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    Saratoga Investment Corp New filed SEC Form 8-K: Results of Operations and Financial Condition, Financial Statements and Exhibits

    1/9/24 4:05:13 PM ET
    $SAR
    Investment Managers
    Finance
    Get the next $SAR alert in real time by email
    false 0001377936 0001377936 2024-01-09 2024-01-09 0001377936 SAR:CommonStockParValue0.001PerShareMember 2024-01-09 2024-01-09 0001377936 SAR:Sec6.0NotesDue2027Member 2024-01-09 2024-01-09 0001377936 SAR:Sec8.0NotesDue2027Member 2024-01-09 2024-01-09 0001377936 SAR:Sec8.125NotesDue2027Member 2024-01-09 2024-01-09 0001377936 SAR:Sec8.50NotesDue2028Member 2024-01-09 2024-01-09 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

     

     

    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): January 9, 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):

     

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

     

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

     

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

     

    ☐ 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 2.02. Results of Operations and Financial Condition.

     

    On January 9, 2024, Saratoga Investment Corp. issued a press release announcing its financial results for the quarter ended November 30, 2023. A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

     

    The information disclosed under this Item 2.02, including Exhibit 99.1 attached hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and shall not be deemed incorporated by reference into any filing made under the Securities Act of 1933, as amended, except as expressly set forth by specific reference in such filing.

     

    Item 9.01. Financial Statements and Exhibits.

     

    (d) Exhibits

     

    The following Exhibit 99.1 is being furnished herewith to this Current Report on Form 8-K:

     

    Exhibit No.   Description
    99.1   Press Release dated January 9, 2024 of Saratoga Investment Corp.*
    104   Cover Page Interactive Data File (embedded within the Inline XBRL document)

     

    *The press release attached hereto as Exhibit 99.1 is “furnished” and not “filed,” as described in Item 2.02 of this Current Report on Form 8-K.

     

    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: January 9, 2024 By: /s/ Henri J. Steenkamp
      Name:  Henri J. Steenkamp
      Title: Financial Officer, Chief Compliance Officer, Treasurer and Secretary

     

     

    2

     

     

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