Skip to main content
Livermore
Livermore
ZHEN

Saratoga Investment Corp.

SAR
Exchange
NYSE
SEC CIK
0001377936

No open-market purchases or sales by Saratoga Investment Corp. insiders were filed in the last 90 days; 58 institutions reported holding it in 13F filings for Q2 2026, worth $41.7M in total; no superinvestor holds it.

Other share classesSAJSATSAVSAXSAYSAZ

13F holders, Q3 2021

Institutional positions in Saratoga Investment Corp. as of Sep 30, 2021. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works

Institutional holders
53
+6 vs. Q2 2021
Shares held
1.27M
+96.5K (+8.2%) vs. Q2 2021
Total value
$36.5M
+$4.98M (+15.8%) vs. Q2 2021
New holders
10
19 more added
Sold out
4
11 more reduced

Compare with Q2 2021: new holders, sold out and not filed yet

Holders and value by quarter

Institutions reporting SAR on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.

Institutional holdersQ3 2021: 53 institutions
Q1 2021: 47 institutionsQ2 2021: 47 institutionsQ3 2021: 53 institutionsQ4 2021: 63 institutionsQ1 2022: 57 institutionsQ2 2022: 54 institutionsQ3 2022: 48 institutionsQ4 2022: 52 institutionsQ1 2023: 58 institutionsQ2 2023: 67 institutionsQ3 2023: 65 institutionsQ4 2023: 71 institutionsQ1 2024: 61 institutionsQ2 2024: 58 institutionsQ3 2024: 57 institutionsQ4 2024: 67 institutionsQ1 2025: 67 institutionsQ2 2025: 65 institutionsQ3 2025: 71 institutionsQ4 2025: 71 institutionsQ1 2026: 63 institutionsQ2 2026: 58 institutions
Value heldQ3 2021: $36.5M
Q1 2021: $32.1MQ2 2021: $31.6MQ3 2021: $36.5MQ4 2021: $74.9MQ1 2022: $63.9MQ2 2022: $57.3MQ3 2022: $48.6MQ4 2022: $56.9MQ1 2023: $47.1MQ2 2023: $47.8MQ3 2023: $60.8MQ4 2023: $65.6MQ1 2024: $48.7MQ2 2024: $45.7MQ3 2024: $51.4MQ4 2024: $52.9MQ1 2025: $63.9MQ2 2025: $57.9MQ3 2025: $55.1MQ4 2025: $48.4MQ1 2026: $42.2MQ2 2026: $41.7M
Institutions holding SAR and their total value by quarter
QuarterHoldersValue
Q2 202658$41.7M
Q1 202663$42.2M
Q4 202571$48.4M
Q3 202571$55.1M
Q2 202565$57.9M
Q1 202567$63.9M
Q4 202467$52.9M
Q3 202457$51.4M
Q2 202458$45.7M
Q1 202461$48.7M
Q4 202371$65.6M
Q3 202365$60.8M
Q2 202367$47.8M
Q1 202358$47.1M
Q4 202252$56.9M
Q3 202248$48.6M
Q2 202254$57.3M
Q1 202257$63.9M
Q4 202163$74.9M
Q3 202153$36.5M
Q2 202147$31.6M
Q1 202147$32.1M

Institutions, Q3 2021

Shares, value and share of portfolio for each institution holding Saratoga Investment Corp.; share changes are against Q2 2021.

