Welcome to our dedicated page for Prospect Capital SEC filings (Ticker: PSEC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Prospect Capital Corporation (PSEC) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. These documents include current reports on Form 8-K, annual proxy statements on Schedule 14A and other materials that describe Prospect’s financial results, distributions, capital structure and governance.
Prospect uses Form 8-K to report material events such as quarterly and annual financial results, the declaration of monthly cash distributions to common shareholders, and dividends on its 5.35%, 5.50%, 6.50%, 7.50% and floating rate preferred stock series. These filings specify record dates, payment dates and dividend rates based on the stated value of the preferred shares. Form 8-Ks also describe institutional funding transactions, including the pricing and issuance of 5.5% Series A senior unsecured Notes due 2030, the key terms of the Deed of Trust governing those notes, and the expected listing of the notes and PSEC common stock on the Tel Aviv Stock Exchange.
Prospect’s definitive proxy statement on Schedule 14A outlines the agenda for its annual meeting of stockholders, including the election of directors, voting rights of common and preferred stockholders, and procedures for participating in virtual meetings. The proxy materials also discuss the company’s stockholder base, noting the significant presence of retail investors, and describe the use of a proxy solicitor to help achieve a quorum.
Through these filings, investors can review Prospect’s reported net investment income, net income or loss applicable to common shareholders, distributions, net asset value to common shareholders, leverage and coverage ratios, and portfolio composition, as summarized in the earnings press releases attached as exhibits. Filings also detail the company’s revolving credit facility, program notes, unsecured debt issuances and perpetual preferred stock programs.
On Stock Titan, AI-powered tools can help summarize lengthy PSEC filings, highlight key terms such as dividend declarations, new debt obligations and covenant descriptions, and make it easier to locate information about common and preferred stock, institutional notes and governance matters within Prospect Capital’s regulatory history.
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.
Prospect Capital Corporation filed a post-effective amendment to its Form N-2 registration statement that mainly restates standard securities-law undertakings and administrative procedures. The amendment confirms that estimated offering expenses will be borne by the company and describes how prospectuses filed under Rules 424 and 430 will be treated for liability purposes. It also states procedures for removing unsold securities from registration and for delivering prospectuses on request.
Prospect Capital Corporation filed Post-Effective Amendment No. 110 to its Form N-2 registration statement (File No. 333-269714). The filing is made under Rule 462(d) solely to add and organize exhibits to the existing registration statement.
The amendment consists only of a facing page, an explanatory note, and Part C listing extensive charter, bylaw, indenture and note-related documents. It explicitly states that it does not modify any other part of the registration statement and becomes effective immediately upon filing with the SEC.
Prospect Capital Corporation filed a current report describing recent financial and dividend actions. On August 26, 2025, the company issued a press release with its financial results for the fiscal year ended June 30, 2025, which is furnished as Exhibit 99.1.
The company also announced monthly cash distributions to common shareholders of $0.0450 per share for September 2025 and October 2025, with record dates of 9/26/2025 and 10/29/2025 and payment dates of 10/22/2025 and 11/18/2025.
Prospect Capital declared monthly dividends on its Floating Rate, 7.50%, 5.50% and 6.50% preferred stock series for September, October and November 2025, with per-share amounts of $0.135417 (Floating and 6.50%), $0.156250 (7.50%) and $0.114583 (5.50%). It also declared a quarterly dividend on its 5.35% preferred stock of $0.334375 per share for the period August 2025–October 2025, with a record date of 10/22/2025 and payment on 11/3/2025.
Prospect Capital Corporation (PSEC) operates as a business development company that lends to and invests in U.S. middle-market private companies. The company reports approximately $7.0 billion of total assets as of June 30, 2025 and an aggregate market value of common equity held by non-affiliates of $1.349 billion as of December 31, 2024. There were 462,343,452 common shares outstanding as of August 25, 2025. Prospect is externally managed by Prospect Capital Management, which receives a 2.00% annual base management fee on gross assets plus a two-part incentive fee (an income-based catch-up/incentive structure and a 20% capital gains fee). The Board unanimously renewed the Investment Advisory Agreement for the 12-month period ending June 20, 2026. The company discloses an asset coverage ratio of 319.4% (based on $2.1 billion principal amount of indebtedness) and an asset coverage on senior securities that are stock of 173.3%. The filing describes valuation policies under ASC 820, monitoring and proxy voting procedures, dividend reinvestment plans (5% discount for common stock DRIP) and material tax-designation metrics for 2024.
Prospect Capital Corporation filed Post-Effective Amendment No. 109 to its Form N-2 registration statement. This update is made under Rule 462(d) solely to add and organize exhibits, including extensive indenture and note-related documents, and to incorporate existing financial statements by reference. The company states that this amendment does not modify any other part of the effective registration statement and becomes effective immediately upon filing with the SEC.