0001171843-20-008536.txt : 20201214 0001171843-20-008536.hdr.sgml : 20201214 20201214160256 ACCESSION NUMBER: 0001171843-20-008536 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201210 FILED AS OF DATE: 20201214 DATE AS OF CHANGE: 20201214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Van Dask Kristin Lea CENTRAL INDEX KEY: 0001737386 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00659 FILM NUMBER: 201386174 MAIL ADDRESS: STREET 1: 10 EAST 40TH ST CITY: NEW YORK STATE: NY ZIP: 10016 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PROSPECT CAPITAL CORP CENTRAL INDEX KEY: 0001287032 IRS NUMBER: 432048643 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 10 EAST 40TH STREET 44TH FL CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 212-448-0702 MAIL ADDRESS: STREET 1: 10 EAST 40TH STREET 44TH FL CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: PROSPECT ENERGY CORP DATE OF NAME CHANGE: 20040623 FORMER COMPANY: FORMER CONFORMED NAME: PROSPECT STREET ENERGY CORP DATE OF NAME CHANGE: 20040414 4 1 ownership.xml X0306 4 2020-12-10 0 0001287032 PROSPECT CAPITAL CORP PSEC 0001737386 Van Dask Kristin Lea 10 EAST 40TH ST, 42ND FLOOR NEW YORK NY 10016 0 1 0 0 CFO, TREASURER, SECRETARY, CCO 5.50% Series A1 Preferred Stock 2020-12-10 4 P 0 1000 25.00 A Common Stock 4194.322 1000 D Prior to the listing of the Issuer's 5.50% Series A1 Convertible Preferred Stock, par value $0.001 per share (the "Series A1 Preferred Shares") on a national securities exchange, each Series A1 Preferred Share is convertible at the election of the holder thereof into a number of shares of the Issuer's Common Stock, par value $0.001 par share (the "Common Stock") (or, at the option of the Issuer, in whole or in part, into the cash value thereof), based on the conversion rate in effect at the time of conversion. Such conversion rate is defined in the Prospectus Supplement dated August 3, 2020 (the "Prospectus Supplement"), but generally means a number of shares of Common Stock equal to the initial stated value of $25.00 per Series A1 Preferred Share plus any accrued but unpaid dividends, divided by the arithmetic average of the daily volume weighted average price of shares of Common Stock over each of the five consecutive trading days ending on the conversion exercise date. /s/ Kristin L. Van Dask 2020-12-14