Saratoga Investment Corp (SAR)

FINANCE: GENERAL FINANCE
SIC:

535 MADISON AVENUE NEW YORK, NY 10022

Saratoga Investment Corp is a closed-end management investment company. The Company's investment objectives are to generate both current income and capital appreciation through debt and, to a lesser extent, equity investments, by primarily investing in private middle market companies.

Data as of 2020-07-14
Market Cap180.602 Million Shares Outstanding11.218 Million Avg 30-day Volume98.412 Thousand
P/E Ratio5.6 Dividend Yield9.938 EPS2.91
Price/Sales3.881 Price cash flow ratio13.0 Price free cash flow ratio-2.9
Book Value25.11 Price to Tangible Book0.65 Alpha0.0
Short Interest Ratio1.39 % Short Interest to Float1.1 R-squared0.379428
BETA2.40366 52-week High/Low28.7 / 5.94 Stddev0.166249

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View SEC Filings from SAR instead.
Q1 2020 All Institutions Hedge Funds 1
Filers who had this stock in their top 10: 1 1 (0.07%)
13F Filers holding this stock: 43 12 (0.79%)
Aggregate 13F shares on 03/31/2020: 2.167 Million 1.146 Million
Aggregate 13F shares on 12/31/2019: 2.312 Million 1.367 Million
Percent change: -6.25% -16.19%
Funds creating new positions: 11 3
Funds Adding to an existing position: 14 3
Funds closing out their position: 13 6
Funds reducing their position: 9 4
1 hedge funds as identified by whalewisdom.com through public filings.

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Funds Holding SAR (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding SAR BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

6 Thousand total shares from 3 transactions

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

OBERBECK CHRISTIAN L CEO AND DIRECTOR

  • Officer
  • Director
  • 10% Owner
948,610 2020-07-10 8

ALLORTO RICHARD T JR CHIEF FINANCIAL OFFICER

  • Officer
0 2020-07-06 0

STEENKAMP HENRI J CFO, CCO, TREASURER AND SEC.

  • Officer
16,635 2020-07-02 3

WILLIAMS GEORGE CABELL III

  • Director
64,297 2020-05-08 1

PETROCELLI RICHARD A CFO & CHIEF OPERATING OFFICER

  • Officer
13,477 2018-09-26 0

OBERBECK ELIZABETH

  • 10% Owner
684,183 2018-06-25 0

GRISIUS MICHAEL J PRESIDENT AND DIRECTOR

  • Officer
  • Director
132,239 2016-06-20 0

LOONEY STEVEN M

  • Director
2,508 2016-01-15 0

WHITMAN III CHARLES S

  • Director
1,000 2011-01-20 0

BIRKELUND JOHN P.

  • Director
No longer subject to file 2010-11-30 0

DURKIN CHARLES P JR

  • Director
  • 10% Owner
4,761,953 2010-08-03 0

CLO PARTNERS LLC

  • MEMBER OF 10% OWNER GROUP
789,474 2010-07-30 0

MACMURRAY JOHN F.

  • MEMBER OF 10% OWNER GROUP
36,184 2010-07-30 0

PHILLIPS CHARLES G IV

  • MEMBER OF 10% OWNER GROUP.
328,947 2010-07-30 0

SARATOGA INVESTMENT ADVISORS, LLC

  • MEMBER OF 10% OWNER GROUP
789,474 2010-07-30 0

HAYDEN RICHARD M

  • Director
32,621 2010-02-28 0

THOMPSON DAVID B JR VP OF CCG OF GSC GROUP

  • Officer
2,250 2008-06-10 0

INGLESBY THOMAS V CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
84,572 2008-06-09 0

TURKEDJIEV IVO VP CORPORATE CREDIT GROUP

  • Officer
1,600 2008-06-09 0

GEORGE ALLISON VP CORPORATE CREDIT GROUP

  • Officer
0 2008-01-01 0

Insider Transactions Last 60 Days

Reporting Owners Transaction Date Transaction Code Shares Share Price Acquired or Disposed Shares Owned Following Transaction Combined shares owned after filing Direct/Indirect Ownership 10b-5

OBERBECK CHRISTIAN L - Director - Officer - > 10% Owner CEO AND DIRECTOR

2020-07-13 P 500 $16.00 a 714,450 948,610.00 direct

OBERBECK CHRISTIAN L - Director - Officer - > 10% Owner CEO AND DIRECTOR

2020-07-10 P 500 $15.98 a 713,950 948,610.00 direct

STEENKAMP HENRI J - Officer CFO, CCO, TREASURER AND SEC.

2020-07-02 J 3,587 a 16,635 16,635.00 direct

OBERBECK CHRISTIAN L - Director - Officer - > 10% Owner CEO AND DIRECTOR

2020-07-02 J 35,985 d 713,450 947,610.00 direct

OBERBECK CHRISTIAN L - Director - Officer - > 10% Owner CEO AND DIRECTOR

2020-05-21 P 5,000 $14.91 a 749,435 983,595.00 direct
Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

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