The page is the record's research on the issuer — no analyst, no rating, no view.

# SARATOGA INVESTMENT CORP. (NYSE: SAX) — research page

As of 2026-11-08 · us-cm-kg · record version 1

## Identity and listing

The issuer is SARATOGA INVESTMENT CORP., listed on the NYSE under ticker SAX. Its ISIN is US80349A8449 and its LEI is 54930023WJCWPAGSWE41. The security type is Corporate, the jurisdiction is United States — Maryland, and the segment and sector are not on the record. The listing status is listed, not halted.

## The disclosure read

The record holds 60 filings across 34 filing days in the window 2025-11-08 to 2026-11-08. The median gap between filing days is 7 days, against a NYSE median of 6.0 days; the NYSE median filing count is 64.0 and the NYSE median latency is 4.0 days. The sector median is not on the record. The latest filing is a regulatory_filing dated 2026-11-05, 3 days before the record date of 2026-11-08. Filings by type: 21 regulatory_filing, 10 directors_dealings, 9 corporate_news, 8 results, 7 prospectus, 2 agm_egm, 2 director_change, and 1 halt_suspension.

## Auditor

The auditor is not on the record, as the latest annual report cover carries no dei:AuditorName tag. The auditor location is not on the record, and the record holds no auditor changes.

## Events and halts

The record holds a delisting dated 2026-09-18, and listings dated 2026-02-06, 2026-02-09, 2026-08-26 and 2026-08-26. No name change is on the record. A domicile change is not on the record, as EDGAR states no dated change of state of incorporation on a filing line. A segment move is not on the record, as the exchanges' tier transfers are not EDGAR filings. The halt flag shows listed, not halted.

## Orderability

The outcome is not determinable, because the chapter's orderability section carries no client categories and so the outcome cannot name its client category. The rule version is acm-68000/us/reasonable-basis-suitability-finra-rule-2111/r1, and the chapter is as of 2026-11-04.

## Coverage

No research houses were found on the issuer's investor-relations page.

## Open research

No openly published research notes were found.

## Licensed

Licensed research: none loaded. A licensed row is served only to an agent whose firm holds that licence (licensor, entitlement). No licensed row is loaded.

## As-of depth

The vintage is sealed. Sealed years that hold the issuer are 2021, 2022, 2023, 2024, 2025 and 2026. The market's earliest sealed date is 2021-01-04, and the live record began on 2026-09-12.

## Sources

8 source pages are named on this page; every value above carries its own source page and read date in the numbers.

- https://www.sec.gov/files/company_tickers_exchange.json (identity.exchange)
- https://www.sec.gov/data-research/sec-markets-data/fails-deliver-data (identity.isin)
- https://data.sec.gov/submissions/CIK0001377936.json (identity.jurisdiction)
- https://mapping.gleif.org/api/v2/isin-lei/latest/download (identity.lei)
- https://mcp.us-cm-kg.ai/events/NYSE/SAX (the disclosure lines)
- https://www.nasdaqtrader.com/rss.aspx?feed=tradehalts (the halt flag)
- https://mcp.us-cm-kg.ai/book/aio.json (the orderability chapter)
- https://mcp.us-cm-kg.ai/record/NYSE/SAX (the record)

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