Current Report Filing (8-k)
October 28 2021 - 5:01PM
Edgar (US Regulatory)
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): October 26, 2021
SARATOGA
INVESTMENT CORP.
(Exact
Name of Registrant as Specified in Charter)
Maryland
|
|
814-00732
|
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20-8700615
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(State
or Other Jurisdiction
of Incorporation)
|
|
(Commission
File Number)
|
|
(IRS
Employer
Identification No.)
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535
Madison Avenue
New
York, New York
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10022
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(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))
|
☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under
the Exchange Act (17 CFR 240.13e-4(c))
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Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
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Trading
symbol(s)
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Name
of each exchange on which registered
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Common Stock, par value
$0.001 per share
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SAR
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New York Stock Exchange
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7.25% Notes due 2025
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SAK
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New York Stock Exchange
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
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
1.01. Entry into a Material Definitive Agreement.
On
October 26, 2021, Saratoga Investment Corp. and TJHA JV I LLC entered into the Limited Liability Company Agreement (the “LLC
Agreement”) to co-manage Saratoga Senior Loan Fund I JV LLC (“Saratoga JV”). Saratoga JV is a joint venture that
is expected to invest in the debt or equity interests of collateralized loan obligations, loans, notes and other debt instruments.
The
foregoing description of the LLC Agreement does not purport to be complete and is qualified in its entirety by reference to the full
text of the LLC Agreement, which is filed as Exhibit 10.1 hereto and incorporated by reference herein.
Item
9.01. Financial Statements and Exhibits.
(d) Exhibits
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.
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SARATOGA
INVESTMENT CORP.
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|
|
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Date: October 27,
2021
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By:
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/s/
Henri J. Steenkamp
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Name:
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Henri J. Steenkamp
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Title:
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Chief Financial Officer,
Chief Compliance Officer,
Treasurer and Secretary
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2
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