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. reported the results of its 2025 Annual Meeting of Stockholders held on September 25, 2025. As of the July 29, 2025 record date, 15,951,835 shares of common stock were eligible to vote, and 11,533,981 shares were represented in person or by proxy. Stockholders elected Steven M. Looney and Charles S. Whitman III as directors to serve until the 2028 Annual Meeting or until their successors are elected and qualified. Mr. Looney received 4,474,615 votes for and 892,437 votes withheld, while Mr. Whitman received 4,365,201 votes for and 1,001,851 votes withheld. Stockholders also ratified the selection of Ernst & Young LLP as independent registered public accounting firm for the fiscal year ending February 28, 2026, with 10,593,050 votes for, 848,257 votes against, and 92,674 abstentions.
Christian L. Oberbeck, identified as CEO, Director and a 10% owner of Saratoga Investment Corp., reported a transaction dated 09/23/2025 on Form 4. The filing states Mr. Oberbeck transferred 606 shares of common stock to two Saratoga employees as compensation. The form lists various holdings described as direct and indirect ownership (including interests held by CLO Partners LLC, CLO Partners Holdings LLC, his children and his wife). The Form 4 was signed on 09/25/2025.