Saratoga Investment Advisors, LLC, et al., 80365 [2023-25498]

Download as PDF Federal Register / Vol. 88, No. 221 / Friday, November 17, 2023 / Notices PRA burden of 4.5 hours. Based on the estimated wage rate, the total cost to the industry of the hour burden for complying with Form N–6F would be approximately $1,912.50. The collection of information under Form N–6F is mandatory. The information provided under the form is not kept confidential. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. Written comments are invited on: (a) whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimate of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted by January 16, 2024. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information under the PRA unless it displays a currently valid OMB control number. Please direct your written comments to: David Bottom, Acting Director/Chief Information Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549 or send an email to: PRA_ Mailbox@sec.gov. Dated: November 14, 2023. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–25478 Filed 11–16–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 35047; File No. 812–15459] Saratoga Investment Advisors, LLC, et al. khammond on DSKJM1Z7X2PROD with NOTICES November 14, 2023. Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’). ACTION: Notice. AGENCY: Notice of application for an order (‘‘Order’’) under sections 17(d) and 57(i) of the Investment Company Act of 1940 (the ‘‘Act’’) and rule 17d–1 under the Act to permit certain joint transactions VerDate Sep<11>2014 18:57 Nov 16, 2023 Jkt 262001 otherwise prohibited by sections 17(d) and 57(a)(4) of the Act and rule 17d–1 under the Act. SUMMARY OF APPLICATION: Applicants request an order to permit certain business development companies (‘‘BDCs’’) and closed-end management investment companies to co-invest in portfolio companies with each other and with certain affiliated investment entities. APPLICANTS: Saratoga Investment Advisors, LLC, Saratoga Management Company LLC, Saratoga Investment Corp., Saratoga Investment Corp. SBIC LP, Saratoga Investment Corp. SBIC II LP, Saratoga Investment Corp. SBIC III LP, Saratoga Investment Corp. CLO 2013–1 LTD, Saratoga Investment Funding II, LLC, SIA-Avionte, Inc., SIA– AX, Inc., SIA–GH, Inc., SIA–G4, Inc., SIA–MAC, Inc., SIA–ARC, Inc., SIA–PP, Inc., SIA–TG, Inc., SIA–TT, Inc., SIAVector, Inc., SIA–VR, Inc., SIA–AAP, Inc., Saratoga Credit Fund I L.P., SIA– MDP Inc., and SIA–SZ, Inc. FILING DATES: The application was filed on April 25, 2023, and amended on September 1, 2023. HEARING OR NOTIFICATION OF HEARING: An order granting the requested relief will be issued unless the Commission orders a hearing. Interested persons may request a hearing on any application by emailing the SEC’s Secretary at Secretarys-Office@sec.gov and serving the Applicants with a copy of the request by email, if an email address is listed for the relevant Applicant below, or personally or by mail, if a physical address is listed for the relevant Applicant below. Hearing requests should be received by the Commission by 5:30 p.m. on, December 11, 2023, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Pursuant to rule 0–5 under the Act, hearing requests should state the nature of the writer’s interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by emailing the Commission’s Secretary at Secretarys-Office@sec.gov. ADDRESSES: The Commission: Secretarys-Office@ sec.gov. Applicants: Rochelle Kracoff, Assistant Chief Compliance Officer, Saratoga Investment Corp., at rkracoff@ saratogapartners.com, and Steven B. Boehm, Esq., Payam Siadatpour, Esq., and Anne G. Oberndorf, Esq., Eversheds Sutherland (US) LLP, at PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 80365 anneoberndorf@evershedssutherland.us. FOR FURTHER INFORMATION CONTACT: Michael Schrader, Senior Counsel, or Terri Jordan, Branch Chief, at (202) 551– 6825 (Division of Investment Management, Chief Counsel’s Office). SUPPLEMENTARY INFORMATION: For Applicants’ representations, legal analysis, and conditions, please refer to Applicants’ first amended and restated application, dated September 1, 2023, which may be obtained via the Commission’s website by searching for the file number at the top of this document, or for an Applicant using the Company name search field, on the SEC’s EDGAR system. The SEC’s EDGAR system may be searched at, https://www.sec.gov/edgar/searchedgar/ legacy/companysearch.html. You may also call the SEC’s Public Reference Room at (202) 551–8090. For the Commission, by the Division of Investment Management, under delegated authority. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–25498 Filed 11–16–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–381, OMB Control No. 3235–0434] Submission for OMB Review; Comment Request; Extension: Rule 15g–2 Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549–2736 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.)(‘‘PRA’’), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for extension of the previously approved collection of information discussed below. Rule 15g–2 (17 CFR 240.15g–2) (The ‘‘Penny Stock Disclosure Rule’’) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’) requires broker-dealers to provide their customers with a risk disclosure document, as set forth in Schedule 15G, prior to their first non-exempt transaction in a ‘‘penny stock.’’ As amended, the rule requires brokerdealers to obtain written acknowledgement from the customer that he or she has received the required E:\FR\FM\17NON1.SGM 17NON1

