Prospect Capital Confirms PSEC & PSEC PRA Listings on NASDAQ & NYSE

TL;DR

**PSEC confirms common stock on NASDAQ and preferred stock on NYSE.**

AI Summary

Prospect Capital Corporation filed an 8-K on January 25, 2024, to update its registered securities. The filing confirms that its Common Stock, with a $0.001 par value, is traded on the NASDAQ Global Select Market under the symbol PSEC. Additionally, its 5.35% Series A Fixed Rate Cumulative Perpetual Preferred Stock, also with a $0.001 par value, is registered on the New York Stock Exchange under the symbol PSEC PRA. This matters to investors as it clarifies where their shares are officially listed and traded, ensuring transparency and liquidity information.

Why It Matters

This filing provides clarity on where Prospect Capital's common and preferred stocks are officially listed, which is crucial for investors to understand trading venues and regulatory oversight.

Risk Assessment

Risk Level: low — This filing is purely informational, confirming existing security listings, and does not introduce new financial risks or operational changes.

Analyst Insight

Investors should note the specific exchanges (NASDAQ for common, NYSE for preferred) where Prospect Capital's securities are listed, which can be relevant for trading and accessing market data.

Key Numbers

• $0.001 — par value per share (for both Common Stock and 5.35% Series A Fixed Rate Cumulative Perpetual Preferred Stock)
• 5.35% — fixed rate (for the Series A Fixed Rate Cumulative Perpetual Preferred Stock)

Key Players & Entities

• Prospect Capital Corporation (company) — the registrant filing the 8-K
• NASDAQ Global Select Market (company) — exchange where Common Stock is registered
• New York Stock Exchange (company) — exchange where 5.35% Series A Preferred Stock is registered
• $0.001 (dollar_amount) — par value of Common Stock and Preferred Stock

FAQ

Key Financial Figures

• $0.001 — ange on which registered Common Stock, $0.001 par value PSEC NASDAQ Global Select Mar
• $25 — qual to 7.33586% of the stated value of $25 per share of the A4 and M4 Shares, from
• $0.152830 — s February 2024 2/21/2024 3/1/2024 $0.152830 The information disclosed under this

Filing Documents

• psec-20240125.htm (8-K) — 36KB
• ex31psecarticlessupplement.htm (EX-3.1) — 117KB
• 0001287032-24-000029.txt ( ) — 346KB
• psec-20240125.xsd (EX-101.SCH) — 3KB
• psec-20240125_def.xml (EX-101.DEF) — 16KB
• psec-20240125_lab.xml (EX-101.LAB) — 32KB
• psec-20240125_pre.xml (EX-101.PRE) — 17KB
• psec-20240125_htm.xml (XML) — 4KB

03. Material Modification to Rights of Security Holders

Item 3.03. Material Modification to Rights of Security Holders. On December 28, 2023, the Company filed Articles Supplementary (the "Articles Supplementary") with the State Department of Assessments and Taxation of Maryland ("SDAT"). The Articles Supplementary reclassified and designated 160,000,000 shares of the Company's authorized and unissued shares of common stock, par value $0.001 per share (the "Common Stock"), into 80,000,000 shares of a series of preferred stock, designated as "Preferred Stock, Series A4", par value $0.001 per share (the "Series A4 Shares") and 80,000,000 shares of a series of preferred stock, designated as "Preferred Stock, Series M4", par value $0.001 per share (the "Series M4 Shares" and, collectively with the Series A4 Shares, the "Preferred Stock"). The Company originally reported the foregoing on a Current Report on Form 8-K filed on December 29, 2023; however, the Articles Supplementary attached to that Current Report on Form 8-K as an exhibit were not identical to the Articles Supplementary filed with SDAT. The Company is filing this Current Report on Form 8-K in order to attach an identical form of the Articles Supplementary filed with SDAT. The foregoing description of the Preferred Stock is only a summary and is qualified in its entirety by reference to the full text of the Articles Supplementary, a copy of which is filed as Exhibit 3.1 to this Current Report on Form 8-K and incorporated herein by reference.

01. Regulation FD Disclosure

Item 7.01. Regulation FD Disclosure. On January 25, 2024, the Company authorized (with respect to the A4 and M4 Shares) distributions to preferred shareholders based on an annual rate equal to 7.33586% of the stated value of $25 per share of the A4 and M4 Shares, from the date of issuance or, if later, from the most recent dividend payment date (the first business day of the month), as follows: Monthly Cash Preferred Shareholder Distribution Record Date Payment Date Monthly Amount ($ per share), before pro ration for partial periods February 2024 2/21/2024 3/1/2024 $0.152830 The information disclosed under this Item 7.01 is being furnished and shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934 and shall not be deemed incorporated by reference into any filing made under the Securities Act of 1933, except as expressly set forth by specific reference in such filing. 3

01. Financial Statements and Exhibits

Item 9.01. Financial Statements and Exhibits (d) Exhibits 3.1 Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation - Preferred Stock Series A4, Preferred Stock Series M4 4 SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized. Prospect Capital Corporation By: /s/ M. Grier Eliasek Name: M. Grier Eliasek Title: Chief Operating Officer Date: January 25, 2024 5 Index to Exhibits Exhibit Number Description 3.1 Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation - Preferred Stock, Series A4, Preferred Stock Series M4 6

View Full Filing

View this 8-K filing on SEC EDGAR