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