| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Oberbeck Christian L | CEO & Director, Director, 10%+ Owner | C/O SARATOGA INVESTMENT CORP,, 535 MADISON AVENUE, NEW YORK | /s/ Christian L Oberbeck | 30 Jul 2025 | 0001349483 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SAR | Common Stock | Other | $0 | -28,261 | -24% | $0.000000 | 89,513 | 29 Jul 2025 | By CLO Partners LLC | F1 |
| transaction | SAR | Common Stock | Other | $0 | -48 | -0.05% | $0.000000 | 89,465 | 30 Jul 2025 | By CLO Partners LLC | F2 |
| holding | SAR | Common Stock | 650,426 | 29 Jul 2025 | Direct | ||||||
| holding | SAR | Common Stock | 100,000 | 29 Jul 2025 | By CLO Partners Holdings LLC | ||||||
| holding | SAR | Common Stock | 72,625 | 29 Jul 2025 | By children | ||||||
| holding | SAR | Common Stock | 1,791 | 29 Jul 2025 | By wife |
| Id | Content |
|---|---|
| F1 | On July 29, 2025, Mr. Oberbeck transferred a total of 28,261 shares of common stock to 16 Saratoga employees as compensation. |
| F2 | On July 30, 2025, Mr. Oberbeck transferred a total of 48 shares of common stock to 1 Saratoga employee as compensation. |