Amended Current Report Filing (8-k/a)
25 June 2020 - 8:02PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
DC 20549
FORM 8-K/A
Amendment
No. 2
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 24, 2020
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
|
6.25%
Notes due 2025
|
|
SAF
|
|
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 (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. ☐
Explanatory
Note
This
Amendment No. 2 on Current Report on Form 8-K/A is being filed by Saratoga Investment Corp. (the “Company”) as an
amendment (the “Amendment”) to the Current Report on Form 8-K that the Company filed with the Securities and
Exchange Commission (the “SEC”) on June 23, 2020 (the “Initial Form 8-K”) to disclose the Company entering
into an underwriting agreement by and among the Company, Saratoga Investment Advisors, LLC and Ladenburg Thalmann & Co. Inc.,
as representative of the several underwriters named in Schedule I thereto, in connection with the issuance and sale of $37,500,000
aggregate principal amount of the Company’s 7.25% Notes due 2025 (the “Notes” and the issuance of and sale of
the Notes, the “Offering”). This Amendment is being filed solely to change the reference of the Notes being listed
on the New York Stock Exchange under the trading symbol “SAC” to the trading symbol “SAK.” There are no
other changes to the Initial Form 8-K or to Amendment No. 1 on Current Report on Form 8-K/A that the Company filed with the SEC
on June 24, 2020.
8.01.
Other Events.
The
Company intends to list the Notes on the New York Stock Exchange, within 30 days of the original issue date under the trading
symbol “SAK.”
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
24, 2020
|
By:
|
/s/
Henri J. Steenkamp
|
|
Name:
|
Henri
J. Steenkamp
|
|
Title:
|
Chief
Financial Officer and Secretary
|
2
Saratoga Investment (NYSE:SAR)
Historical Stock Chart
From Apr 2024 to May 2024
Saratoga Investment (NYSE:SAR)
Historical Stock Chart
From May 2023 to May 2024