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