SARATOGA INVESTMENT CORP. Material Contracts
Every material contract the company filed as Exhibit 10 (executive pay plans, credit agreements, supplier and indemnity agreements), newest first, with the filing's own description.
- 2026-04-14: Form 8-K; Exhibit 10.1; Description NOTES PURCHASE AGREEMENT, DATED APRIL 10, 2026, BY AND BETWEEN SARATOGA INVESTMENT CORP. AND THE PURCHASER PARTY THERETO.
- 2026-03-13: Form 8-K; Exhibit 10.1; Description AMENDMENT NO. 5, DATED MARCH 13, 2026, TO EQUITY DISTRIBUTION AGREEMENT BY AND AMONG SARATOGA INVESTMENT CORP., SARATOGA INVESTMENT ADVISORS, LLC, LUCID CAPITAL MARKETS, LLC, LADENBURG THALMANN & CO. INC., COMPASS POINT RESEARCH & TRADING, LLC,.
- 2025-11-07: Form 8-K; Exhibit 10.5; Description SPRINGING GUARANTY AGREEMENT, DATED AS OF NOVEMBER 6, 2025, BY SARATOGA INVESTMENT CORP., AS GUARANTOR, IN FAVOR OF VALLEY NATIONAL BANK, AS ADMINISTRATOR FOR THE SECURED PARTIES.
- 2025-11-07: Form 8-K; Exhibit 10.4; Description LIMITED GUARANTY AGREEMENT, DATED AS OF NOVEMBER 6, 2025, BY SARATOGA INVESTMENT CORP., AS GUARANTOR, IN FAVOR OF VALLEY NATIONAL BANK, AS ADMINISTRATOR FOR THE SECURED PARTIES.
| Filed | Form | Exhibit | Description |
|---|---|---|---|
| 2026-04-14 | 8-K | 10.1 | NOTES PURCHASE AGREEMENT, DATED APRIL 10, 2026, BY AND BETWEEN SARATOGA INVESTMENT CORP. AND THE PURCHASER PARTY THERETO |
| 2026-03-13 | 8-K | 10.1 | AMENDMENT NO. 5, DATED MARCH 13, 2026, TO EQUITY DISTRIBUTION AGREEMENT BY AND AMONG SARATOGA INVESTMENT CORP., SARATOGA INVESTMENT ADVISORS, LLC, LUCID CAPITAL MARKETS, LLC, LADENBURG THALMANN & CO. INC., COMPASS POINT RESEARCH & TRADING, LLC, |
| 2025-11-07 | 8-K | 10.5 | SPRINGING GUARANTY AGREEMENT, DATED AS OF NOVEMBER 6, 2025, BY SARATOGA INVESTMENT CORP., AS GUARANTOR, IN FAVOR OF VALLEY NATIONAL BANK, AS ADMINISTRATOR FOR THE SECURED PARTIES |
| 2025-11-07 | 8-K | 10.4 | LIMITED GUARANTY AGREEMENT, DATED AS OF NOVEMBER 6, 2025, BY SARATOGA INVESTMENT CORP., AS GUARANTOR, IN FAVOR OF VALLEY NATIONAL BANK, AS ADMINISTRATOR FOR THE SECURED PARTIES |
| 2025-11-07 | 8-K | 10.3 | LOAN SALE AND CONTRIBUTION AGREEMENT, DATED AS OF NOVEMBER 6, 2025, BY AND BETWEEN SARATOGA INVESTMENT CORP., AS SELLER, AND SARATOGA INVESTMENT FUNDING II LLC, AS PURCHASER |
| 2025-11-07 | 8-K | 10.2 | EQUITY PLEDGE AGREEMENT, DATED AS OF NOVEMBER 6, 2025, BY AND BETWEEN SARATOGA INVESTMENT CORP., AS PLEDGOR, AND U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, AS COLLATERAL AGENT FOR THE BENEFIT OF THE SECURED PARTIES |
| 2025-11-07 | 8-K | 10.1 | CREDIT AND SECURITY AGREEMENT, DATED AS OF NOVEMBER 6, 2025, BY AND AMONG SARATOGA INVESTMENT FUNDING II, LLC, AS BORROWER, SARATOGA INVESTMENT CORP., AS COLLATERAL MANAGER AND EQUITYHOLDER, THE LENDERS PARTIES |
| 2024-06-17 | 8-K | 10.1 | FIRST AMENDMENT AND LENDER JOINDER TO CREDIT AND SECURITY AGREEMENT, DATED AS OF JUNE 14, 2024, BY AND AMONG SARATOGA INVESTMENT FUNDING III, LLC, AS BORROWER, SARATOGA INVESTMENT CORP |
