John F. Barry III, Chief Executive Officer and Director of Prospect Capital Corp (NASDAQ:PSEC), filed a Form 4 on November 12, 2026, reporting two open-market purchases of Prospect Capital common stock made on November 9 and November 10, 2026.

Key Highlights

  • First purchase: 2,604,262 shares acquired on November 9, 2026 at $1.5082 per share (transaction code P).
  • Second purchase: 1,410,633 shares acquired on November 10, 2026 at $1.5077 per share (transaction code P).
  • Direct holdings after transactions: 95,808,671.818 shares of common stock held directly following the two reported purchases.
  • Indirect holdings: 464,501.896 shares held indirectly by spouse, also reported in the filing.
  • Roles disclosed: Barry is identified as Director, 10% Owner, and Chief Executive Officer of the issuer.
  • No derivative transactions were reported in Table II of the filing.

Prospect Capital CEO Reports Back-to-Back Common Stock Purchases in November 2026

According to the filing, John F. Barry III executed two separate purchases of Prospect Capital Corp common stock over consecutive trading days. On November 9, 2026, the reporting person acquired 2,604,262 shares at a price of $1.5082 per share, bringing his directly held shares to 94,398,038.818. The following day, November 10, 2026, he acquired an additional 1,410,633 shares at $1.5077 per share, raising his direct holdings to 95,808,671.818 shares, as disclosed in Table I of the form.

The filing reports both transactions under transaction code "P," indicating open-market purchases. No indication is given in the filing that either transaction was made pursuant to a Rule 10b5-1(c) plan, as the relevant checkbox on the form was not marked. In addition to his direct holdings, the filing discloses 464,501.896 shares held indirectly by his spouse.

Barry signed the Form 4 on November 12, 2026. The filing identifies him as holding three roles in relation to the issuer: Director, 10% Owner, and Chief Executive Officer. No derivative securities transactions were reported in Table II. The issuer is listed on NASDAQ under the symbol PSEC, as stated on the form's cover.

What Was Disclosed

The Form 4 discloses two open-market purchases of Prospect Capital common stock by CEO John F. Barry III on November 9 and November 10, 2026, totaling 4,014,895 shares, with direct beneficial ownership reaching 95,808,671.818 shares after both transactions.