Form 8-K
8-K — SARATOGA INVESTMENT CORP.
Accession: 0001213900-26-102370
Filed: 2026-09-23
Period: 2026-09-22
CIK: 0001377936
Item: Submission of Matters to a Vote of Security Holders
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8-K — ea0306330-8k_saratoga.htm (Primary)
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8-K — CURRENT REPORT
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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)
September 22, 2026
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
6.00%
Notes due 2027
SAT
New
York Stock Exchange
8.00%
Notes due 2027
SAJ
New
York Stock Exchange
8.125%
Notes due 2027
SAY
New
York Stock Exchange
8.50%
Notes due 2028
SAZ
New
York Stock Exchange
7.50%
Notes due 2031
SAV
New
York Stock Exchange
8.00%
Notes due 2031
SAX
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. ☐
Item 5.07. Submission of Matters to a Vote of Security Holders.
On
September 22, 2026, Saratoga Investment Corp. (the “Company”) held its 2026 Annual Meeting of Stockholders (the “Annual
Meeting”). As of the close of business on July 27, 2026, the record date for the Annual Meeting, 16,080,916 shares of common
stock were eligible to be voted, and 11,352,552 of those shares were voted in person or by proxy at the Annual Meeting. The final
voting results from the Annual Meeting were as following:
Proposal 1: The
following directors were elected to serve as directors of the Company’s board of directors until the 2029 Annual Meeting of Stockholders
or until their respective successor is duly elected and qualified by the following vote:
Director Nominees
Votes For
Votes
Withheld
G. Cabell Williams
4,909,018
540,613
Henri J. Steenkamp
5,064,023
385,608
Proposal 2: The ratification of the selection
of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending February 28,
2026 was approved by the following vote:
Votes For
11,053,928
Votes Against
199,531
Abstentions
99,093
1
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: September 23, 2026
By:
/s/ Henri J. Steenkamp
Name:
Henri J. Steenkamp
Title:
Chief Financial Officer, Chief Compliance Officer, Treasurer and Secretary
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Entity Registrant Name
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Entity Central Index Key
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Entity Tax Identification Number
20-8700615
Entity Incorporation, State or Country Code
MD
Entity Address, Address Line One
535 Madison Avenue
Entity Address, City or Town
New York
Entity Address, State or Province
NY
Entity Address, Postal Zip Code
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City Area Code
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Local Phone Number
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Title of 12(b) Security
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Trading Symbol
SAR
Security Exchange Name
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6.00% Notes due 2027
Title of 12(b) Security
6.00%
Notes due 2027
Trading Symbol
SAT
Security Exchange Name
NYSE
8.00% Notes due 2027
Title of 12(b) Security
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Notes due 2027
Trading Symbol
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Security Exchange Name
NYSE
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Trading Symbol
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Security Exchange Name
NYSE
8.50% Notes due 2028
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Notes due 2028
Trading Symbol
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Security Exchange Name
NYSE
7.50% Notes due 2031
Title of 12(b) Security
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Notes due 2031
Trading Symbol
SAV
Security Exchange Name
NYSE
8.00% Notes due 2031
Title of 12(b) Security
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Notes due 2031
Trading Symbol
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Security Exchange Name
NYSE
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