| 2024-05-15 | 8-K | 10.1 | AMENDMENT NO. 4, DATED MAY 15, 2024, TO EQUITY DISTRIBUTION AGREEMENT BY AND AMONG SARATOGA INVESTMENT CORP |
| 2024-03-28 | 8-K | 10.3 | LOAN SALE AND CONTRIBUTION AGREEMENT, DATED AS OF MARCH 27, 2024, BY AND BETWEEN SARATOGA INVESTMENT CORP., AS SELLER, AND SARATOGA INVESTMENT FUNDING III LLC, AS PURCHASER |
| 2024-03-28 | 8-K | 10.2 | EQUITY PLEDGE AGREEMENT, DATED AS OF MARCH 27, 2024, BY AND BETWEEN SARATOGA INVESTMENT CORP., AS PLEDGOR, AND LIVE OAK BANKING COMPANY, AS COLLATERAL AGENT FOR THE BENEFIT OF THE SECURED PARTIES |
| 2024-03-28 | 8-K | 10.1 | CREDIT AND SECURITY AGREEMENT, DATED AS OF MARCH 27, 2024, BY AND AMONG SARATOGA INVESTMENT FUNDING III, LLC, AS BORROWER, SARATOGA INVESTMENT CORP., AS COLLATERAL MANAGER AND EQUITYHOLDER, THE LENDERS FROM TIME TO TIME PARTY THERETO |
| 2023-07-19 | 8-K | 10.1 | AMENDMENT NO. 3, DATED JULY 19, 2023, TO EQUITY DISTRIBUTION AGREEMENT, BY AND AMONG SARATOGA INVESTMENT CORP., SARATOGA INVESTMENT ADVISORS, LLC, LADENBURG THALMANN & CO. INC., COMPASS POINT RESEARCH AND TRADING, LLC, AND RAYMOND JAMES & ASSOCIATES, INC |
| 2023-07-10 | 8-K | 10.1 | AMENDMENT NO. 2, DATED JULY 10, 2023, TO EQUITY DISTRIBUTION AGREEMENT, DATED JULY 30, 2021, BY AND AMONG SARATOGA INVESTMENT CORP., SARATOGA INVESTMENT ADVISORS, LLC, LADENBURG THALMANN & CO. INC., AND COMPASS POINT RESEARCH AND TRADING, LLC |
| 2023-02-02 | 8-K | 10.1 | FIRST AMENDMENT TO THE CREDIT AND SECURITY AGREEMENT, DATED AS OF JANUARY 27, 2023, BY AND AMONG SARATOGA INVESTMENT FUND II LLC, AS BORROWER, SARATOGA INVESTMENT CORP., AS EQUITYHOLDER AND AS COLLATERAL MANAGER |
| 2022-10-04 | 10-Q | 10.15 | SECOND SUPPLEMENTAL NOTE PURCHASE AGREEMENT BY AND BETWEEN SARATOGA INVESTMENT CORP. AND THE PURCHASER PARTY THERETO, DATED SEPTEMBER 8, 2022 |
| 2022-10-04 | 10-Q | 10.14 | FIRST SUPPLEMENTAL NOTE PURCHASE AGREEMENT BY AND BETWEEN SARATOGA INVESTMENT CORP. AND THE PURCHASER PARTY THERETO, DATED JANUARY 28, 2021 |
| 2022-10-04 | 10-Q | 10.13 | NOTE PURCHASE AGREEMENT BY AND BETWEEN SARATOGA INVESTMENT CORP. AND THE PURCHASER PARTY THERETO, DATED JULY 9, 2020 |
| 2021-10-28 | 8-K | 10.1 | SARATOGA SENIOR LOAN FUND I JV LLC LIMITED LIABILITY COMPANY AGREEMENT, DATED OCTOBER 26, 2021, BY AND BETWEEN SARATOGA INVESTMENT CORP. AND TJHA JV I LLC |
| 2021-10-07 | 8-K | 10.3 | LOAN SALE AND CONTRIBUTION AGREEMENT, DATED AS OF OCTOBER 4, 2021, BY AND BETWEEN SARATOGA INVESTMENT CORP., AS SELLER, AND SARATOGA INVESTMENT FUNDING II LLC, AS PURCHASER |
| 2021-10-07 | 8-K | 10.2 | EQUITY PLEDGE AGREEMENT, DATED AS OF OCTOBER 4, 2021, BY AND BETWEEN SARATOGA INVESTMENT CORP. AND ENCINA LENDER FINANCE, LLC, AS COLLATERAL AGENT FOR THE SECURED PARTIES THERETO |
