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Saratoga Investment Corp. CEO, director and 10% owner Christian Oberbeck reported a gift of 1,000 shares of common stock on 12/19/2025. The shares were gifted to his grandchild, who does not share his household. Following this transaction, he directly beneficially owns 657,285 shares of common stock and indirectly beneficially owns additional shares through his children, CLO Partners LLC, CLO Partners Holdings LLC, and his wife.
Saratoga Investment Corp. CEO, director and 10% owner Christian Oberbeck reported stock gifts to family members in a Form 4 dated 12/11/2025. He transferred 5,200 shares of common stock as a gift to children who do not share his household and 7,800 shares as a gift to children who share his household, both at a reported price of $0.00 per share.
After these transactions, Oberbeck holds 657,285 common shares directly. He also reports indirect beneficial ownership of 83,742 shares held by his children, 73,607 shares held by CLO Partners LLC, 100,000 shares held by CLO Partners Holdings LLC, and 1,872 shares held by his wife.
What: Saratoga Investment Corp. Definitive Proxy Statement for the 2025 Annual Meeting of Stockholders.
When/Who: Meeting on September 25, 2025 at 10:00 a.m. ET; record date July 29, 2025; 15,951,835 shares outstanding as of the record date.
Proposals: (1) Elect Steven M. Looney and Charles S. Whitman III as directors for terms ending 2028 (election by plurality); (2) Ratify Ernst & Young LLP as independent registered public accounting firm for fiscal year ending February 28, 2026 (majority vote). The Board unanimously recommends a vote FOR both proposals.
Material items: Audit fees for FY2025 totaled $961,700 (FY2024: $642,300); total EY fees FY2025 $1,046,050 plus other fees $65,000. Management Agreement with Saratoga Investment Advisors was renewed on July 7, 2025. Chairman/CEO is Christian L. Oberbeck; directors and execs beneficially own 1,667,162 shares (10.0%); Mr. Oberbeck beneficially reported 1,505,809 shares (9.4%) and retains voting rights over 549,183 shares; Mr. Oberbeck has pledged 600,000 shares as collateral.
On 29–30 Jul 2025, SARATOGA INVESTMENT CORP. (SAR) CEO, Chairman and >10% owner Christian L. Oberbeck filed a Form 4 showing non-open-market, $0.00-price transfers of 28,261 and 48 shares (total 28,309) to 17 Saratoga employees as compensation (transaction code “J”). The shares came from his indirect vehicle CLO Partners LLC, whose stake fell to 89,465.
Post-transaction, Oberbeck holds 650,426 shares directly and about 263,881 shares indirectly via CLO Partners LLC, CLO Partners Holdings LLC, spouse and children, maintaining 10%-plus ownership. No derivative positions were reported. The filing signals no cash sale or market disposal, but it modestly reduces insider ownership while broadening employee equity participation.
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