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