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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934

 

Date of report (Date of earliest event reported) October 23, 2024

 

SARATOGA INVESTMENT CORP.

(Exact Name of Registrant as Specified in Charter)

 

Maryland   814-00732   20-8700615
(State or Other Jurisdiction
of Incorporation)		   (Commission
File Number)		   (IRS Employer
Identification No.)
         

535 Madison Avenue

New York, New York

   10022
(Address of Principal Executive Offices)   (Zip Code)

 

Registrant’s telephone number, including area code (212) 906-7800

 

Not Applicable

 

(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

  

 

Trading Symbol(s)

  

 

Name of each exchange on which registered

Common Stock, par value $0.001 per share   SAR   New York Stock Exchange
6.0% Notes due 2027   SAT   New York Stock Exchange
8.0% Notes due 2027   SAJ   New York Stock Exchange
8.125% Notes due 2027   SAY   New York Stock Exchange
8.50% Notes due 2028   SAZ   New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

Item 5.07. Submission of Matters to a Vote of Security Holders.

On October 23, 2024, Saratoga Investment Corp. (the “Company”) held its 2024 Annual Meeting of Stockholders (the “Annual Meeting”). As of July 29, 2024, the record date for the Annual Meeting, 13,745,769 shares of common stock were eligible to be voted, and 7,257,704 of those shares were voted in person or by proxy at the Annual Meeting.  The following matter was submitted at the Annual Meeting to the stockholders for consideration:

 

Proposal 1 — Election of Directors

 

  · To elect Christian L. Oberbeck as a director of the Company, each to serve until the 2027 Annual Meeting of Stockholders or until their respective successor is duly elected and qualified.

The nominee was elected to serve until the 2027 Annual Meeting of Stockholders or until his successor is duly elected and qualified. The following votes were taken in connection with this proposal:

 

Director Nominee   Votes For     Votes Withheld   Broker Non-Votes  
                 
Christian L. Oberbeck     6,366,788       890,916   —  
                     

 

1

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  Saratoga Investment Corp.
     
Date:  October 23, 2024    
     
  By:  /s/ Henri J. Steenkamp
  Name:  Henri J. Steenkamp
  Title: Chief Financial Officer, Chief Compliance Officer, Treasurer and Secretary

 

2

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Cover
Oct. 23, 2024
Document Type 8-K
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Document Period End Date Oct. 23, 2024
Entity File Number 814-00732
Entity Registrant Name SARATOGA INVESTMENT CORP.
Entity Central Index Key 0001377936
Entity Tax Identification Number 20-8700615
Entity Incorporation, State or Country Code MD
Entity Address, Address Line One 535 Madison Avenue
Entity Address, City or Town New York
Entity Address, State or Province NY
Entity Address, Postal Zip Code 10022
City Area Code 212
Local Phone Number 906-7800
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Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company false
Common Stock, par value $0.001 per share  
Title of 12(b) Security Common Stock, par value $0.001 per share
Trading Symbol SAR
Security Exchange Name NYSE
6.0% Notes due 2027  
Title of 12(b) Security 6.0% Notes due 2027
Trading Symbol SAT
Security Exchange Name NYSE
8.0% Notes due 2027  
Title of 12(b) Security 8.0% Notes due 2027
Trading Symbol SAJ
Security Exchange Name NYSE
8.125% Notes due 2027  
Title of 12(b) Security 8.125% Notes due 2027
Trading Symbol SAY
Security Exchange Name NYSE
8.50% Notes due 2028  
Title of 12(b) Security 8.50% Notes due 2028
Trading Symbol SAZ
Security Exchange Name NYSE
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