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