Sec Form 4/A Filing - Barry John F @ PROSPECT CAPITAL CORP - 2020-03-23

Insider filing report for Changes in Beneficial Ownership
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FORM 4/A
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Barry John F
2. Issuer Name and Ticker or Trading Symbol
PROSPECT CAPITAL CORP [ PSEC]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
CHIEF EXECUTIVE OFFICER
(Last) (First) (Middle)
10 EAST 40TH ST, 42ND FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
03/23/2020
(Street)
NEW YORK, NY10016
4. If Amendment, Date Original Filed (MM/DD/YY)
03/25/2020
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
COMMON STOCK 03/23/2020 P 1,002,662 A $ 4.1348 68,481,029.01 D
COMMON STOCK 03/23/2020 P 700 A $ 4.1457 68,481,729.01 D
COMMON STOCK 03/23/2020 P 265 A $ 4.1462 68,481,994.01 D
COMMON STOCK 03/23/2020 P 650 A $ 4.1559 68,482,644.01 D
COMMON STOCK 03/23/2020 P 4,700 A $ 4.1949 68,487,344.01 D
COMMON STOCK 03/23/2020 P 10,200 A $ 4.2041 68,497,544.01 D
COMMON STOCK 03/23/2020 P 4,400 A $ 4.2552 68,501,944.01 D
COMMON STOCK 03/23/2020 P 17,000 A $ 4.2579 68,518,944.01 D
COMMON STOCK 03/23/2020 P 1,400 A $ 4.31 68,520,344.01 D
COMMON STOCK 194,675.486 I By Spouse
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Barry John F
10 EAST 40TH ST, 42ND FLOOR
NEW YORK, NY10016
X X CHIEF EXECUTIVE OFFICER
Signatures
/s/ John F. Barry III 08/20/2020
Signature of Reporting Person Date
Explanation of Responses:

Remarks:
This Form 4/A, restates the Form 4 originally filed on March 25, 2020 and supersedes the Form 4/A filed on April 6, 2020. It is being filed to add back the description of a purchase that was erroneously removed via the Form 4/A filed on April 6, 2020.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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