0000899243-17-010348.txt : 20170417 0000899243-17-010348.hdr.sgml : 20170417 20170417162817 ACCESSION NUMBER: 0000899243-17-010348 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170413 FILED AS OF DATE: 20170417 DATE AS OF CHANGE: 20170417 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: 17764834 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 2017-04-13 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 2017-03-06 5 G 0 E 850 0.00 D 623541 D Common Stock 2017-03-06 5 G 0 E 850 0.00 A 850 I By wife Common Stock 2017-04-13 4 J 0 1373 0.00 D 122188 I By Saratoga Investment Advisors, LLC Common Stock 2550 I By children Common Stock 220324 I By CLO Partners LLC Common Stock 623541 D This transaction involved gifts of securities by the reporting person to his wife, who shares the reporting person's household. On April 13, 2017, Saratoga Investment Advisors, LLC, which Mr. Oberbeck controls, transferred 1,373 shares of common stock as compensation. /s/ Christian L. Oberbeck 2017-04-17