SARATOGA INVESTMENT CORP. (NYSE:SAR) Files An 8-K Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

SARATOGA INVESTMENT CORP. (NYSE:SAR) Files An 8-K Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
Item 2.03 contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits

10.1 Underwriting Agreement, dated June 17, 2020, by and among the Company, the Adviser, Ladenburg Thalmann & Co. Inc. as representative of the several underwriters named in Schedule I thereto.


SARATOGA INVESTMENT CORP. Exhibit
EX-10.1 2 ea123346ex10-1_saratoga.htm UNDERWRITING AGREEMENT,…
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About SARATOGA INVESTMENT CORP. (NYSE:SAR)

Saratoga Investment Corp. is a specialty finance company. The Company is an externally managed, closed-end, non-diversified management investment company. The Company invests primarily in leveraged loans and mezzanine debt issued by private middle-market companies in the United States. Its investment objective is to generate current income and, to a lesser extent, capital appreciation from its investments. It purchases mezzanine debt and makes equity investments in middle market companies. It may invest in other investments, such as investments in distressed debt, including securities of companies in bankruptcy, foreign debt, private equity, securities of public companies that are not thinly traded and structured finance vehicles, such as collateralized loan obligation funds. Its leveraged loan portfolio consists primarily of first lien and second lien term loans. The Company’s investment activities are externally managed and advised by Saratoga Investment Advisors, LLC.

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