0001171843-17-007878.txt : 20171229 0001171843-17-007878.hdr.sgml : 20171229 20171228210012 ACCESSION NUMBER: 0001171843-17-007878 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20171229 DATE AS OF CHANGE: 20171228 GROUP MEMBERS: JOHN & DARIA BARRY FOUNDATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PROSPECT CAPITAL CORP CENTRAL INDEX KEY: 0001287032 IRS NUMBER: 432048643 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85155 FILM NUMBER: 171279643 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Barry John F CENTRAL INDEX KEY: 0001294357 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: C/O PROSPECT ENERGY CORPORATION STREET 2: 10 EAST 40TH STREET, 42TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 SC 13D/A 1 sc13da_barry122817.htm SC 13D/A

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D/A

 

Under the Securities Exchange Act of 1934

(Amendment No. 3)*†

 

 

Prospect Capital Corporation

__________________________________________________________________________________

(Name of Issuer)

 

 

 

Common Stock, par value $ 0.001 per share

__________________________________________________________________________________

(Title of Class of Securities)

 

 

74348T102

__________________________________________________________________________________

(CUSIP Number)

 

John F. Barry III

10 East 40th Street, 44th Floor

New York, NY 10016

212-448-1858

__________________________________________________________________________________

(Name, Address and Telephone Number of Person Authorized to

Receive Notices and Communications)

 

 

December 28, 2017

__________________________________________________________________________________

(Date of Event which Requires Filing of this Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ☐

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule.13d-7 for other parties to whom copies are to be sent.

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

 

 

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

† This Schedule 13D/A constitutes Amendment No.1 to the Schedule 13D filed on behalf of the John and Daria Barry Foundation and Amendment No. 3 to the Schedule 13D of John F. Barry III originally filed with the SEC on February 29, 2016, as amended by Amendment No. 1 filed with the SEC on November 21, 2017 and Amendment No. 2 filed with the SEC on November 28, 2017.

 

 


 

 

 

CUSIP No. 74348T102  
1.  Names of Reporting Persons.  
 John F. Barry III  
   
2.  Check the Appropriate Box if a Member of a Group  
(a) ☐  
(b) ☐  
   
3.  SEC Use Only  
4.  Source of Funds  
        BK, PF  
5.  Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)           ☐  
   
6.  Citizenship or Place of Organization  
    United States of America  

 

 

   Number of Shares

   Beneficially

   Owned by

   Each Reporting

   Person With:

 

 

 

 7.  Sole Voting Power  
      52,207,078.86  

 

 

  
8.  Shared Voting Power  
      151,194  

 

 

  
9.  Sole Dispositive Power  
     52,207,078.86  

 

 

  
10.  Shared Dispositive Power  
      151,194  

 

 

  
11.  Aggregate Amount Beneficially Owned by Each Reporting Person  
         52,358,272.86  
12.  Check if the Aggregate Amount in Row (11) Excludes Certain Shares           ☐  
   
13.  Percent of Class Represented by Amount in Row (11)  
        14.50%  
14.  Type of Reporting Person  
        IN  

 

 

 

 

CUSIP No. 74348T102  
1.  Names of Reporting Persons.  
 John and Daria Barry Foundation  
   
2.  Check the Appropriate Box if a Member of a Group  
(a) ☐  
(b) ☐  
   
3.  SEC Use Only  
4.  Source of Funds  
        OO  
5.  Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)           ☐  
   
6.  Citizenship or Place of Organization  
    United States of America  

 

 

   Number of Shares

   Beneficially

   Owned by

   Each Reporting

   Person With:

 

 

 

 7.  Sole Voting Power  
      19,696,707.37  

 

 

  
8.  Shared Voting Power  
       0  

 

 

  
9.  Sole Dispositive Power  
     19,696,707.37  

 

 

  
10.  Shared Dispositive Power  
       0  

 

 

  
11.  Aggregate Amount Beneficially Owned by Each Reporting Person  
         19,696,707.37  
12.  Check if the Aggregate Amount in Row (11) Excludes Certain Shares           ☐  
   
13.  Percent of Class Represented by Amount in Row (11)  
        5.47%  
14.  Type of Reporting Person  
        OO  

 

 

 

 

 

This Schedule 13D/A constitutes Amendment No. 1 to the Schedule 13D on behalf of the John and Daria Barry Foundation (the “Foundation”) and Amendment No. 3 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”) and Amendment No. 2 filed with the SEC on November 28, 2017 (“Amendment No. 2”). Except as expressly set forth herein, there have been no changes in the information set forth in the Original Schedule 13D, Amendment No. 1 or Amendment No. 2, and such prior disclosure, as so amended, is incorporated into this Amendment No. 1 to the Schedule 13D on behalf of the Foundation and Amendment No. 3 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:

 

From November 22, 2017 to December 28, 2017, 232,792.37 Shares were acquired by the Foundation using cash on hand. From November 22, 2017 to December 28, 2017, 6,078,219.63 Shares were acquired by Mr. Barry using personal funds. From November 22, 2017 to December 28, 2017, 3,139.34 Shares were acquired through an IRA account controlled by John F. Barry III IRA.

