0001213900-20-018609.txt : 20200724 0001213900-20-018609.hdr.sgml : 20200724 20200724211732 ACCESSION NUMBER: 0001213900-20-018609 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200722 FILED AS OF DATE: 20200724 DATE AS OF CHANGE: 20200724 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: 201047973 MAIL ADDRESS: STREET 1: C/O KOPPERS INC STREET 2: 436 SEVENTH AVENUE, SUITE 1550 CITY: PITTSBURG STATE: PA ZIP: 15219 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 4 1 ownership.xml X0306 4 2020-07-22 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 2020-07-22 4 P 0 2000 17.53 A 716450 D Common Stock 2020-07-23 4 P 0 3000 17.5027 A 719450 D Common Stock 2020-07-24 4 P 0 1000 16.891 A 720450 D Common Stock 217774 I By CLO Partners LLC Common Stock 15375 I By children Common Stock 1011 I By wife The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $17.48 to $17.55 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Saratoga Investment Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $17.37 to $17.64 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Saratoga Investment Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $16.86 to $16.92 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Saratoga Investment Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. /s/ Christian Oberbeck 2020-07-24