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Saratoga Investment Corp



For the past 30 years, Saratoga Investment Corp. has worked with middle market companies across America, providing a wide range of financial solutions to grow and sustain business. A publicly traded business development company based in New York, Saratoga seeks partnerships with cash flow-positive firms in numerous market sectors and offers customized financing solutions for U.S. middle market companies. With a focus on leveraged and management buyouts, recapitalizations, debt refinancing, growth financing, acquisition financing and more, Saratoga typically invests $5 to $20 million in a given portfolio company.

sarUnder the leadership of a diverse and experienced investment team, Saratoga Investment Corp. brings a dynamic, solutions-oriented approach to its partner organizations, as well as unmatched transactional flexibility. From private equity to mezzanine lending, Saratoga connects middle-market businesses to funding sources that cover the financial spectrum. To learn more, visit www.saratogainvestmentcorp.com.

Saratoga Investment Corp. (NYSE:SAR) is managed by investment adviser Saratoga Investment Advisors, LLC.

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Oct. 21 (Bloomberg) — Saratoga Investment CEO Chris Oberbeck discusses investing in small- and middle-market companies with Pimm Fox on Bloomberg Television’s “Taking Stock.” (Source: Bloomberg)

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Saratoga FAQ


Henri Steenkamp

Who is Saratoga Investment Corp.?
Saratoga Investment Corp. is a specialty finance company that provides customized solutions to U.S. middle-market businesses. The Company provides a broad range of financing options, investing in subordinated debt, first and second lien loans, one-stop and unitranche structures and equity co-investments. These solutions provide financing for change of ownership transactions, strategic acquisitions, recapitalizations and growth initiatives in partnership with business owners (equity sponsors, fundless sponsors, family-owned businesses) and management teams. Saratoga Investment Corp.’s objective is to create attractive risk-adjusted returns by generating current income and long-term capital appreciation from its debt and equity investments. Taking its name from the American Revolutionary War, the Saratoga campaign led the U.S.A. to victory against the British.


The Saratoga Investment Corp. office is located at 535 Madison Avenue in New York City.

What exchange does Saratoga Investments trade on and what is its ticker symbol?
Saratoga Investment Corp. is traded on the NYSE (New York Stock Exchange) under the symbol “SAR.” Saratoga Investment Corp. includes an SBIC-licensed subsidiary.

When did Saratoga Investments become a public company?
Saratoga Investment Corp. is a publicly traded business development company (“BDC”). Saratoga Investment Corp.’s initial public offering of shares of common stock took place on March 28, 2007, then known as GSC Investment Corp. Prior to July 30, 2010, the Company was externally managed and advised by GSCP (NJ), L.P., an entity affiliated with GSC Group, Inc. In connection with the consummation of a recapitalization transaction on July 30, 2010, the Company engaged Saratoga Investment Advisors (“SIA”) to replace GSCP (NJ), L.P. as investment adviser, and changed its name to Saratoga Investment Corp.

When does your fiscal year end?
February 28th

Who is the company’s auditor?
Saratoga Investment Corp. employs Ernst & Young, a well-respected financial leader since the late 1800s. Used by countless Fortune 500 companies, E&Y still continues to provide trusted service.

Who are Saratoga’s senior investment advisors?

Chris Oberbeck (Chairman of the Board/CEO) has over 25 years of experience in leveraged finance, from distressed debt to private equity, and has originated, structured, negotiated, consummated, managed and monitored investments in a wide variety of middle-market businesses. Mr. Oberbeck is the Managing Member of Saratoga Investment Advisors, LLC, the company’s investment adviser, and the Chief Executive Officer and President of the company and has served on its investment committee since 1995.

Mike Grisius (President & CIO) has over 23 years of experience in leveraged finance and private equity. He has served as President since February 5, 2013 and serves as Chief Investment Officer and a Managing Director of Saratoga Investment Advisors, LLC, Saratoga’s investment adviser, as well as a Director. Before joining Saratoga Investment Corp. in July 2011, Mr. Grisius served as Managing Director at Allied Capital Corporation, where he was an investment professional for over 16 years. He built and led teams that made investments in mezzanine and senior debt, control equity and commercial real estate debt.

Henri Steenkamp (Chief Financial Officer & Chief Compliance Officer) is the Chief Financial Officer & Chief Compliance Officer of Saratoga Investment Corp and Saratoga Investment Advisors, LLC, and one of the company’s investment committee members. In addition to his role as CFO and CCO, Mr. Steenkamp also serves as Treasurer and Secretary and leads analytical processes for dividend policy, projections, cash flow and cost of capital. As such, he provides recommendations to senior management and the Board of Directors throughout the process – keeping the CEO, CIO and Directors of Saratoga equipped with essential decision-making statistics. Prior to Saratoga, Mr. Steenkamp served as the Chief Financial Officer of MF Global from April 2011 to January 2013 and as the Chief Accounting Officer and Controller previous to that. Before joining MF Global in 2006, Mr. Steenkamp spent eight years with PricewaterhouseCoopers, including four years in Transaction Services in its New York office, managing a variety of capital-raising transactions and SEC public company reporting processes on a global basis.

Photo of CFO Henri Steenkamp

Henri Steenkamp is the current CFO of Saratoga Investment Corp.

Who is the transfer agent for The Saratoga Investments Corp. common stock? Saratoga’s transfer agent is American Stock Transfer & Trust Company, LLC

Do you have a dividend reinvestment program or other direct means of purchasing your stock?
Yes, we have a dividend reinvestment program. Dividends are declared quarterly, and shareholders on the date of record have the option to receive dividends in the form of cash or stock. The stock, if newly issued, is issued at a 5% discount.

Full details are available here.

Alternately, Saratoga’s stock is publicly traded on the NYSE (New York Stock Exchange)

How do I get information on a stock that Saratoga Investment Corp. is underwriting?
Saratoga’s full list of investments is available in our publicly filed Form 10-K and 10-Q’s. These are available at http://www.saratogainvestmentcorp.com/investor.html

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