Prospect Capital: John F. Barry III holds 25.2%

Barry's reported beneficial ownership equals 25.2% of PSEC's class, using the company's 533,816,849 outstanding shares as of September 21, 2026.

Rhea-AI Filing Summary

Prospect Capital Corp. (PSEC) shareholder John F. Barry III reported acquiring 4,047,543.91 shares from May 21, 2026 through October 20, 2026. Of these, 3,949,753 shares were purchased with personal funds on the open market and 97,790.91 shares were purchased with dividends through the issuer’s dividend reinvestment plan. The Daria Barry IRA, controlled by his spouse Daria Barry, acquired 27,649.23 shares with dividends and purchased zero shares with existing cash on the open market. The 60-day transaction table lists a 1,217,105-share purchase on September 4, 2026, at a weighted average price of $2.24 per share. As of October 20, 2026, Barry reported beneficial ownership of 134,685,809.01 shares, or 25.2%; the percentage uses 533,816,849 shares outstanding as of September 21, 2026. The John & Daria Barry Foundation separately reported beneficial ownership of 43,727,065.61 shares, or 8.2%.

Key Figures

Shares acquired: 4,047,543.91 shares Open-market purchases with personal funds: 3,949,753 shares Dividend reinvestment purchases: 97,790.91 shares +5 more

8 metrics

Shares acquired 4,047,543.91 shares Reported from May 21, 2026 through October 20, 2026

Open-market purchases with personal funds 3,949,753 shares John F. Barry III

Dividend reinvestment purchases 97,790.91 shares John F. Barry III

Barry beneficial ownership 134,685,809.01 shares As reported in the cover page

Barry ownership of class 25.2% Based on shares outstanding as of September 21, 2026

Shares outstanding 533,816,849 shares As of September 21, 2026

Foundation beneficial ownership 43,727,065.61 shares John & Daria Barry Foundation; 8.2% of the class

Weighted average price per share $2.24 per share 1,217,105-share purchase on September 4, 2026; commissions included

Key Terms

beneficially owned, dividend reinvestment plan, sole voting power, shared dispositive power, +1 more

5 terms

beneficially owned financial

"Aggregate amount beneficially owned"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

dividend reinvestment plan financial

"purchased with dividends through the Issuer's dividend reinvestment plan"

A dividend reinvestment plan lets shareholders automatically use cash dividends to buy more shares of the same company instead of receiving the money. It matters to investors because it turns regular payouts into a steady way to grow ownership and take advantage of compound returns—like having your savings automatically buy additional slices of a pie over time—while often reducing transaction costs and smoothing purchase timing.

sole voting power financial

"Sole Voting Power"

Sole voting power is the exclusive right to cast votes attached to a shareholder’s stock without needing approval from anyone else. Like holding the only remote control for a TV, it lets that holder decide corporate matters such as board members, mergers, and policy changes, making it important to investors because it concentrates control and can strongly influence a company’s strategy and the value of its shares.

shared dispositive power financial

"Shared Dispositive Power"

weighted average price per share financial

"Weighted Average Price per Share"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many PSEC shares did John F. Barry III report acquiring?

John F. Barry III reported acquiring 4,047,543.91 shares from May 21, 2026 through October 20, 2026. This included 3,949,753 shares purchased with personal funds on the open market and 97,790.91 shares purchased with dividends through the issuer’s dividend reinvestment plan.

How many PSEC shares does John F. Barry III beneficially own?

Barry reported beneficial ownership of 134,685,809.01 shares, equal to 25.2% of the class. The percentage is based on 533,816,849 shares outstanding as of September 21, 2026.

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

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Available on EDGAR 10/20/2026 - 05:07 PM EDT Accepted by SEC EDGAR 10/20/2026 - 05:07 PM EDT Learn about SEC filing dates

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 13)

PROSPECT CAPITAL CORP

(Name of Issuer)

Common Stock, par value $0.001 per share

(Title of Class of Securities)

74348T102

(CUSIP Number)

John F. Barry III
700 S. Rosemary Avenue, Suite 204
West Palm Beach, FL, 33401
212-448-1858

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

10/16/2026

(Date of Event Which Requires Filing of This Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

schemaVersion:

SCHEDULE 13D

CUSIP Number(s): 74348T102

1

Name of reporting person

Barry John F

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

BK, PF, OO

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 134,231,960.40
8	Shared Voting Power 453,848.60
9	Sole Dispositive Power 134,231,960.40
10	Shared Dispositive Power 453,848.60

11

Aggregate amount beneficially owned by each reporting person

134,685,809.01

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

25.2 %

14

Type of Reporting Person (See Instructions)

IN

SCHEDULE 13D

CUSIP Number(s): 74348T102

1

Name of reporting person

John & Daria Barry Foundation

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

OO, WC

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 43,727,065.61
8	Shared Voting Power 0.00
9	Sole Dispositive Power 43,727,065.61
10	Shared Dispositive Power 0.00

11

Aggregate amount beneficially owned by each reporting person

43,727,065.61

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

8.2 %

14

Type of Reporting Person (See Instructions)

