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

# SARATOGA INVESTMENT CORP. (NYSE: SAZ) — 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 SAZ, with ISIN US80349A8696 and LEI 54930023WJCWPAGSWE41. Its security type is Corporate, its jurisdiction is United States, Maryland, and its segment and sector are not on the record. The issuer is listed and not halted.

## The disclosure read

The record holds 60 filings in the twelve months from 2025-11-08 to 2026-11-08, across 34 filing days. The median gap between filing days is 7 days, and the latency from the latest filing to the record date is 3 days. The NYSE median cadence gap is 6.0 days, the NYSE median filings count is 64.0, and the NYSE median latency is 4.0 days; the sector peer figures are not on the record for the US market. The latest filing is dated 2026-11-05 and is of type regulatory_filing.

## Auditor

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

## Events and halts

The record holds a delisting dated 2026-09-18 and listing lines dated 2026-02-06, 2026-02-09, 2026-08-26 and 2026-08-26. No name change is on the record, and the domicile change and segment move are not on the record. The issuer is listed, not halted.

## Orderability

The outcome is not determinable, because the chapter's orderability section carries no client categories. 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 house was found on the issuer's investor-relations pages read, so the count is 0.

## Open research

No openly published research note was found, so the count is 0.

## 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 issuer's years sealed 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/SAZ (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/SAZ (the record)

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