Prospect Capital SEC Filings

John F. Barry III, a director, chief executive officer and reported 10% owner of Prospect Capital Corp (PSEC), purchased 925,000 shares of common stock on 09/25/2025 at $2.7219 per share. After the transaction he directly beneficially owned 86,067,158.198 shares; his spouse holds 372,363.396 shares indirectly. The Form 4 reports this non-derivative acquisition and identifies the reporting person’s role with the issuer.

Prospect Capital Corp (PSEC) insider purchase disclosed on Form 4. The reporting person, John F. Barry III, filed that on 09/24/2025 he acquired 741,158 shares of common stock at $2.617 per share. Following the transaction he beneficially owned 85,142,158.198 shares directly. The filing also reports 372,363.396 shares held indirectly by spouse. The form is signed 09/26/2025.

Prospect Capital Corp (PSEC) insider report: John F. Barry III reported a purchase of 384,000 shares of Prospect Capital common stock on 09/23/2025 at a price of $2.6601 per share. After the transaction the filing shows 84,401,000.198 shares beneficially owned and an indirect holding of 372,363.396 shares attributed to a spouse. The report is signed on 09/25/2025. The filing discloses direct and indirect holdings without additional commentary or derivative transactions.

Prospect Capital Corporation filed a post-effective amendment to its Form N-2 registration statement that contains routine disclosure and standard Securities Act undertakings. The filing lists entities in which the company owns a controlling interest as of December 31, 2022, states that management services are not applicable, and confirms that the company will bear estimated issuance and distribution expenses. The document restates customary undertakings about prospectus incorporation by reference, treatment of post-effective amendments and prospectuses, removal of unsold securities, and procedures for providing prospectuses on request. It also notes the registrant's position on indemnification of directors, officers and controlling persons under the Securities Act and the company’s commitment to seek judicial determination if such indemnification is asserted.

John F. Barry III, listed as Chief Executive Officer, Director and a 10% owner of Prospect Capital Corp (PSEC), reported on Form 4 that on 09/22/2025 he acquired 374,500 shares of the company's common stock at a price of $2.6628 per share. The filing shows 84,017,000.198 shares beneficially owned following the reported transaction (direct) and separately discloses 372,363.396 shares held indirectly by spouse. The form is signed by John F. Barry III on 09/23/2025. The document includes the reporting person's West Palm Beach, FL address.

Eugene S. Stark, a director of Prospect Capital Corp (PSEC), reported buying 2,500 shares of the company's common stock on 09/17/2025 at $2.79 per share. After the purchase he beneficially owned 60,000.345 shares. The Form 4 is signed by Mr. Stark on 09/19/2025 and reflects a routine, open-market insider acquisition that increases his direct ownership stake.

Prospect Capital Corporation is soliciting proxies for its 2025 Annual Meeting and provides instructions for attending via live audio webcast at www.virtualshareholdermeeting.com/PSEC2025. The proxy materials and the annual report for the fiscal year ended June 30, 2025 are being mailed on or about September 25, 2025. Registered holders must use a 16-digit control number to vote online or by phone; record holders may request a control number from EQ Fund Solutions, LLC by December 9, 2025, otherwise they can listen but cannot vote or submit questions. The Company disclosed it paid EQ Fund Solutions approximately $773,052.26 plus expenses to assist in proxy solicitation. As of September 17, 2025, no person (other than those listed in the proxy) owned 25% or more of voting securities. The Board describes its leadership structure, director qualifications and committee-led risk oversight, notes the company elected RIC tax treatment, and confirms that the Audit Committee reviewed audited financials and recommended Deloitte for appointment for fiscal 2026.

Post-effective amendment to Prospect Capital Corporation's registration statement describes corporate housekeeping items and legal undertakings. The filing states estimated issuance expenses will be borne by the company, notes Item 28 addresses entities the registrant controls as of December 31, 2022, and confirms Item 33 (management services) is Not Applicable. The undertakings reiterate how prospectuses and post-effective amendments are treated for liability under the Securities Act and address indemnification limits for directors, officers, and controlling persons. The filing also commits to providing prospectuses on request.