Common Stock, par value $0.001 per share
- Symbol
- SAR
- Exchange
- NYSE
- Classification
- COMMON
- Status
- Current
Current Report · Items 5.07 · 8-K
SARATOGA INVESTMENT CORP.
SARNYSEEQUITYCurrent
Submission of Matters to a Vote of Security Holders
Item 5.07. Submission of Matters to a Vote of Security Holders. On September 22, 2026, Saratoga Investment Corp. (the “Company”) held its 2026 Annual Meeting of Stockholders (the “Annual Meeting”).…
Company context
Saratoga Investment is a specialty finance company that provides customized financing solutions to U.S. middle-market businesses. The Company invests primarily in senior and unitranche leveraged loans and mezzanine debt, and, to a lesser extent, equity to provide financing for change of ownership transactions, strategic acquisitions, recapitalizations and growth initiatives in partnership with business owners, management teams and financial sponsors. Saratoga Investment’s objective is to create attractive risk-adjusted returns by generating current income and long-term capital appreciation from its debt and equity investments. Saratoga Investment has elected to be regulated as a business development company under the Investment Company Act of 1940 and is externally managed by Saratoga Investment Advisors, LLC, an SEC-registered investment advisor focusing on credit-driven strategies. Saratoga Investment Corp. owns two active SBIC-licensed subsidiaries, having surrendered its first license after repaying all debentures for that fund following the end of its investment period and subsequent wind-down. Furthermore, it manages a $350 million collateralized loan obligation (“CLO”) fund that has recently repriced and reset its reinvestment period and co-manages a joint venture (“JV”) fund that owns a $400 million collateralized loan obligation (“JV CLO”) fund, and has equity and junior security investments in both CLO’s. The Company’s diverse funding sources, combined with a perman
Current securities
Registered securities in this filing
SARATOGA INVESTMENT CORP. · 8-K · Filed 2026-09-23
6.00% Notes due 2027
- Symbol
- SAT
- Exchange
- NYSE
- Classification
- DEBT
- Status
- Current
8.00% Notes due 2027
- Symbol
- SAJ
- Exchange
- NYSE
- Classification
- DEBT
- Status
- Current
8.125% Notes due 2027
- Symbol
- SAY
- Exchange
- NYSE
- Classification
- DEBT
- Status
- Current
8.50% Notes due 2028
- Symbol
- SAZ
- Exchange
- NYSE
- Classification
- DEBT
- Status
- Current
7.50% Notes due 2031
- Symbol
- SAV
- Exchange
- NYSE
- Classification
- DEBT
- Status
- Current
8.00% Notes due 2031
- Symbol
- SAX
- Exchange
- NYSE
- Classification
- DEBT
- Status
- Current
Disclosure sections
Item 5.07Item 5.07 - Submission of Matters to Vote
Item 5.07. Submission of Matters to a Vote of Security Holders.
On
September 22, 2026, Saratoga Investment Corp. (the “Company”) held its 2026 Annual Meeting of Stockholders (the “Annual
Meeting”). As of the close of business on July 27, 2026, the record date for the Annual Meeting, 16,080,916 shares of common
stock were eligible to be voted, and 11,352,552 of those shares were voted in person or by proxy at the Annual Meeting. The final
voting results from the Annual Meeting were as following:
Proposal 1: The
following directors were elected to serve as directors of the Company’s board of directors until the 2029 Annual Meeting of Stockholders
or until their respective successor is duly elected and qualified by the following vote:
Director Nominees Votes For Votes
Withheld
───────────────────────────────────────────────────────────────────────────────
G. Cabell Williams 4,909,018 540,613
Henri J. Steenkamp 5,064,023 385,608
Proposal 2: The ratification of the selection
of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending February 28,
2026 was approved by the following vote:
Votes For 11,053,928
Votes Against 199,531
Abstentions 99,093