0000899243-17-010300.txt : 20170414
0000899243-17-010300.hdr.sgml : 20170414
20170414113739
ACCESSION NUMBER: 0000899243-17-010300
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170228
FILED AS OF DATE: 20170414
DATE AS OF CHANGE: 20170414
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: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00732
FILM NUMBER: 17762404
MAIL ADDRESS:
STREET 1: C/O KOPPERS INC
STREET 2: 436 SEVENTH AVENUE, SUITE 1550
CITY: PITTSBURG
STATE: PA
ZIP: 15219
5
1
doc5.xml
FORM 5 SUBMISSION
X0306
5
2017-02-28
0
0
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
2016-12-27
5
G
0
3400
0.00
D
624391
D
Common Stock
2016-12-27
5
G
0
2550
0.00
D
624391
D
Common Stock
2016-12-27
5
G
0
2550
0.00
A
2550
I
By children
Common Stock
123561
I
By Saratoga investment Advisers, LLC
Common Stock
220324
I
By CLO Partners LLC
This transaction involved gifts of securities by the reporting person to his children, who share the reporting person's household.
/s/ Christian Oberbeck
2017-04-14