Welcome to our dedicated page for Saratoga Invt SEC filings (Ticker: SAR), 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.
Saratoga Investment Corp. (NYSE: SAR) files a range of regulatory documents with the U.S. Securities and Exchange Commission that provide detailed insight into its operations as a business development company. This SEC filings page aggregates those documents and pairs them with AI‑generated summaries to help readers understand the key points in each filing.
Investors can review annual reports on Form 10‑K and quarterly reports on Form 10‑Q, which describe Saratoga Investment’s financial statements, portfolio composition, risk factors, leverage, funding sources and management’s discussion of results. As a specialty finance company focused on senior and unitranche leveraged loans, mezzanine debt and select equity investments in U.S. middle‑market businesses, these filings explain how the company’s strategy and portfolio have developed over time.
The page also includes current reports on Form 8‑K, which Saratoga Investment uses to furnish press releases about quarterly results and other material events, such as new credit facilities or changes in its capital structure. For example, a recent Form 8‑K references the company’s earnings release for the quarter ended May 31, 2025 and lists its common stock and several series of listed notes.
In addition, users can access proxy statements on Schedule 14A, like the definitive proxy statement for the 2025 annual meeting. These documents cover board elections, auditor ratification, governance practices, executive and director compensation, and voting procedures. They are useful for understanding Saratoga Investment’s governance framework and stockholder rights.
Alongside these core filings, this page surfaces insider and security‑related filings, such as Forms 3, 4 and 5 when available, which show transactions by directors and officers, and any registration statements or note‑related filings relevant to Saratoga Investment’s listed debt securities. Real‑time updates from EDGAR ensure that new filings appear promptly, while AI‑powered highlights help identify sections on topics like leverage, SBIC subsidiaries, CLO and JV interests, dividends and risk disclosures without reading every page in full.
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.
Saratoga Investment Corp., a business development company, reported results for the three and nine months ended November 30, 2025. For the quarter, total investment income was
Despite softer income, quarterly net increase in net assets from operations rose to
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.