0001193125-18-260007.txt : 20180828 0001193125-18-260007.hdr.sgml : 20180828 20180828110558 ACCESSION NUMBER: 0001193125-18-260007 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180828 DATE AS OF CHANGE: 20180828 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SARATOGA INVESTMENT CORP. CENTRAL INDEX KEY: 0001377936 IRS NUMBER: 204876925 STATE OF INCORPORATION: MD FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: 8-A12B SEC ACT: 1934 Act SEC FILE NUMBER: 001-33376 FILM NUMBER: 181040665 BUSINESS ADDRESS: STREET 1: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212 750-3343 MAIL ADDRESS: STREET 1: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: GSC INVESTMENT CORP. DATE OF NAME CHANGE: 20070321 FORMER COMPANY: FORMER CONFORMED NAME: GSC Investment LLC DATE OF NAME CHANGE: 20061011 8-A12B 1 d607803d8a12b.htm 8-A12B 8-A12B

As filed with the Securities and Exchange Commission on August 28, 2018

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-A

 

 

For Registration of Certain Classes of Securities

Pursuant to Section 12(b) or 12(g) of

the Securities Exchange Act of 1934

 

 

Saratoga Investment Corp.

(Exact name of registrant as specified in its charter)

 

 

 

Maryland   20-8700615
(State of incorporation or organization)   (I.R.S. Employer Identification No.)
535 Madison Avenue, New York, NY   10022
(Address of principal executive offices)   (Zip Code)

 

 

If this Form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box.  ☒

If this Form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box.  ☐

Securities Act registration statement file numbers to which this form relates: 333-216344 and 333-226955

Securities to be registered pursuant to Section 12(b) of the Act:

 

Title of each class

to be so registered

  

Name of each exchange on

which each class is to be registered

6.25% Notes due 2025   New York Stock Exchange

Securities to be registered pursuant to Section 12(g) of the Act:

None

(Title of class)

 

 

 

INFORMATION REQUIRED IN REGISTRATION STATEMENT

 

Item 1.

Description of the Registrant’s Securities to be Registered

The description of the 6.25% Notes due 2025 (the “Notes”) of Saratoga Investment Corp., a Maryland corporation, is incorporated by reference to the materials set forth in the section captioned “Description of the Notes” in the registrant’s registration statement on Form N-2 (File Nos. 333-216344 and 333-226955). The securities registered hereby are all part of a single series as described in the document referenced above. The Notes are expected to be listed on the New York Stock Exchange and to trade thereon within 30 days of the original issue date under the trading symbol “SAF.”

 

Item 2.

Exhibits

Pursuant to the Instructions as to exhibits for registration statements on Form 8-A, the documents listed below are filed as exhibits to this Registration Statement:

 

Number

   

Exhibit

1    Form of Indenture by and between the Company and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit (d)(4) to the registrant’s Registration Statement on Form N-2 (File No. 333-186323), filed on April 30, 2013).
2    Form of Third Supplemental Indenture between the Company and U.S. Bank National Association, which includes the form of Note due 2025 (incorporated by reference to Exhibit (d)(5) to the registrant’s Post-Effective Amendment No. 9 to the Registration Statement on Form N-2 (File No. 333-216344)).

SIGNATURE

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized.

Date: August 28, 2018

 

Saratoga Investment Corp.
By:  

/s/ Henri J. Steenkamp

Name:   Henri J. Steenkamp
Title:   Chief Financial Officer

EXHIBIT INDEX

 

Number

   

Exhibit

1    Form of Indenture by and between the Company and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit (d)(4) to the registrant’s Registration Statement on Form N-2 (File No. 333-186323), filed on April 30, 2013).
2    Form of Third Supplemental Indenture between the Company and U.S. Bank National Association, which includes the form of Note due 2025 (incorporated by reference to Exhibit (d)(5) to the registrant’s Post-Effective Amendment No. 9 to the Registration Statement on Form N-2 (File No. 333-216344)).