Saratoga Investment adds Lucid Capital Markets as distribution agent to ATM program

SARATOGA INVESTMENT CORP.

Amendment No. 4, dated May 15, 2024, adds Lucid Capital Markets as a distribution agent to the existing Equity Distribution Agreement.
The ATM program, established July 2021, allows Saratoga to sell common stock from time to time through agents.
No financial terms or program changes disclosed; this is a routine appointment of an additional agent.
Lucid joins existing agents: Ladenburg Thalmann, Compass Point, Raymond James.

item 1.01 item 9.01

Key facts

Extracted from this filing and checked against the source text.

Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.9

SARATOGA INVESTMENT CORP. entered into Amendment No. 4 with Lucid Capital Markets, LLC (effective 2024-05-15).

Action: entry
Agreement: atm program
Counterparty: Lucid Capital Markets, LLC
Effective: 2024-05-15

Exact text from the filing

On May 15, 2024, the Company added one additional distribution agent to the ATM Program, Lucid Capital Markets, LLC (“Lucid” and, together with Ladenburg, Compass Point, and Raymond James, the “Agents”). In connection with the addition of Lucid as a distribution agent, the Company and the Adviser entered into the amendment no. 4, dated May 15, 2024 (“Amendment No. 4”), to the equity distribution agreement

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Source: SEC EDGAR

accession 0001213900-24-043694

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