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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 13)*
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PROSPECT CAPITAL CORP (Name of Issuer) |
Common Stock, par value $0.001 per share (Title of Class of Securities) |
(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) |
SCHEDULE 13D
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| CUSIP No. |
| 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)
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| 6 | Citizenship or place of organization
UNITED STATES
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| Number of Shares Beneficially Owned by Each Reporting Person With: |
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| 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)
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| 13 | Percent of class represented by amount in Row (11)
25.2 % | ||||||||
| 14 | Type of Reporting Person (See Instructions)
IN |
SCHEDULE 13D
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| CUSIP No. |
| 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)
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| 6 | Citizenship or place of organization
UNITED STATES
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| Number of Shares Beneficially Owned by Each Reporting Person With: |
| ||||||||
| 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
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| 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.
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