| 2021-10-07 | 8-K | 10.1 | CREDIT AND SECURITY AGREEMENT, DATED AS OF OCTOBER 4, 2021, BY AND AMONG SARATOGA INVESTMENT FUNDING II, LLC, SARATOGA INVESTMENT CORP., AS COLLATERAL MANAGER AND EQUITYHOLDER, THE LENDERS PARTY THERETO, ENCINA LENDER FINANCE, LLC, AS ADMINISTRATIVE AGENT |
| 2021-08-02 | 8-K | 10.1 | EQUITY DISTRIBUTION AGREEMENT, DATED JULY 30, 2021, BY AND AMONG SARATOGA INVESTMENT CORP. AND SARATOGA INVESTMENT ADVISORS, LLC, ON THE ONE HAND, AND LADENBURG THALMANN & CO. INC. AND COMPASS POINT RESEARCH & TRADING, LLC, ON THE OTHER HAND |
| 2021-03-04 | 8-K | 10.2 | AMENDED AND RESTATED COLLATERAL ADMINISTRATION AGREEMENT, DATED AS OF FEBRUARY 26, 2021, BY AND AMONG SARATOGA INVESTMENT CORP. CLO 2013-1, LTD., SARATOGA INVESTMENT CORP. AND U.S. BANK NATIONAL ASSOCIATION |
| 2021-03-04 | 8-K | 10.1 | AMENDED AND RESTATED COLLATERAL MANAGEMENT AGREEMENT, DATED AS OF FEBRUARY 26, 2021, BY AND BETWEEN SARATOGA INVESTMENT CORP. CLO 2013-1, LTD. AND SARATOGA INVESTMENT CORP |
| 2020-09-17 | 8-K | 10.1 | AMENDMENT NO. 5 TO CREDIT, SECURITY AND MANAGEMENT AGREEMENT, DATED SEPTEMBER 14, 2020 |
| 2020-09-17 | 8-K | 10.1 | Amendment No. 5 to Credit, Security and Management Agreement, dated September 14, 2020, by and among Saratoga Investment Funding LLC, Saratoga Investment Corp., Saratoga Investment Advisors, LLC, Madison Capital Funding LLC and U.S. Bank National Association |
| 2020-06-23 | 8-K | 10.1 | UNDERWRITING AGREEMENT, DATED JUNE 17, 2020, BY AND AMONG THE COMPANY, THE ADVISER, LADENBURG THALMANN & CO. INC. AS REPRESENTATIVE OF THE SEVERAL UNDERWRITERS NAMED IN SCHEDULE I THERETO |
| 2020-04-29 | 8-K | 10.1 | AMENDMENT NO. 4 TO CREDIT, SECURITY AND MANAGEMENT AGREEMENT, DATED APRIL 24, 2020, BY AND AMONG SARATOGA INVESTMENT FUNDING LLC, SARATOGA INVESTMENT CORP., SARATOGA INVESTMENT ADVISORS, LLC, MADISON CAPITAL FUNDING LLC AND U.S. BANK NATIONAL ASSOCIATION |
| 2019-10-10 | 8-K | 10.1 | Amendment No. 5, dated October 10, 2019, to the Equity Distribution Agreement, dated March 16, 2017, as amended, by and among Saratoga Investment Corp., Saratoga Investment Advisors, LLC, Ladenburg Thalmann & Co. Inc., BB&T Capital Markets, a division of BB&T Securities, LLC and B. Riley FBR, Inc. |
| 2017-05-18 | 8-K | 10.1 | Amendment No. 3 to Credit, Security and Management Agreement, dated May 18, 2017, by and among Saratoga Investment Funding LLC, Saratoga Investment Corp., Saratoga Investment Advisors, LLC, Madison Capital Funding LLC and U.S. Bank National Association |
| 2014-09-18 | 8-K | 10.1 | Amendment No. 2 to Credit, Security and Management Agreement, dated as of September 17, 2014, by and among Saratoga Investment Funding LLC, Saratoga Investment Corp., Saratoga Investment Advisors, LLC, Madison Capital Funding LLC and U.S. Bank National Association |
| 2012-02-29 | 8-K | 10.1 | Amendment No. 1 to Credit, Security and Management Agreement, dated February 24, 2012, by and among Saratoga Investment Funding LLC, Saratoga Investment Corp., Saratoga Investment Advisors, LLC, Madison Capital Funding LLC and U.S. Bank National Association |
