Barry Amends Prospect Capital Stake Filing

TL;DR

Barry updated his 13D filing for Prospect Capital (PSEC) - check for ownership changes.

AI Summary

John F. Barry III filed an amendment (No. 10) to Schedule 13D on November 22, 2024, regarding his holdings in Prospect Capital Corporation. The filing indicates a change in the reporting person's beneficial ownership of the company's common stock. Barry's address is listed as 700 S. Rosemary Avenue, Suite 204, West Palm Beach, FL 33401.

Why It Matters

This filing updates information about a significant shareholder's stake in Prospect Capital Corporation, which could signal changes in Barry's investment strategy or influence on the company.

Risk Assessment

Risk Level: medium — Schedule 13D filings often relate to significant ownership changes or activist investor activity, which can introduce volatility.

Key Players & Entities

• John F. Barry III (person) — Reporting Person
• Prospect Capital Corporation (company) — Subject Company
• 700 S. Rosemary Avenue, Suite 204 West Palm Beach, FL 33401 (address) — John F. Barry III's address

FAQ

Key Financial Figures

• $4.78 — 11222024 John F. Barry III 1,000,000.00 $4.78 Purchase 11212024 John F. Barry III 12
• $4.2845 — hase 11212024 John F. Barry III 12.513 $4.2845 Dividend 11212024 John F. Barry III 1,
• $4.64 — 11212024 John F. Barry III 1,000,000.00 $4.64 Purchase 11202024 John F. Barry III 1,
• $4.59 — 11202024 John F. Barry III 1,000,000.00 $4.59 Purchase 11192024 John F. Barry III 1,
• $4.63 — 11192024 John F. Barry III 1,000,000.00 $4.63 Purchase 11192024 John F. Barry III IR
• $4.47 — 11182024 John F. Barry III 837,273.00 $4.47 Purchase 11152024 John F. Barry III 20
• $4.40 — 11152024 John F. Barry III 205,900.00 $4.40 Purchase 11142024 John F. Barry III 1,
• $4.37 — 11142024 John F. Barry III 1,000,000.00 $4.37 Purchase 10222024 John F. Barry III 10
• $5.0635 — hase 10222024 John F. Barry III 10.465 $5.0635 Dividend 10222024 John F. Barry III IR

Filing Documents

• a20241122-johnbarrysc13da.htm (SC 13D/A) — 66KB
• 0001287032-24-000445.txt ( ) — 67KB

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 Si nce the filing of Amendment No. 9 on March 22, 2024 through November 22, 2024 (i) Mr. Barry acquired an aggregate of 12,483,612.26 Shares, which include Shares held in an IRA account in his name (the John F. Barry III IRA") and consist of 99,975.26 Shares purchased with dividends through the Issuer's dividend reinvestment plan and 12,383,637.00 Shares purchased with personal funds on the open market and (ii) 28,317.49 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.

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 on 436,175,983 outsta nding Shares as of November 6, 2024, as reported in the Issuer's Form 10-Q on November 8, 2024. Mr. Barry has sole voting and dispositive power over the 121,192,363.60 Shares held by him directly and through the Foundation as of March 22, 2024. Mr. Barry has shared voting and dispositive power over the 328,590.42 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 11222024 John F. Barry III 1,000,000.00 $4.78 Purchase 11212024 John F. Barry III 12.513 $4.2845 Dividend 11212024 John F. Barry III 1,000,000.00 $4.64 Purchase 11202024 John F. Barry III 1,000,000.00 $4.59 Purchase 11192024 John F. Barry III 1,000,000.00 $4.63 Purchase 11192024 John F. Barry III IRA 15,173.36 $4.2845 Dividend 11192024 Daria Barry IRA 4,301.77 $4.2845 Dividend 11182024 John F. Barry III 837,273.00 $4.47 Purchase 11152024 John F. Barry III 205,900.00 $4.40 Purchase 11142024 John F. Barry III 1,000,000.00 $4.37 Purchase 10222024 John F. Barry III 10.465 $5.0635 Dividend 10222024 John F. Barry III IRA 12,709.52 $5.0635 Dividend 10222024 Daria Barry IRA 3,603.21 $5.0635 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 November 22, 2024 By s John F. Barry III Name

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