
Exhibit 10.1 EXECUTION VERSION AMENDMENT NO. 5 TO CREDIT, SECURITY AND MANAGEMENT AGREEMENT This AMENDMENT NO. 5 TO CREDIT, SECURITY AND MANAGEMENT AGREEMENT (this “Amendment”) is made as of September 14, 2020, by and among SARATOGA INVESTMENT FUNDING LLC, a Delaware limited liability company, as borrower (the “Borrower”), SARATOGA INVESTMENT CORP., a Maryland corporation, as Performance Guarantor |
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| September 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 14, 2020 SARATOGA INVESTMENT CORP. |
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| August 17, 2020 |
- DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| August 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| July 8, 2020 |
Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 25, 2020 |
- AMENDMENT NO. 1 TO FORM 8-A12B As filed with the Securities and Exchange Commission on June 24, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 25, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A Amendment No. |
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| June 24, 2020 |
- FOR REGISTRATION OF CERTAIN CLASSES As filed with the Securities and Exchange Commission on June 24, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A Amendment No. |
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| June 24, 2020 |
Exhibit 4.2 FOURTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of June 24, 2020 FOURTH SUPPLEMENTAL INDENTURE THIS FOURTH SUPPLEMENTAL INDENTURE (this “Fourth Supplemental Indenture”), dated as of June 24, 2020, is between Saratoga Investment Corp., a Maryland corporation (the “Company”), and U.S. Bank National Association, as tr |
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| June 23, 2020 |
EX-10.1 2 ea123346ex10-1saratoga.htm UNDERWRITING AGREEMENT, DATED JUNE 17, 2020, BY AND AMONG THE COMPANY, THE ADVISER, LADENBURG THALMANN & CO. INC. AS REPRESENTATIVE OF THE SEVERAL UNDERWRITERS NAMED IN SCHEDULE I THERETO Exhibit 10.1 $37,500,000 SARATOGA INVESTMENT CORP. 7.25% Notes due 2025 UNDERWRITING AGREEMENT June 17, 2020 June 17, 2020 Ladenburg Thalmann & Co. Inc. As Representative of t |
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| June 23, 2020 |
8-K 1 ea123346-8ksaratogainvest.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 23, 2020 (June 17, 2020) SARATOGA INVESTMENT CORP. (Exact Name of Registrant as Specified in Charter) Maryland 814-00732 20-87006 |
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| May 6, 2020 |
Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 6, 2020 |
EX-21.1 Exhibit 21.1 SUBSIDIARIES OF SARATOGA INVESTMENT CORP. Name Jurisdiction Saratoga Investment Funding LLC Delaware Saratoga Investment Corp. SBIC, LP Delaware Saratoga Investment Corp. SBIC II LP Delaware Saratoga Investment Corp. GP, LLC Delaware |
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| May 6, 2020 |
EX-4.10 2 d903885dex410.htm EX-4.10 Exhibit 4.10 DESCRIPTION OF SECURITIES Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Annual Report on Form 10-K to which this Description of Securities is an exhibit. The following description is based on relevant portions of the Maryland General Corporation Law and our charter and bylaws, which we collectively refe |
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| May 6, 2020 |
Saratoga Investment Corp. Announces Fiscal Year-End and Fourth Quarter 2020 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Year-End and Fourth Quarter 2020 Financial Results NEW YORK, May 6, 2020 – Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company, today announced financial results for its 2 |
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| May 6, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 8-K 1 ea121467-8ksaratogainvest.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 6, 2020 SARATOGA INVESTMENT CORP. (Exact Name of Registrant as Specified in Charter) Maryland 814-00732 20-8700615 (State or Other |
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| April 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 24, 2020 SARATOGA INVESTMENT CORP. |
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| April 29, 2020 |