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[Federal Register Volume 88, Number 221 (Friday, November 17, 2023)]
[Notices]
[Page 80365]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-25498]


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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 35047; File No. 812-15459]


Saratoga Investment Advisors, LLC, et al.

November 14, 2023.
AGENCY: Securities and Exchange Commission (``Commission'' or ``SEC'').

ACTION: Notice.

-----------------------------------------------------------------------

    Notice of application for an order (``Order'') under sections 17(d) 
and 57(i) of the Investment Company Act of 1940 (the ``Act'') and rule 
17d-1 under the Act to permit certain joint transactions otherwise 
prohibited by sections 17(d) and 57(a)(4) of the Act and rule 17d-1 
under the Act.

Summary of Application: Applicants request an order to permit certain 
business development companies (``BDCs'') and closed-end management 
investment companies to co-invest in portfolio companies with each 
other and with certain affiliated investment entities.

Applicants: Saratoga Investment Advisors, LLC, Saratoga Management 
Company LLC, Saratoga Investment Corp., Saratoga Investment Corp. SBIC 
LP, Saratoga Investment Corp. SBIC II LP, Saratoga Investment Corp. 
SBIC III LP, Saratoga Investment Corp. CLO 2013-1 LTD, Saratoga 
Investment Funding II, LLC, SIA-Avionte, Inc., SIA-AX, Inc., SIA-GH, 
Inc., SIA-G4, Inc., SIA-MAC, Inc., SIA-ARC, Inc., SIA-PP, Inc., SIA-TG, 
Inc., SIA-TT, Inc., SIA-Vector, Inc., SIA-VR, Inc., SIA-AAP, Inc., 
Saratoga Credit Fund I L.P., SIA-MDP Inc., and SIA-SZ, Inc.

Filing Dates: The application was filed on April 25, 2023, and amended 
on September 1, 2023.

Hearing or Notification of Hearing: An order granting the requested 
relief will be issued unless the Commission orders a hearing. 
Interested persons may request a hearing on any application by emailing 
the SEC's Secretary at [email protected] and serving the 
Applicants with a copy of the request by email, if an email address is 
listed for the relevant Applicant below, or personally or by mail, if a 
physical address is listed for the relevant Applicant below. Hearing 
requests should be received by the Commission by 5:30 p.m. on, December 
11, 2023, and should be accompanied by proof of service on applicants, 
in the form of an affidavit or, for lawyers, a certificate of service. 
Pursuant to rule 0-5 under the Act, hearing requests should state the 
nature of the writer's interest, any facts bearing upon the 
desirability of a hearing on the matter, the reason for the request, 
and the issues contested. Persons who wish to be notified of a hearing 
may request notification by emailing the Commission's Secretary at 
[email protected].

ADDRESSES: 
    The Commission: [email protected].
    Applicants: Rochelle Kracoff, Assistant Chief Compliance Officer, 
Saratoga Investment Corp., at [email protected], and Steven 
B. Boehm, Esq., Payam Siadatpour, Esq., and Anne G. Oberndorf, Esq., 
Eversheds Sutherland (US) LLP, at [email protected].

FOR FURTHER INFORMATION CONTACT: Michael Schrader, Senior Counsel, or 
Terri Jordan, Branch Chief, at (202) 551-6825 (Division of Investment 
Management, Chief Counsel's Office).

SUPPLEMENTARY INFORMATION: For Applicants' representations, legal 
analysis, and conditions, please refer to Applicants' first amended and 
restated application, dated September 1, 2023, which may be obtained 
via the Commission's website by searching for the file number at the 
top of this document, or for an Applicant using the Company name search 
field, on the SEC's EDGAR system. The SEC's EDGAR system may be 
searched at, https://www.sec.gov/edgar/searchedgar/legacy/companysearch.html. You may also call the SEC's Public Reference Room 
at (202) 551-8090.

    For the Commission, by the Division of Investment Management, 
under delegated authority.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-25498 Filed 11-16-23; 8:45 am]
BILLING CODE 8011-01-P
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