 

ITEM 5. INTEREST IN SECURITIES OF THE ISSUER

 

Item 5 is amended and restated as follows:

 

(a)-(b) The information set forth in rows 7 through 13 of the cover page to this Schedule 13D is incorporated by reference. The percentage set forth in row 13 is based on 360,394,335 outstanding Shares as of November 7, 2017, as reported in the Issuer’s Form 10-Q filed on November 8, 2017. Mr. Barry has sole voting and dispositive power over the 52,207,078.86 Shares held by him directly and through the Foundation as of December 28, 2017. Mr. Barry has shared voting and dispositive power over the 151,194 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 Purchaser Amount of Securities Weighted Average Price per Share Type
12/22/2017 John F. Barry III 503,300.00 $7.25 Purchase
12/22/2017 John F. Barry III 490,600.00 $7.17 Purchase
12/21/2017 John F. Barry III 230,342.13 $6.96 Dividend
12/21/2017 Foundation 167,792.37 $6.99 Dividend
12/21/2017 John F. Barry III 1,438.50 $6.99 Dividend
12/21/2017 John F. Barry III IRA 3,139.34 $6.99 Dividend
12/21/2017 John F. Barry III 169,657.00 $7.07 Purchase
12/21/2017 John F. Barry III 508,775.00 $7.08 Purchase
12/20/2017 John F. Barry III 8,221.00 $6.94 Purchase
12/20/2017 John F. Barry III 171,841.00 $6.96 Purchase
12/19/2017 John F. Barry III 450,000.00 $6.92 Purchase
12/18/2017 John F. Barry III 306,100.00 $6.87 Purchase
12/18/2017 John F. Barry III 102,207.00 $6.88 Purchase
12/15/2017 John F. Barry III 247,793.00 $6.87 Purchase
12/14/2017 John F. Barry III 18,756.00 $6.79 Purchase
12/14/2017 John F. Barry III 350,000.00 $6.82 Purchase
12/13/2017 John F. Barry III 1,900.00 $6.80 Purchase
12/13/2017 John F. Barry III 354,783.00 $6.81 Purchase
12/12/2017 John F. Barry III 14,937.00 $6.80 Purchase
12/12/2017 John F. Barry III 250,000.00 $6.82 Purchase
12/08/2017 John F. Barry III 64,916.00 $6.72 Purchase
12/08/2017 John F. Barry III 13,755.00 $6.75 Purchase
12/08/2017 John F. Barry III 14,588.00 $6.75 Purchase
12/08/2017 John F. Barry III 30,120.00 $6.75 Purchase
12/07/2017 John F. Barry III 110,007.00 $6.67 Purchase
12/06/2017 John F. Barry III 110,000.00 $6.70 Purchase
12/05/2017 John F. Barry III 266,238.00 $6.73 Purchase
12/04/2017 John F. Barry III 250,000.00 $6.77 Purchase
12/01/2017 John F. Barry III 435,000.00 $6.82 Purchase
12/01/2017 Foundation 65,000.00 $6.84 Purchase
11/30/2017 John F. Barry III 170,460.00 $6.86 Purchase
11/29/2017 John F. Barry III 141,374.00 $6.83 Purchase
11/27/2017 John F. Barry III 11,445.00 $6.80 Purchase
11/24/2017 John F. Barry III 215,466.00 $6.80 Purchase
11/24/2017 John F. Barry III 64,200.00 $6.85 Purchase
11/22/2017 John F. Barry III 162,826 $6.72 Purchase
11/22/2017 John F. Barry III 1,446.82 $6.89 Dividend
11/22/2017 John F. Barry III IRA 1,933.29 $6.89 Dividend
11/21/2017 John F. Barry III 1,043,386 $6.90 Purchase
11/20/2017 John F. Barry III 995,883 $6.98 Purchase
11/17/2017 Foundation 144,700.00 $6.88 Purchase
11/17/2017 Foundation 150,185.00 $6.82 Purchase
11/17/2017 Foundation 1,649,815.00 $6.91 Purchase
11/17/2017 Foundation 550,000.00 $6.93 Purchase
11/16/2017 Foundation 2,505,315.00 $6.63 Purchase
11/16/2017 Foundation 2,494,685.00 $6.81 Purchase
11/15/2017 Foundation 500,000.00 $6.48 Purchase
11/15/2017 Foundation 3,500,000.00 $6.39 Purchase

 

 

 

 

11/14/2017 Foundation 2,720,000.00 $6.17 Purchase
11/13/2017 Foundation 267,800.00 $6.04 Purchase
11/13/2017 Foundation 2,012,200.00 $5.99 Purchase
11/10/2017 Foundation 416,024.00 $5.73 Purchase
11/10/2017 Foundation 691,014.00 $5.84 Purchase
11/10/2017 Foundation 590,276.00 $5.97 Purchase
11/10/2017 Foundation 371,901.00 $6.01 Purchase
11/10/2017 Foundation 400,000.00 $6.03 Purchase
11/10/2017 Foundation 500,000.00 $6.03 Purchase
11/10/2017 John F. Barry III IRA 141,797.00 $5.71 Purchase
11/10/2017 Daria Barry IRA 151,194.00 $5.71 Purchase

 

(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:  December 28, 2017    
     
By:  /s/ John F. Barry III    
Name:  John F. Barry III    
     

 

 

JOHN AND DARIA BARRY FOUNDATION

 

 

By:  /s/ John F. Barry III    
Name:  John F. Barry III    
Title:  Trustee