Current Report Filing (8-k)
June 14 2022 - 04:22PM
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): June 14, 2022
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 |
7.25% Notes due 2025 |
|
SAK |
|
New York Stock Exchange |
6.00% Notes due 2027 |
|
SAT |
|
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 (§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 8.01 Other Events.
On June 14, 2022, Saratoga
Investment Corp. (the “Company”) caused notices to be issued to the holders of its 7.25% Notes due 2025 (CUSIP No. 80349A
604) (the “Notes”) regarding the Company’s exercise of its option to redeem, in whole, the issued and outstanding Notes,
pursuant to Section 1104 of the Indenture dated as of May 10, 2013, between the Company and
U.S. Bank Trust Company, National Association (as successor in interest for U.S. Bank National Association), as trustee, and Section 1.01(h)
of the Fourth Supplemental Indenture dated as of June 24, 2020. The Company will redeem $43,125,000 in aggregate principal amount of the
issued and outstanding Notes on July 14, 2022 (the “Redemption Date”). The Notes will be redeemed at 100% of their principal
amount ($25 per Note), plus the accrued and unpaid interest thereon, through, but excluding, the Redemption Date. A copy of the notice
of redemption is attached to this Current Report on Form 8-K as Exhibit 99.1 and is incorporated herein by reference.
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.
|
SARATOGA INVESTMENT CORP. |
|
|
Date: June 14, 2022 |
By: |
/s/ Henri J. Steenkamp |
|
Name: |
Henri J. Steenkamp |
|
Title: |
Chief Financial Officer, Treasurer, Chief Compliance Officer and Secretary |
2
Saratoga Investment (NYSE:SAR)
Historical Stock Chart
From Feb 2024 to Mar 2024
Saratoga Investment (NYSE:SAR)
Historical Stock Chart
From Mar 2023 to Mar 2024