0000899243-16-016248.txt : 20160317
0000899243-16-016248.hdr.sgml : 20160317
20160317215417
ACCESSION NUMBER: 0000899243-16-016248
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160314
FILED AS OF DATE: 20160317
DATE AS OF CHANGE: 20160317
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SARATOGA INVESTMENT CORP.
CENTRAL INDEX KEY: 0001377936
IRS NUMBER: 204876925
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0228
BUSINESS ADDRESS:
STREET 1: 535 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212 750-3343
MAIL ADDRESS:
STREET 1: 535 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: GSC INVESTMENT CORP.
DATE OF NAME CHANGE: 20070321
FORMER COMPANY:
FORMER CONFORMED NAME: GSC Investment LLC
DATE OF NAME CHANGE: 20061011
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Oberbeck Christian L
CENTRAL INDEX KEY: 0001349483
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00732
FILM NUMBER: 161514359
MAIL ADDRESS:
STREET 1: C/O KOPPERS INC
STREET 2: 436 SEVENTH AVENUE, SUITE 1550
CITY: PITTSBURG
STATE: PA
ZIP: 15219
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-03-14
0
0001377936
SARATOGA INVESTMENT CORP.
SAR
0001349483
Oberbeck Christian L
C/O SARATOGA INVESTMENT CORP.
535 MADISON AVENUE
NEW YORK
NY
10022
1
1
1
0
CEO and Director
Common Stock
2016-03-14
4
J
0
38561
0.00
D
506251
D
Common Stock
2016-03-14
4
J
0
10587
0.00
D
197280
I
CLO Partners LLC
Common Stock
178776
I
By Saratoga Investment Advisors, LLC
Common Stock
2016-03-15
4
J
0
8472
0.00
D
497779
D
Common Stock
178776
I
By Saratoga Investment Advisors, LLC
Common Stock
197280
I
CLO Partners LLC
On March 14, 2016, Mr. Oberbeck transferred 38,561 shares of common stock to Saratoga Investment Advisors, LLC and CLO Partners LLC transferred 10,587 shares of common stock to Saratoga Investment Advisors, LLC. Saratoga Investment Advisors, LLC and CLO Partners, LLC are controlled by Mr. Oberbeck. On March 14, 2016, Saratoga Investment Advisors, LLC transferred 49,218 shares of common stock as compensation.
On March 15, 2016, Mr. Oberbeck transferred 8,472 shares of common stock to Saratoga Investment Advisors, LLC, which Mr. Oberbeck controls. On March 15, 2016, Saratoga Investment Advisors, LLC, transferred 8,472 shares of common stock as compensation.
/s/ Christian L. Oberbeck
2016-03-17