SARATOGA INVESTMENT CORP. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Steenkamp Henri J | CFO, CCO | Other | 1,173 | — | — | 6,814 | Sep 19, 2017 |
| Oberbeck Christian L | CEO and Director | Other | 1,373 | — | — | 122,188 | Mar 6, 2017 |
| Oberbeck Christian L | CEO and Director | Gift | 3,400 | — | — | 624,391 | Dec 27, 2016 |
| Steenkamp Henri J | Chief Financial Officer | Other | 1,414 | — | — | 5,182 | Jul 29, 2016 |
| Oberbeck Christian L | CEO and Director | Other | 1,414 | — | — | 181,647 | Jul 29, 2016 |
| Oberbeck Christian L | CEO and Director | Purchase | 1,586 | $17.08 | $27,089 | 183,061 | Jul 6, 2016 |
| GRISIUS MICHAEL J | President and Director | Other | 2,050 | — | — | 132,239 | Jun 20, 2016 |
| Oberbeck Christian L | CEO and Director | Other | 2,050 | — | — | 181,475 | Jun 20, 2016 |
| Oberbeck Christian L | CEO and Director | Other | 10,587 | — | — | 197,280 | Mar 14, 2016 |
| GRISIUS MICHAEL J | President and Director | Other | 49,148 | — | — | 127,045 | Mar 14, 2016 |
| Looney Steven M | — | Purchase | 500 | $14.53 | $7,265 | 2,508 | Jan 15, 2016 |
| Looney Steven M | — | Purchase | 550 | $14.92 | $8,206 | 2,008 | Nov 20, 2015 |
| Oberbeck Christian L | CEO and Director | Other | 1,854 | — | — | 165,614 | Jul 29, 2015 |
| Steenkamp Henri J | Chief Financial Officer | Other | 1,854 | — | — | 3,403 | Jul 29, 2015 |
| Oberbeck Christian L | CEO and Director | Other | 2,948 | — | — | 167,468 | Jul 17, 2015 |
| Oberbeck Christian L | CEO and Director | Other | 8,564 | — | — | 158,163 | May 22, 2015 |
| Oberbeck Christian L | CEO and Director | Other | 2,672 | — | — | 166,727 | May 1, 2015 |
| WILLIAMS GEORGE CABELL III | — | Purchase | 1,000 | $15.25 | $15,250 | 27,677 | Jan 22, 2015 |
| WILLIAMS GEORGE CABELL III | — | Purchase | 6,301 | $15.09 | $95,082 | 26,677 | Jan 16, 2015 |
| GRISIUS MICHAEL J | President and Director | Other | 32,765 | — | — | 67,479 | Nov 3, 2014 |
| Oberbeck Christian L | CEO and Director | Other | 32,765 | — | — | 164,881 | Nov 3, 2014 |
| Steenkamp Henri J | Chief Financial Officer | Purchase | 700 | $15.00 | $10,500 | 700 | Oct 17, 2014 |
| WILLIAMS GEORGE CABELL III | — | Sale | 1,033 | $14.85 | $15,340 | 20,376 | Oct 17, 2014 |
| GRISIUS MICHAEL J | President and Director | Award / Grant | 8,550 | $18.37 | $157,064 | 29,628 | Jul 22, 2013 |
| WILLIAMS GEORGE CABELL III | — | Purchase | 3,047 | $14.10 | $42,963 | 15,004 | Jan 30, 2012 |
| WILLIAMS GEORGE CABELL III | — | Purchase | 1,077 | $13.58 | $14,626 | 11,957 | Jan 24, 2012 |
| Looney Steven M | — | Purchase | 136 | $20.79 | $2,827 | 1,001 | Jul 28, 2011 |
| Whitman III Charles S | — | Purchase | 201 | $19.18 | $3,855 | 1,000 | Jan 20, 2011 |
| Looney Steven M | — | Purchase | 500 | $19.25 | $9,625 | 865 | Jan 20, 2011 |
| Whitman III Charles S | — | Purchase | 2,000 | $1.96 | $3,920 | 6,414 | Aug 4, 2010 |
| Petrocelli Richard A | CFO, Secretary, CCO | Purchase | 328,947 | $1.52 | $499,999 | 328,947 | Jul 30, 2010 |
| Oberbeck Christian L | CEO, President | Purchase | 789,474 | $1.52 | $1,200,000 | 7,101,976 | Jul 30, 2010 |
| HAYDEN RICHARD M | — | Gift | 21,990 | — | — | 3,826 | Nov 19, 2009 |
| Thompson David B JR | VP of CCG of GSC Group | Purchase | 1,000 | $10.25 | $10,250 | 2,250 | Jun 10, 2008 |
| Turkedjiev Ivo | VP Corporate Credit Group | Purchase | 300 | $10.20 | $3,060 | 1,600 | Jun 9, 2008 |
| INGLESBY THOMAS V | Chief Executive Officer | Purchase | 100 | $10.41 | $1,041 | 84,672 | Jun 9, 2008 |
| Allorto Richard T JR | Chief Financial Officer | Purchase | 450 | $10.40 | $4,680 | 10,000 | Jun 9, 2008 |
| INGLESBY THOMAS V | Chief Executive Officer | Purchase | 5,000 | $10.45 | $52,250 | 84,572 | Jun 9, 2008 |
| Allorto Richard T JR | Chief Financial Officer | Purchase | 685 | $10.30 | $7,056 | 9,550 | Jun 2, 2008 |
| INGLESBY THOMAS V | Chief Executive Officer | Purchase | 1,000 | $10.73 | $10,730 | 79,463 | Jan 25, 2008 |
| Allorto Richard T JR | Chief Financial Officer | Purchase | 500 | $10.45 | $5,225 | 8,180 | Jan 22, 2008 |
| Whitman III Charles S | — | Purchase | 1,000 | $11.06 | $11,060 | 2,000 | Jan 16, 2008 |
| HAYDEN RICHARD M | Chairman of the Bd of Director | Purchase | 58,216 | $11.50 | $669,484 | 164,749 | Nov 2, 2007 |
| Wright Alexander B | Man. Dir. of CCG of GSC Group | Purchase | 750 | $11.56 | $8,670 | 5,750 | Nov 2, 2007 |
| Castro Daniel I JR | — | Purchase | 5,000 | $11.50 | $57,500 | 40,000 | Nov 2, 2007 |
| Allorto Richard T JR | Chief Financial Officer | Purchase | 350 | $11.50 | $4,025 | 6,630 | Nov 2, 2007 |
| Wright Alexander B | Man. Dir. of CCG of GSC Group | Purchase | 750 | $11.56 | $8,670 | 6,250 | Nov 2, 2007 |
| HAYDEN RICHARD M | Chairman of the Bd of Director | Purchase | 58,216 | $11.50 | $669,484 | 173,406 | Nov 2, 2007 |
| INGLESBY THOMAS V | Chief Executive Officer | Purchase | 984 | $11.50 | $11,316 | 45,974 | Nov 2, 2007 |
| INGLESBY THOMAS V | Chief Executive Officer | Purchase | 32,489 | $11.60 | $376,872 | 68,822 | Nov 2, 2007 |