Insider · CIK 0001240892

GRISIUS MICHAEL J

Reports to the SEC for 2 companies · NEW YORK, NY

sec.gov

Transactions

Companies

Filings

CIK

0001240892

Forms 4 and 5

Insider transactions

30 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2016-06-20	SARSARATOGA INVESTMENT CORP.J Other	Director, President and Director	JOther	+2,050 sh	—	—	132,239
2016-03-14	SARSARATOGA INVESTMENT CORP.J Other	Director, President and Director	JOther	+49.1K sh	—	—	127,045
2014-11-03	SARSARATOGA INVESTMENT CORP.J Other	Director, President and Director	JOther	+32.8K sh	—	—	67,479
2013-07-24	SARSARATOGA INVESTMENT CORP.A Award	Director, President and Director	AAward	+8,550 sh	$18.37	+$157K	29,628
2013-07-22	SARSARATOGA INVESTMENT CORP.A Award	Director, President and Director	AAward	+2,950 sh	$18.00	+$53.1K	21,078
2008-02-01	ALLIED CAPITAL CORPIncentive Stock Option (right to buy)A Award	Managing Director	AAward	+8,710 sh	—	—	8,710
2008-02-01	ALLIED CAPITAL CORPNon-Qualified Stock Option (right to buy)A Award	Managing Director	AAward	+241K sh	—	—	241,290
2007-12-17	ALLIED CAPITAL CORPPhantom Stock UnitsA Award	Managing Director	AAward	+4,416 sh	$22.29	+$98.4K	69,298
2007-09-17	ALLIED CAPITAL CORPPhantom Stock UnitsA Award	Managing Director	AAward	+3,436 sh	$28.67	+$98.5K	63,565
2007-06-22	ALLIED CAPITAL CORPPhantom Stock UnitsA Award	Managing Director	AAward	+3,073 sh	$32.00	+$98.3K	58,989
2006-06-23	ALLIED CAPITAL CORPPhantom Stock UnitsA Award	Managing Director	AAward	+4,624 sh	$29.70	+$137K	40,149
2006-03-16	ALLIED CAPITAL CORPIncentive Stock Option (right to buy)M Exercise/Conversion	Managing Director	MExercise/Conversion	−3,564 sh	—	—	0
2006-03-16	ALLIED CAPITAL CORPIncentive Stock Option (right to buy)M Exercise/Conversion	Managing Director	MExercise/Conversion	−2,500 sh	—	—	0
2006-03-16	ALLIED CAPITAL CORPIncentive Stock Option (right to buy)M Exercise/Conversion	Managing Director	MExercise/Conversion	−2,596 sh	—	—	0
2006-03-16	ALLIED CAPITAL CORPIncentive Stock Option (right to buy)M Exercise/Conversion	Managing Director	MExercise/Conversion	−4,646 sh	—	—	0
2006-03-16	ALLIED CAPITAL CORPM Exercise/Conversion	Managing Director	MExercise/Conversion	+2,500 sh	$17.88	+$44.7K	56,961
2006-03-16	ALLIED CAPITAL CORPM Exercise/Conversion	Managing Director	MExercise/Conversion	+2,596 sh	$17.75	+$46.1K	59,557
2006-03-16	ALLIED CAPITAL CORPM Exercise/Conversion	Managing Director	MExercise/Conversion	+4,646 sh	$21.52	+$100K	64,203
2006-03-16	ALLIED CAPITAL CORPM Exercise/Conversion	Managing Director	MExercise/Conversion	+3,564 sh	$21.59	+$76.9K	67,767
2005-08-03	ALLIED CAPITAL CORPIncentive Stock Option (right to buy)A Award	Managing Director	AAward	+3,635 sh	—	—	3,635
2005-08-03	ALLIED CAPITAL CORPNon-Qualified Stock Option (right to buy)A Award	Managing Director	AAward	+196K sh	—	—	196,365
2005-06-22	ALLIED CAPITAL CORPPhantom Stock UnitsA Award	Managing Director	AAward	+2,893 sh	$27.63	+$79.9K	25,097
2004-12-31	ALLIED CAPITAL CORPPhantom Stock UnitsJ Other	Managing Director	JOther	+303 sh	$26.14	+$7,921.935	303
2004-12-21	ALLIED CAPITAL CORPPhantom Stock UnitsA Award	Managing Director	AAward	+4,379 sh	$27.64	+$121K	4,379
2004-10-01	ALLIED CAPITAL CORPPhantom Stock UnitsJ Other	Managing Director	JOther	+209 sh	$24.62	+$5,145.58	209
2004-09-22	ALLIED CAPITAL CORPPhantom Stock UnitsA Award	Managing Director	AAward	+4,741 sh	$25.51	+$121K	4,741
2003-12-31	ALLIED CAPITAL CORPL Small Acquisition	Managing Director	LSmall Acquisition	+318 sh	—	—	15,957
2003-09-30	ALLIED CAPITAL CORPL Small Acquisition	Managing Director	LSmall Acquisition	+310 sh	—	—	15,639
2003-06-30	ALLIED CAPITAL CORPL Small Acquisition	Managing Director	LSmall Acquisition	+345 sh	—	—	15,329
2003-03-31	ALLIED CAPITAL CORPL Small Acquisition	Managing Director	LSmall Acquisition	+40 sh	—	—	14,984

Recent filings

Accepted (ET)
Jun 224
SARATOGA INVESTMENT CORP.0000899243-16-023412
SEC(opens sec.gov)
Mar 174
SARATOGA INVESTMENT CORP.0000899243-16-016245
SEC(opens sec.gov)
Nov 54
SARATOGA INVESTMENT CORP.0001209191-14-066715
SEC(opens sec.gov)
Jul 244
SARATOGA INVESTMENT CORP.0001104659-13-056341
SEC(opens sec.gov)
Feb 54
GRISIUS MICHAEL J0001420827-08-000034
SEC(opens sec.gov)
Dec 194
GRISIUS MICHAEL J0001420827-07-000047
SEC(opens sec.gov)
Sep 194
ALLIED CAPITAL CORP0001252853-07-000243
SEC(opens sec.gov)
Jun 254
ALLIED CAPITAL CORP0001252853-07-000129
SEC(opens sec.gov)
Jun 234
GRISIUS MICHAEL J0001300320-06-000075
SEC(opens sec.gov)
Mar 174
ALLIED CAPITAL CORP0001252853-06-000016
SEC(opens sec.gov)
Aug 54
ALLIED CAPITAL CORP0001252853-05-000206
SEC(opens sec.gov)

Companies

Address

C/O SARATOGA INVESTMENT CORP. 535 MADISON AVENUE

NEW YORK, NY, 10022