Current Report Filing (8-k)
May 05 2021 - 4:06PM
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): May 5, 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)
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|
(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)
|
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(Zip Code)
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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):
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☐
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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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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6.25%
Notes due 2025
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SAF
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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 (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
May 5, 2021, Saratoga Investment Corp. issued a press release announcing its financial results for the quarter and full year ended February
28, 2021. 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:
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*
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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.
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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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Date: May 5, 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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