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) May 23, 2011
SARATOGA INVESTMENT CORP.
(Exact Name of Registrant as Specified in Charter)
Maryland |
| 1-33376 |
| 20-8700615 |
(State or Other Jurisdiction |
| (Commission |
| (IRS Employer |
535 Madison Avenue New York, New York |
| 10022 |
(Address of Principal Executive Offices) |
| (Zip Code) |
Registrant’s 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 2.02. Results of Operation and Financial Condition.
On May 23, 2011, the Registrant issued a press release announcing its financial results for the quarter and year ended February 28, 2011. The text of the press release is included as Exhibit 99.1 to this Form 8-K.
Item 9.01 Financial Statements and Exhibits
(a) | Not Applicable. |
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(b) | Not Applicable. |
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(c) | Not Applicable. |
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(d) | Exhibits |
Exhibit |
| Description |
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99.1 |
| Press release dated May 23, 2011 |
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. | |
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Date: May 23, 2011 |
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| By: | /s/ Richard A. Petrocelli |
| Name: | Richard A. Petrocelli |
| Title: | Chief Financial Officer |