SAR 8-K: Saratoga adds Raymond James as distribution agent for ATM equity program

Saratoga adds Raymond James as distribution agent for ATM equity program

SARATOGA INVESTMENT CORP.

Raymond James & Associates added as distribution agent under existing equity distribution agreement dated July 30, 2021.

Amendment No. 3 effective July 19, 2023, updates agent list and notice provisions.

ATM program remains in place; no change to share amounts or offering terms disclosed.

Key facts

Extracted from this filing and checked against the source text.

Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.95

SARATOGA INVESTMENT CORP. amended Amendment No. 3 to Equity Distribution Agreement with Saratoga Investment Advisors, LLC, Ladenburg Thalmann & Co. Inc., Compass Point Research and Trading, LLC, Raymond James & Associates, Inc. valued at Amendment added Raymond James as a distribution agent under the ATM Program (effective 2023-07-19).

Action: amendment
Agreement: atm program
Counterparty: Saratoga Investment Advisors, LLC, Ladenburg Thalmann & Co. Inc., Compass Point Research and Trading, LLC, Raymond James & Associates, Inc.
Value: Amendment added Raymond James as a distribution agent under the ATM Program
Effective: 2023-07-19

Exact text from the filing

On July 19, 2023, the Company added one additional distribution agent, Raymond James & Associates, Inc. ("Raymond James" and, together with Ladenburg and Compass Point, the "Agents" ). In connection with the addition of Raymond James as a distribution agent, the Company entered into amendment no. 3 ("Amendment No. 3") to the equity distribution agreement, dated July 30, 2021 and as amended from time to time (the "Equity Distribution Agreement"), with Saratoga Investment Advisors, LLC, Ladenburg, Compass Point and Raymond James.

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