OO

SCHEDULE 13D

Item 1.	Security and Issuer
(a)	Title of Class of Securities: Common Stock, par value $0.001 per share
(b)	Name of Issuer: PROSPECT CAPITAL CORP
(c)	Address of Issuer's Principal Executive Offices: 10 EAST 40TH STREET 44TH FL, NEW YORK, NEW YORK , 10016.
Item 1 Comment: This Schedule 13D/A constitutes Amendment No. 11 to the Schedule 13D on behalf of the John and Daria Barry Foundation (the "Foundation") and Amendment No. 13 to the Schedule 13D of John F. Barry III originally filed with the SEC on February 29, 2016 (the "Original Schedule 13D"), as amended by Amendment No. 1 filed with the SEC on November 21, 2017 ("Amendment No. 1"), Amendment No. 2 filed with the SEC on November 28, 2017 ("Amendment No. 2"), Amendment No. 3 filed with the SEC on December 29, 2017 ("Amendment No. 3"), Amendment No. 4 filed with the SEC on July 2, 2018 ("Amendment No.4"), Amendment No. 5 filed with the SEC on January 7, 2019 ("Amendment No. 5"), Amendment No. 6 filed with SEC on March 23, 2020 ("Amendment No. 6"), Amendment No. 7 filed with the SEC on July 6, 2020 ("Amendment No. 7"Amendment No. 8 filed with the SEC on January 8, 2021 ("Amendment No. 8"), Amendment No. 9 filed with the SEC on March 22, 2024 ("Amendment No. 9"), Amendment No. 10 filed with the SEC on November 22, 2024 ("Amendment No. 10"), Amendment No. 11 filed with the SEC on March 3, 2026 ("Amendment No. 11") and Amendment No. 12 filed with the SEC on May 21, 2026. Except as expressly set forth herein, there have been no changes in the information set forth in the Original Schedule 13D, Amendment No. 1, Amendment No. 2, Amendment No. 3, Amendment No. 4, Amendment No. 5, Amendment No. 6, Amendment No. 7, Amendment No. 8, Amendment No. 9, Amendment No. 10, Amendment No. 11 or amendment No. 12, and such prior disclosure, as so amended, is incorporated into this Amendment No. 11 to the Schedule 13D on behalf of the Foundation and Amendment No. 13 to the Schedule 13D of John F. Barry III.
Item 3.	Source and Amount of Funds or Other Consideration
	Item 3 is amended by adding the following: Since the filing of Amendment No. 12 on May 21, 2026 through October 20, 2026: (i) Mr. Barry acquired an aggregate of 4,047,543.91 Shares, which include Shares held in an IRA account in his name (the "John F. Barry III IRA") and consist of 97,790.91 Shares purchased with dividends through the Issuer's dividend reinvestment plan and 3,949,753.00 Shares purchased with personal funds on the open market; and (ii) 27,649.23 Shares were purchased with dividends through the Issuer's dividend reinvestment account by an IRA account controlled by Mr. Barry's spouse, Daria Barry (the "Daria Barry IRA"); and 0 Shares purchased with existing cash on hand on the open market by the Daria Barry IRA.
Item 5.	Interest in Securities of the Issuer
(a)	The information set forth in rows 7 through 13 of the cover pages to this Schedule 13D is incorporated herein by reference. The percentage set forth in row 13 is based on 533,816,849 outstanding Shares as of September 21, 2026, as reported in the Issuer's Schedule 14A (Definitive Proxy Statement) filed on September 22, 2026. Mr. Barry has sole voting and dispositive power over the 134,231,960.40 Shares held by him directly and through the Foundation as of October 20, 2026. Mr. Barry has shared voting and dispositive power over the 453,848.60 Shares acquired through the Daria Barry IRA as of October 20, 2026.
(b)	The information set forth in rows 7 through 13 of the cover pages to this Schedule 13D is incorporated herein by reference. The percentage set forth in row 13 is based on 533,816,849 outstanding Shares as of September 21, 2026, as reported in the Issuer's Schedule 14A (Definitive Proxy Statement) filed on September 22, 2026. Mr. Barry has sole voting and dispositive power over the 134,231,916.42 Shares held by him directly and through the Foundation as of October 20, 2026. Mr. Barry has shared voting and dispositive power over the 453,848.60 Shares acquired through the Daria Barry IRA as of October 20, 2026.
(c)	The following table sets forth all other transactions with respect to shares effected during the past sixty days by Mr. Barry and the Foundation. Except as otherwise noted below, all such transactions were purchases of shares effected in the open market, and the table includes commissions paid in per share prices. Date of Transaction Account Amount of Securities Weighted Average Price per Share Type 9/17/2026 Daria Barry IRA 7,042.65 $2.09 Dividend 9/17/2026 John F. Barry III IRA 24,885.38 $2.09 Dividend 9/17/2026 John F. Barry III 20.979 $2.09 Dividend 9/4/2026 John F. Barry III 1,217,105 $2.24 Purchase 8/20/2026 Daria Barry IRA 6,845.42 $2.1375 Dividend 8/20/2026 John F. Barry III IRA 24,145.69 $2.1375 Dividend 8/20/2026 John F. Barry III 20.182 $2.1375 Dividend

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Barry John F

Signature:	John F. Barry III
Name/Title:	John F. Barry III
Date:	10/20/2026

John & Daria Barry Foundation

Signature:	John F. Barry III
Name/Title:	Trustee
Date:	10/20/2026