EX-10.1 2 ea121183ex10-1saratoga.htm AMENDMENT NO. 4 TO CREDIT, SECURITY AND MANAGEMENT AGREEMENT, DATED APRIL 24, 2020, BY AND AMONG SARATOGA INVESTMENT FUNDING LLC, SARATOGA INVESTMENT CORP., SARATOGA INVESTMENT ADVISORS, LLC, MADISON CAPITAL FUNDING LLC AND U.S. BANK NATIONAL ASSOCIATION Exhibit 10.1 Execution Version AMENDMENT NO. 4 TO CREDIT, SECURITY AND MANAGEMENT AGREEMENT This AMENDMENT N |
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| February 14, 2020 |
SAR / Saratoga Investment Corp. / BLACK DIAMOND CAPITAL MANAGEMENT, L.L.C. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* SARATOGA INVESTMENT CORP. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 80349A208 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate t |
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| February 10, 2020 |
EX-99.25 2 ruleprovisionnotice.htm NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on February 21, 2020, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12 |
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| January 16, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2) Saratoga Investment Corp. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 80349A 109 (CUSIP Num |
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| January 8, 2020 |
SAB / Saratoga Investment Corp. 10-Q - Quarterly Report - FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 15, 2019 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 15, 2019 SARATOGA INVESTMENT CORP. |
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| November 15, 2019 |
EX-99.1 Exhibit 99.1 NOTICE OF PARTIAL REDEMPTION TO THE HOLDERS OF THE 6.75% Notes due 2023 of Saratoga Investment Corp. (CUSIP No. 80349A406)* Redemption Date: December 21, 2019 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture dated as of May 10, 2013 (the “Base Indenture”), between Saratoga Investment Corp., a Maryland corporation (the “Company”), and U.S. Bank National Associa |
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| October 10, 2019 |
EX-10.1 Exhibit 10.1 SARATOGA INVESTMENT CORP. (a Maryland corporation) AMENDMENT NO. 5 TO EQUITY DISTRIBUTION AGREEMENT October 10, 2019 Ladenburg Thalmann & Co. Inc. 277 Park Avenue, 26th Floor New York, New York 10172 BB&T Capital Markets, a division of BB&T Securities, LLC 901 East Byrd Street, Suite 300 Richmond, Virginia 23219 B. Riley FBR, Inc. 299 Park Avenue, 7th Floor New York, New York |
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| October 10, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 10, 2019 SARATOGA INVESTMENT CORP. |
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| October 9, 2019 |
SAB / Saratoga Investment Corp. 10-Q - Quarterly Report - FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 26, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) September 26, 2019 SARATOGA INVESTMENT CORP. |
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| August 21, 2019 |
EX-99.1 2 f8k082119ex99-1saratoga.htm PRESS RELEASE DATED AUGUST 21, 2019 OF SARATOGA INVESTMENT CORP Exhibit 99.1 Saratoga Investment Corp. Receives Approval of Second SBIC License Providing Up to $175 Million of Additional Growth Capital NEW YORK, Aug. 21, 2019 (GLOBE NEWSWIRE) - Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company, today |
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| August 21, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 21, 2019 SARATOGA INVESTMENT CORP. |
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| August 1, 2019 |
SAB / Saratoga Investment Corp. DEF 14A - - DEFINITIVE PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive |
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| July 12, 2019 |
Opinion and Consent of Eversheds Sutherland (US) LLP, counsel for Saratoga Investment Corp.** EX-99.(L)(2) 3 d773932dex99l2.htm EX-99.(L)(2) Exhibit (l)(2) [Letterhead of Eversheds Sutherland (US) LLP] July 12, 2019 Saratoga Investment Corp. 535 Madison Avenue New York, New York 10022 Re: Saratoga Investment Corp. Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Saratoga Investment Corporation, a Maryland corporation (the “Company”), in connection with t |
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| July 12, 2019 |
SAB / Saratoga Investment Corp. POS EX - - POS EX POS EX As filed with the Securities and Exchange Commission on July 12, 2019 Securities Act File No. |
