Barry Amends Prospect Capital Stake Filing

TL;DR

Barry filed an update on his Prospect Capital stake, no major changes reported.

AI Summary

John F. Barry III filed an amendment (No. 9) to Schedule 13D on March 22, 2024, regarding Prospect Capital Corporation. Barry previously held 1,000,000 shares, representing 0.2% of the outstanding stock. This amendment does not appear to change his beneficial ownership or disclose new significant information beyond the filing itself.

Why It Matters

Amendments to Schedule 13D filings can signal changes in a significant shareholder's intentions or holdings, potentially impacting the stock price.

Risk Assessment

Risk Level: low — This filing is an amendment and does not appear to introduce new material information or a change in beneficial ownership.

Key Numbers

• 1,000,000 — Shares Held (Previously reported beneficial ownership by John F. Barry III.)
• 0.2% — Ownership Percentage (Previously reported beneficial ownership percentage by John F. Barry III.)

Key Players & Entities

• John F. Barry III (person) — Filing party
• Prospect Capital Corporation (company) — Subject company
• 0.2% (percentage) — Previous beneficial ownership percentage
• 1,000,000 (share_count) — Previous number of shares held
• 20240322 (date) — Filing date

FAQ

Key Financial Figures

• $5.206 — 3202024 John F. Barry III IRA 11,458.90 $5.206 Dividend 3202024 John F. Barry III 72.
• $5.5385 — 2202024 John F. Barry III IRA 10,661.68 $5.5385 Dividend 2202024 Daria Barry IRA 3,022

Filing Documents

• a20240322-johnbarrysc13da.htm (SC 13D/A) — 55KB
• 0001287032-24-000099.txt ( ) — 57KB

SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION

ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION

is amended by adding the following

Item 3 is amended by adding the following Since the filing of Amendment No. 8 on January 8, 2021 through March 22, 2024 (i) Mr. Barry acquired an aggregate of 3,339,623.36 Shares, which include Shares held in an IRA account in his name (the John F. Barry III IRA") and consist of 3,016,943.36 Shares purchased with dividends through the Issuer's dividend reinvestment plan and 382,680 Shares purchased with personal funds on the open market (ii) 83,434.85 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 (iii) the Foundation acquired an aggregate of 1,015,520.59 Shares, which consist of 1,015,520.59 Shares purchased with dividends through the Issuer's dividend reinvestment plan and 0 Shares purchased with existing cash on hand on the open market.

INTEREST IN SECURITIES OF THE ISSUER

ITEM 5. INTEREST IN SECURITIES OF THE ISSUER

is amended and restated as follows

Item 5 is amended and restated as follows (a)-(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 o n 415,207,492 outstanding Shares as of March 12, 2024, as reported in the Issuer's Schedule 14A filed on March 12, 2024. Mr. Barry has sole voting and dispositive power over the 108,708,751.33 Shares held by him directly and through the Foundation as of March 22, 2024. Mr. Barry has shared voting and dispositive power over the 300,272.93 Shares acquired through the Daria Barry IRA. (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 3202024 John F. Barry III IRA 11,458.90 $5.206 Dividend 3202024 John F. Barry III 72.79 $5.206 Dividend 3202024 Daria Barry IRA 3,248.65 $5.206 Dividend 2202024 John F. Barry III IRA 10,661.68 $5.5385 Dividend 2202024 Daria Barry IRA 3,022.64 $5.5385 Dividend (d) Not applicable. (e) Not applicable. 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. Dated March 22, 2024 By s John F. Barry III Name John F. Barry III JOHN AND DARIA BARRY FOUNDATION By s John F. Barry III Name John F. Barry III Title Trustee

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