Institutions holding SAR in Q3 2021
InstitutionSharesValue% of portfolioChange in sharesAction
Advisors Asset Management, Inc.132,087$3.80M0.06%+15,553+13.3%Added
Hennion & Walsh Asset Management, Inc.128,033$3.68M0.19%+6,949+5.7%Added
Putnam Investments LLC86,762$2.49M0.00%−11,939−12.1%Reduced
Raymond James & Associates84,445$2.43M0.00%+1,847+2.2%Added
LPL Financial LLC76,938$2.21M0.00%+7,840+11.3%Added
Wells Fargo & Company68,277$1.96M0.00%−1,492−2.1%Reduced
Legal & General Group Plc66,919$1.93M0.00%−4,553−6.4%Reduced
Cerity Partners LLC53,085$1.53M0.03%+72+0.1%Added
Mackenzie Financial Corp51,142$1.47M0.00%+7,058+16.0%Added
Ares Management LLC45,473$1.31M0.04%00.0%Unchanged
Two Sigma Advisers, LP43,500$1.25M0.00%+9,400+27.6%Added
Advisor Group Holdings, Inc.41,899$1.20M0.00%−3,441−7.6%Reduced
Two Sigma Investments, LP34,110$980.0K0.00%+671+2.0%Added
JB Capital Partners LP33,847$973.0K0.22%00.0%Unchanged
Morgan Stanley31,434$903.0K0.00%+19,995+174.8%Added
PFG Advisors30,598$879.0K0.10%−4,133−11.9%Reduced
Ameriprise Financial Inc26,809$773.0K0.00%+26,809New
RMB Capital Management, LLC25,400$730.0K0.02%00.0%Unchanged
Advisory Research Inc20,339$585.0K0.04%+20,339New
D.A. Davidson & Co.17,071$491.0K0.01%+651+4.0%Added
Virtus ETF Advisers LLC16,583$477.0K0.21%−4,060−19.7%Reduced
Royal Bank of Canada15,899$457.0K0.00%+1,763+12.5%Added
Private Advisor Group, LLC14,400$414.0K0.00%00.0%Unchanged
Davidson Trust Co13,000$374.0K0.29%+13,000New
Northern Trust Corp12,597$362.0K0.00%+1,080+9.4%Added
National Asset Management, Inc.12,098$348.0K0.01%−1,250−9.4%Reduced
Bard Associates Inc11,095$319.0K0.11%+2,485+28.9%Added
Ahrens Investment Partners LLC10,910$314.0K0.15%+10,910New
Commonwealth Equity Services, LLC9,780$281.0K0.00%+9,780New
First Republic Investment Management, Inc.8,500$244.0K0.00%00.0%Unchanged
Chicago Partners Investment Group LLC8,080$234.0K0.02%+36+0.4%Added
TAP Consulting, LLC8,008$230.0K0.06%+141+1.8%Added
Cetera Advisors LLC7,488$215.0K0.00%+7,488New
Eagle Global Advisors LLC7,080$203.0K0.01%−12,200−63.3%Reduced
UBS Group AG3,877$111.0K0.00%−13,644−77.9%Reduced
Rockefeller Capital Management L.P.2,246$64.0K0.00%+509+29.3%Added
Bank of America Corp1,725$50.0K0.00%+1,525+762.5%Added
Tradition Wealth Management, LLC1,380$40.0K0.01%+24+1.8%Added
FNY Investment Advisers, LLC1,399$40.0K0.02%+1,399New
Cullen/Frost Bankers, Inc.1,357$39.0K0.00%00.0%Unchanged
Harbour Investments, Inc.1,000$29.0K0.00%00.0%Unchanged
American Portfolios Advisors880$25.3K0.00%00.0%Unchanged
Steward Partners Investment Advisory, LLC734$21.0K0.00%00.0%Unchanged
Mark Sheptoff Financial Planning, LLC700$20.0K0.01%−400−36.4%Reduced
Tower Research Capital LLC (TRC)533$15.0K0.00%+533New
Sandy Spring Bank360$10.0K0.00%00.0%Unchanged
Geneos Wealth Management Inc.381$10.0K0.00%00.0%Unchanged
Laurel Wealth Advisors LLC241$7.00K0.00%00.0%Unchanged
Carmichael Hill & Associates, Inc.215$6.00K0.00%+215New
Financial Management Professionals, Inc.181$5.00K0.00%+181New
JPMorgan Chase & Co12$00.00%−988−98.8%Reduced
Deutsche Bank AG12$00.00%+5+71.4%Added
Center for Financial Planning, Inc.2$00.00%00.0%Unchanged
D. E. Shaw & Co., Inc.0$00.00%−13,405−100.0%Sold out
Advisory Services Network, LLC0$00.00%−217−100.0%Sold out
FMR LLC0$00.00%−2−100.0%Sold out
Tfo-TDC, LLC0$00.00%−17−100.0%Sold out