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| July 12, 2019 |
EX-99.(h)(8) Exhibit (h)(8) SARATOGA INVESTMENT CORP. (a Maryland corporation) AMENDMENT NO. 4 TO EQUITY DISTRIBUTION AGREEMENT July 11, 2019 Ladenburg Thalmann & Co. Inc. 277 Park Avenue, 26th Floor New York, New York 10172 BB&T Capital Markets, a division of BB&T Securities, LLC 901 East Byrd Street, Suite 300 Richmond, Virginia 23219 B. Riley FBR, Inc. 299 Park Avenue, 7th Floor New York, New Y |
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| July 10, 2019 |
SAB / Saratoga Investment Corp. 10-Q - Quarterly Report - FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 27, 2019 |
EX-99.(n)(2) Exhibit (n)(2) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the reference to our firm under the captions “Selected Financial and Other Data”, “Senior Securities” and “Independent Registered Public Accounting Firm” and to the use of our report dated May 13, 2019, with respect to the financial statements of Saratoga Investment Corp. CLO 2013-1, Ltd. as of Febru |
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| June 27, 2019 |
EX-99.(n)(1) Exhibit (n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the reference to our firm under the captions “Selected Financial and Other Data”, “Senior Securities” and “Independent Registered Public Accounting Firm” and to the use of our reports (a) dated May 13, 2019, with respect to the consolidated financial statements of Saratoga Investment Corp. as of Febr |
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| June 27, 2019 |
SAB / Saratoga Investment Corp. POS 8C - - POS 8C POS 8C Table of Contents As filed with the Securities and Exchange Commission on June 27, 2019 Securities Act File No. |
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| June 27, 2019 |
SAB / Saratoga Investment Corp. CORRESP - - CORRESP Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| May 14, 2019 |
Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 13, 2019 |
SAB / Saratoga Investment Corp. POS 8C POS 8C POS 8C Table of Contents As filed with the Securities and Exchange Commission on May 13, 2019 Securities Act File No. |
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| May 13, 2019 |
EX-99.(N)(1) 2 d708289dex99n1.htm EX-99.(N)(1) Exhibit (n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the reference to our firm under the captions “Selected Financial and Other Data”, “Senior Securities” and “Independent Registered Public Accounting Firm” and to the use of our reports (a) dated May 13, 2019, with respect to the consolidated financial statements of Sa |
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| May 13, 2019 |
EX-99.(N)(2) Exhibit (n)(2) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the reference to our firm under the captions “Selected Financial and Other Data”, “Senior Securities” and “Independent Registered Public Accounting Firm” and to the use of our report dated May 13, 2019, with respect to the financial statements of Saratoga Investment Corp. CLO 2013-1, Ltd. as of Febru |
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| May 13, 2019 |
EX-99.(N)(3) Exhibit (n)(3) Report of Independent Registered Public Accounting Firm on Supplemental Information Board of Directors and Shareholders of Saratoga Investment Corp. We have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (“PCAOB”), the consolidated statements of assets and liabilities of Saratoga Investment Corp. (the “Company” |
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| May 8, 2019 |
Saratoga Investment Corp. Announces Fiscal Year End and Fourth Quarter 2019 Financial Results Exhibit 99.1 Contact: Henri Steenkamp Saratoga Investment Corp. 212-906-7800 Roland Tomforde Broadgate Consultants 212-232-2222 Saratoga Investment Corp. Announces Fiscal Year End and Fourth Quarter 2019 Financial Results NEW YORK, May 8, 2019 – Saratoga Investment Corp. (NYSE:SAR) (“Saratoga Investment” or “the Company”), a business development company, today announced financial results for its 2 |
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| May 8, 2019 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 8, 2019 SARATOGA INVESTMENT CORP. |
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| April 2, 2019 |
