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) January 29, 2014
SARATOGA INVESTMENT CORP.
(Exact Name of Registrant as Specified in Charter)
Maryland |
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1-33376 |
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20-8700615 | ||
(State or Other Jurisdiction |
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(Commission |
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(IRS Employer | ||
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535 Madison Avenue |
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10022 | ||||
(Address of Principal Executive Offices) |
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(Zip Code) | ||||
Registrants telephone number, including area code (212) 750-3343
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):
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
On January 29, 2014, the Chief Financial Officer and Chief Compliance Officer of Saratoga Investment Corp. (the Registrant), Richard A. Petrocelli, submitted to the Registrant notice of his resignation from such offices effective March 3, 2014. The Registrant is in the process of identifying a replacement Chief Financial Officer and Chief Compliance Officer. Mr. Petrocelli will continue to perform the duties of Chief Financial Officer and Chief Compliance Officer through March 3, 2014. Mr. Petrocelli is leaving the position for personal reasons and has no disagreement with the Registrant.
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.
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SARATOGA INVESTMENT CORP. | |
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Date: February 4, 2014 |
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By: |
/s/ Christian L. Oberbeck |
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Name: |
Christian L. Oberbeck |
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Title: |
Chief Executive Officer |