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