Welcome to our dedicated page for Saratoga Invtmt SEC filings (Ticker: SAJ), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The SEC filings page for Saratoga Investment Corp. 8.00% Notes due 2027 (SAJ) provides access to regulatory documents filed by the issuer, Saratoga Investment Corp., that reference this NYSE-listed note issue. In several Form 8-K filings, the company lists the "8.00% Notes due 2027" with the trading symbol SAJ among its securities registered under Section 12(b) of the Securities Exchange Act of 1934, alongside common stock and other note series.
These filings cover a range of topics that matter to analysts of SAJ and other Saratoga Investment Corp. securities. One Form 8-K describes the entry into a Credit and Security Agreement known as the Valley Credit Agreement, involving Saratoga Investment Funding II LLC as borrower and Saratoga Investment Corp. as collateral manager and equityholder. The filing outlines the structure of a special purpose vehicle financing credit facility, borrowing base calculations, eligibility criteria for loans, interest terms, unused fees, financial covenants such as interest coverage and overcollateralization tests, and customary events of default.
The same filing reports the termination of an earlier credit and security agreement and related equity pledge agreement, noting that these agreements ended after all obligations, including principal, interest, and fees, were satisfied. Other Form 8-K filings referenced in the available data focus on the announcement of quarterly financial results via press releases furnished as exhibits and the submission of matters to a vote of security holders at an annual meeting, including director elections and auditor ratification.
On this page, users can review such Form 8-K reports and related exhibits as they pertain to Saratoga Investment Corp. and its securities, including SAJ. AI-powered tools on the platform can help summarize key points from lengthy filings, highlight sections related to financing arrangements, covenants, and shareholder actions, and make it easier to understand how these disclosures relate to the issuer’s note obligations.
Saratoga Investment Corp. filed a current report describing an update to its at-the-market common stock offering program. The company and its adviser entered into Amendment No. 5 to the equity distribution agreement with Lucid Capital Markets, Ladenburg Thalmann, Compass Point, and Raymond James.
The amendment, dated March 13, 2026, migrates the at-the-market offering program to Saratoga Investment Corp.’s effective shelf registration statement on Form N-2 (333-292765) from a prior Form N-2 shelf. Any shares of common stock sold under this program will be issued pursuant to the updated registration statement and related prospectus documents.
Saratoga Investment Corp. proposes an at-the-market offering to sell up to $300,000,000 aggregate offering price of common stock pursuant to an equity distribution agreement with agents. The prospectus supplement states $170.4 million remains available under the ATM Program as of the date hereof and, assuming sale of that remaining amount, the company anticipates net proceeds of approximately $167.5 million.
The offering will be conducted on the NYSE or through market makers at prevailing or negotiated prices, with agents paid commissions up to 1.5%. NAV per share was $25.59 as of November 30, 2025, and the per-share sales price, less commissions, will not be below NAV; Saratoga Investment Advisors may contribute proceeds to prevent sales below NAV. Net proceeds are intended for middle-market investments, possible reduction of borrowings and general corporate purposes.
Saratoga Investment Corp. amends its Form N-2 registration statement to update exhibits and related disclosures. This Pre-Effective Amendment No. 2 replaces only the cover page, the explanatory note and Part C (exhibits) while leaving the prospectus and financial statements unchanged and incorporated by reference.
The filing lists the Calculation of Filing Fee items totaling $443,760.31, shows approximate record holders for listed securities as of January 14, 2026 (common stock: 11 record holders; various notes: 1 each), and incorporates multiple indentures, note forms and distribution agreements by reference.
Saratoga Investment Corp. filed a Pre-Effective Amendment No. 1 to its Form N-2 registration statement to pay an additional registration fee and update exhibits, without changing the prospectus or financial statements. The amendment incorporates audited and unaudited financial statements by reference and amends Part C to list updated exhibits and agreements.
Saratoga Investment Corp. issued and sold $100.0 million of new 7.50% Notes due 2031 under a supplemental indenture with U.S. Bank Trust Company. These unsecured notes pay 7.50% annual interest quarterly starting May 31, 2026 and mature on February 6, 2031.
The notes can be redeemed at the company’s option at par plus accrued interest on or after February 6, 2028. Saratoga intends to use the approximately $96.4 million in net proceeds, together with available cash, to repay its 4.375% notes due 2026 at their February 28, 2026 maturity.
The notes rank pari passu with Saratoga’s other unsecured, unsubordinated debt, are effectively subordinated to secured borrowings, and are structurally subordinated to obligations of subsidiaries. The indenture includes leverage and reporting covenants tied to Investment Company Act provisions, with certain limitations and exceptions.
Saratoga Investment Corp., a middle‑market business development company, is offering $100,000,000 in aggregate principal amount of 7.50% notes due 2031. These fixed‑rate Notes pay interest quarterly starting May 31, 2026, and mature on February 6, 2031, with a minimum denomination of $25.
The Notes are unsecured, rank equally with Saratoga’s other unsecured unsubordinated debt, and are effectively subordinated to secured borrowings and all obligations of subsidiaries, including SBA debentures and credit facilities. Saratoga intends to list the Notes on the NYSE under the symbol “SAV.”
Estimated net proceeds of about $96.4 million will be used, together with available cash, to repay the $175.0 million 4.375% notes due 2026 at maturity. The Notes are callable at par plus accrued interest on or after February 6, 2028, and are not subject to a sinking fund, so repayment at maturity will depend on Saratoga’s financial position at that time. The company highlights leverage and structural subordination as key risks for noteholders.
Saratoga Investment Corp. entered into an underwriting agreement to issue and sell $100,000,000 aggregate principal amount of its 7.50% Notes due 2031. The underwriters also have a 30-day option to buy up to an additional $15,000,000 of these notes.
The company plans to list the notes on the New York Stock Exchange under the symbol “SAV” within 30 days of the original issue date. Closing of the offering is expected on February 6, 2026, subject to customary closing conditions, and the agreement includes standard representations, covenants, and indemnification provisions.
Saratoga Investment Corp.'s CEO, director, and 10% owner Christian L. Oberbeck reported a gift of 1,000 shares of common stock on January 29, 2026. The filing states this was a gift to his grandchild who does not share his household, at a reported price of $0.00 per share.
After this transaction, he directly beneficially owned 664,983 common shares, with additional indirect holdings reported as 86,446 shares by his children, 71,607 shares by CLO Partners LLC, 100,000 shares by CLO Partners Holdings LLC, and 1,937 shares by his wife.