| 2010-08-03 | 8-K | 10.5 | Credit, Security and Management Agreement, dated July 30, 2010, by and among GSC Investment Funding LLC, Saratoga Investment Corp., Saratoga Investment Advisors, LLC., Madison Capital Funding LLC and U.S. Bank National Association. |
| 2010-08-03 | 8-K | 10.4 | Registration Rights Agreement, dated July 30, 2010, by and among GSC Investment Corp., Saratoga Investment Advisors, LLC, CLO Partners LLC, GSC CDO III, L.L.C. and the other signatory parties thereto. |
| 2010-08-03 | 8-K | 10.3 | Trademark License Agreement, dated as of July 30, 2010, by and between GSC Investment Corp. and Saratoga Investment Advisors, LLC. |
| 2010-08-03 | 8-K | 10.2 | Administration Agreement, dated as of July 30, 2010, by and between GSC Investment Corp. and Saratoga Investment Advisors, LLC. |
| 2010-08-03 | 8-K | 10.1 | Investment Advisory and Management Agreement, dated as of July 30, 2010, by and between GSC Investment Corp. and Saratoga Investment Advisors, LLC. |
| 2010-06-04 | 8-K/A | 10.2 | Voting and Support Agreement dated as of April 14, 2010 among certain stockholders affiliated with GSC Investment Corp. and Saratoga Investment Advisors, LLC. |
| 2010-06-04 | 8-K/A | 10.1 | Stock Purchase Agreement dated as of April 14, 2010 among GSC Investment Corp., Saratoga Investment Advisors, LLC and CLO Partners LLC. |
| 2010-04-14 | 8-K | 10.1 | Stock Purchase Agreement dated as of April 14, 2010 among GSC Investment Corp., Saratoga Investment Advisors, LLC and CLO Partners LLC |
| 2010-03-31 | 8-K | 10.3 | Agreement to Waive Certain Rights Under the Administration Agreement dated March 21, 2010 by and between GSC Investment Corp. and GSCP (NJ), L.P. |
| 2010-03-31 | 8-K | 10.2 | Third Amendment to the Investment Advisory and Management Agreement dated March 31, 2010 between GSC Investment Corp. and GSCP (NJ), L.P. |
| 2010-03-31 | 8-K | 10.1 | Second Amendment to the Administration Agreement dated March 31, 2010 by and between GSC Investment Corp. and GSCP (NJ), L.P. |
| 2009-11-13 | 8-K | 10.1 | Indemnification Agreement dated as of October 13, 2009 between GSC Investment Corp. and Eric Rubenfeld, as Vice President and Secretary of GSC Investment Corp. |
| 2009-04-15 | 8-K | 10.3 | Second Amendment to the Investment Advisory and Management Agreement dated April 14, 2009 between GSC Investment Corp. and GSCP (NJ), L.P. |
| 2009-04-15 | 8-K | 10.2 | Agreement to Waive Certain Rights Under the Administration Agreement dated April 14, 2009 by and between GSC Investment Corp. and GSCP (NJ), L.P. |
| 2009-04-15 | 8-K | 10.1 | Amendment to the Administration Agreement dated April 14, 2009 by and between GSC Investment Corp. and GSCP (NJ), L.P. |
| 2009-03-24 | 8-K | 10.1 | AMENDMENT NO. 5 TO CREDIT AGREEMENT |