Prospect Capital CEO Barry buys 1.22M shares

The CEO reported 91,793,777 directly held shares after the purchase, while 464,502 shares were held indirectly by his spouse.

Available on EDGAR 11/10/2026 - 04:02 PM EST Accepted by SEC EDGAR 11/10/2026 - 04:01 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Prospect Capital Corp (PSEC) CEO John F. Barry reported a direct purchase of 1,222,704 common shares on November 6, 2026, at $1.4127 per share. His directly held position after the purchase was 91,793,777 shares. His spouse held 464,502 shares indirectly. No Rule 10b5-1 plan is reported.

Insider Trade Summary

Net Buyer: 1,222,704 shares

Net Buy 1 txn

Insider Barry John F

Role CHIEF EXECUTIVE OFFICER

Bought 1,222,704 shs ($1.73M)

Type	Security	Shares	Price	Value
Purchase	COMMON STOCK	1,222,704	$1.4127	$1.73M
Holding	COMMON STOCK	--	--	--

Holdings After Transaction: COMMON STOCK — 91,793,776.818 shares (Direct); COMMON STOCK — 464,501.896 shares (Indirect, By Spouse)

Key Figures

Common shares purchased: 1,222,704 shares Purchase price per share: $1.4127 per share Direct shares held after purchase: 91,793,777 shares +1 more

4 metrics

Common shares purchased 1,222,704 shares Direct purchase on November 6, 2026

Purchase price per share $1.4127 per share Purchase on November 6, 2026

Direct shares held after purchase 91,793,777 shares Reported after the November 6, 2026 purchase

Shares held indirectly by spouse 464,502 shares Reported on November 6, 2026

FAQ

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How many PSEC shares did CEO John F. Barry purchase?

John F. Barry, Prospect Capital Corp's CEO, reported a direct purchase of 1,222,704 common shares on November 6, 2026, at $1.4127 per share; his reported directly held position afterward was 91,793,777 shares.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Barry John F

(Last) (First) (Middle)

700 S ROSEMARY AVE SUITE 204

(Street)

WEST PALM BEACH FLORIDA 33401

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
PROSPECT CAPITAL CORP [ PSEC ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	CHIEF EXECUTIVE OFFICER

2a. Foreign Trading Symbol
[PSEC]

3. Date of Earliest Transaction (Month/Day/Year)
11/06/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
COMMON STOCK	11/06/2026		P		1,222,704	A	$1.4127	91,793,776.818	D
COMMON STOCK								464,501.896	I	By Spouse

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

	/s/ John F. Barry III	11/09/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)