SAB / Saratoga Investment Corp. / Oberbeck Elizabeth - SCHEDULE 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Saratoga Investment Corp. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 80349A 109 (CUSIP Num |
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| February 14, 2019 |
SAR / Saratoga Investment Corp. / BLACK DIAMOND CAPITAL MANAGEMENT, L.L.C. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* SARATOGA INVESTMENT CORP. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 80349A208 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate t |
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| February 5, 2019 |
Exhibit (h)(7) Exhibit (h)(7) $17,325,000 SARATOGA INVESTMENT CORP. 6.25% Notes due 2025 UNDERWRITING AGREEMENT February 1, 2019 February 1, 2019 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 277 Park Avenue, 26th Floor New York, NY 10172 Ladies and Gentlemen: Saratoga Investment Corp., a corporati |
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| February 5, 2019 |
Opinion and Consent of Eversheds Sutherland (US) LLP, counsel for Saratoga Investment Corp.** Exhibit (l) Exhibit l [Letterhead of Eversheds Sutherland (US) LLP] February 5, 2019 Saratoga Investment Corp. |
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| February 5, 2019 |
SAB / Saratoga Investment Corp. POS EX POS EX As filed with the Securities and Exchange Commission on February 5, 2019 Securities Act File No. |
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| January 9, 2019 |
SAB / Saratoga Investment Corp. FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 16, 2018 |
Opinion and Consent of Eversheds Sutherland (US) LLP, counsel for Saratoga Investment Corp.** Exhibit (l) Exhibit (l) [Letterhead of Eversheds Sutherland (US) LLP] October 16, 2018 Saratoga Investment Corp. |
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| October 16, 2018 |
SAB / Saratoga Investment Corp. POS EX POS EX 1 d638504dposex.htm POS EX As filed with the Securities and Exchange Commission on October 16, 2018 Securities Act File No. 333-227116 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 (Check appropriate box or boxes) REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☐ Pre-Effective Amendment No. ☒ Post-Effective Amendment No. 1 SARATOGA INVESTMENT CORP. (Exact N |
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| October 16, 2018 |
Exhibit (h)(5) Exhibit(h)(5) SARATOGA INVESTMENT CORP. (a Maryland corporation) AMENDMENT NO. 3 TO EQUITY DISTRIBUTION AGREEMENT October 16, 2018 Ladenburg Thalmann & Co. Inc. 277 Park Avenue, 26th Floor New York, New York 10172 BB&T Capital Markets, a division of BB&T Securities, LLC 901 East Byrd Street, Suite 300 Richmond, Virginia 23219 B. Riley FBR, Inc. 299 Park Avenue, 7th Floor New York, N |
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| October 10, 2018 |
SAB / Saratoga Investment Corp. FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 3, 2018 |
SAB / Saratoga Investment Corp. CORRESP CORRESP 1 filename1.htm October 3, 2018 VIA EDGAR Mr. James E. O’Connor, Esq. Senior Counsel – Disclosure Review Office Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 RE: Saratoga Investment Corp. Registration Statement on Form N-2 Pre-Effective Amendment No. 1 (File No. 333-227116) Dear Mr. O’Connor: In accordance with Rule 461 of |
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| September 27, 2018 |
Submission of Matters to a Vote of Security Holders 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) September 27, 2018 SARATOGA INVESTMENT CORP. |
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| September 27, 2018 |
SAB / Saratoga Investment Corp. CORRESP CORRESP Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| August 28, 2018 |
SAB / Saratoga Investment Corp. 8-A12B 8-A12B As filed with the Securities and Exchange Commission on August 28, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 28, 2018 |
EX-99.(D)(5) 2 d612271dex99d5.htm EXHIBIT (D)(5) Exhibit (d)(5) THIRD SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of August 28, 2018 THIRD SUPPLEMENTAL INDENTURE THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of August 28, 2018, is between Saratoga Investment Corp., a Maryland corporation (the “ |
