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Prospect Capital (PSEC) CEO adds 433,000 shares in open-market buys

Filing Impact
(Very High)
Filing Sentiment
(Positive)
Form Type
4

Rhea-AI Filing Summary

Prospect Capital Corp chief executive and 10% owner John F. Barry reported open-market purchases of a total of 433,000 shares of common stock on May 26, 2026. The trades were executed in two lots of 3,000 shares at $2.325 per share and 430,000 shares at $2.3249 per share, bringing his directly held stake to about 87.1 million shares. A separate holding entry shows an additional 426,199.377 shares owned indirectly through his spouse.

Positive

  • None.

Negative

  • None.
Insider Barry John F
Role CHIEF EXECUTIVE OFFICER
Bought 433,000 shs ($1.01M)
Type Security Shares Price Value
Purchase COMMON STOCK 430,000 $2.3249 $1000K
Purchase COMMON STOCK 3,000 $2.325 $7K
holding COMMON STOCK -- -- --
Holdings After Transaction: COMMON STOCK — 87,119,376.113 shares (Direct, null); COMMON STOCK — 426,199.377 shares (Indirect, By Spouse)
Footnotes (1)
Open-market buy 1 3,000 shares at $2.325 Common stock purchase on May 26, 2026
Open-market buy 2 430,000 shares at $2.3249 Common stock purchase on May 26, 2026
Total shares bought 433,000 shares Net open-market purchases in this Form 4
Direct holdings after trades 87,122,376.113 shares Total common stock directly owned after transactions
Spouse indirect holdings 426,199.377 shares Common stock held indirectly by spouse
open-market purchase financial
"transaction_action": "open-market purchase""
An open-market purchase is when an investor or a company buys shares on a public stock exchange at the going market price, rather than through a private deal. It matters to investors because these purchases change how many shares are available, can push the stock price up or signal confidence from large buyers, and often affect per-share metrics like earnings—think of it like someone buying lots of apples off a grocery shelf, reducing supply and potentially raising the price.
COMMON STOCK financial
""security_title": "COMMON STOCK""
Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.
indirect financial
""ownership_type": "indirect""
transaction code financial
""transaction_code": "P""
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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)
XDirectorX10% Owner
XOfficer (give title below)Other (specify below)
CHIEF EXECUTIVE OFFICER
2a. Foreign Trading Symbol
[PSEC]
3. Date of Earliest Transaction (Month/Day/Year)
05/26/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
COMMON STOCK05/26/2026P430,000A$2.324987,119,376.113D
COMMON STOCK05/26/2026P3,000A$2.32587,122,376.113D
COMMON STOCK426,199.377IBy 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
Remarks:
/s/ John F. Barry III05/28/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider activity did PSEC CEO John F. Barry report on May 26, 2026?

John F. Barry reported open-market purchases totaling 433,000 Prospect Capital common shares on May 26, 2026. The filing shows two separate transactions and updates his direct and indirect ownership positions in the company’s stock.

How many Prospect Capital (PSEC) shares did the CEO buy and at what prices?

The CEO bought 3,000 Prospect Capital shares at $2.325 and 430,000 shares at $2.3249. These open-market purchases on May 26, 2026, together totaled 433,000 shares of common stock according to the Form 4.

What are John F. Barry’s direct PSEC share holdings after these transactions?

After the reported open-market purchases, John F. Barry directly holds about 87.1 million Prospect Capital common shares. The Form 4 lists total shares following the transactions, reflecting his updated direct ownership stake in the company.

Does the Prospect Capital (PSEC) Form 4 show any indirect ownership by the CEO?

Yes. The Form 4 includes a holding entry for 426,199.377 Prospect Capital common shares held indirectly by John F. Barry’s spouse. This position is reported as indirect ownership, separate from his large direct shareholding.

Were the PSEC CEO’s May 26, 2026 transactions open-market purchases or another type?

Both transactions are coded as “P,” indicating open-market or private purchases of non-derivative common stock. The filing explicitly describes them as open-market purchases, distinguishing them from derivative exercises, gifts, or tax-withholding events.