BARRY JOHN F 1294357 Data last updated 2025-02-01 06:40:02 -0600 US CDT
Latest Holdings
Notice: Data summarized from Form 3,4,5 filings, which do not include holdings/transactions of investment institution(s), if any, managed by the reporter.
Non-derivative Transactions CSV download
Tips: type "code_s" to show transactions with code "S".
| Filing Date | Transaction Date | Operation Date | Original Filing | Reporter | Relation | Opr | Amounta | %(Owned)b | ‱(SO)c | Avg Prcd | Account | Type | Full Name | Code | Remain | Shares Outstanding (Million)e |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2024-02-26 | 2024-02-22 | 3 | Barry John F | 10% OWNER | holding | 2074688.7967 | 0 | 8580.43 | 0.0 | See Footnote F1 | Common Stock | PROSPECT FLOATING RATE & ALTERNATIVE INCOME FUND, INC. | NA | 2.42 (NONE) | ||
| 2024-02-26 | 2024-02-22 | 2024-02-22 | 4 | Barry John F | 10% OWNER | dsp | 2074688.7967 | 100.0 | 8580.43 | 0.0 | See Footnote F2 | Common Stock | PROSPECT FLOATING RATE & ALTERNATIVE INCOME FUND, INC. | code G | 0.0 | 2.42 (NONE) |
| 2024-04-26 | 2024-04-24 | 2024-04-24 | 4 | Barry John F | 10% OWNER | dsp | 2105263.1579 | 100.0 | 8706.87 | 0.0 | See Footnote F2 | Common Stock | PROSPECT FLOATING RATE & ALTERNATIVE INCOME FUND, INC. | code G | 0.0 | 2.42 (NONE) |
| 2024-04-26 | 2024-04-24 | 2024-04-24 | 4 | Barry John F | 10% OWNER | acq | 2105263.1579 | 100.0 | 8706.87 | 4.75 | See Footnote F2 | Common Stock | PROSPECT FLOATING RATE & ALTERNATIVE INCOME FUND, INC. | code P | 2105263.1579 | 2.42 (NONE) |
| 2024-04-26 | 2024-04-24 | 2024-04-24 | 4 | Barry John F | 10% OWNER | acq | 2105263.1579 | 50.05 | 8706.87 | 0.0 | See Footnote F5 | Common Stock | PROSPECT FLOATING RATE & ALTERNATIVE INCOME FUND, INC. | code G | 4206571.9753 | 2.42 (NONE) |
| 2024-05-14 | 2024-05-10 | 4 | Barry John F | CEO | holding | 303579.055 | 0 | 7.27 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 417.76 (PSEC) | ||
| 2024-05-14 | 2024-05-10 | 2024-05-10 | 4 | Barry John F | CEO | acq | 798901.0 | 1.21 | 19.12 | 5.48 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 65792257.723
|
417.76 (PSEC) |
| 2024-05-15 | 2024-05-13 | 4 | Barry John F | CEO | holding | 303579.055 | 0 | 7.27 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 417.76 (PSEC) | ||
| 2024-05-15 | 2024-05-13 | 2024-05-13 | 4 | Barry John F | CEO | acq | 4099.0 | 0.01 | 0.1 | 5.47 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 65796356.723 | 417.76 (PSEC) |
| 2024-07-29 | 2024-07-26 | 2024-07-26 | 4 | Barry John F | 10% OWNER | dsp | 2096436.0587 | 100.0 | 3154.92 | 0.0 | See Footnote F2 | Common Stock | PROSPECT FLOATING RATE & ALTERNATIVE INCOME FUND, INC. | code G | 0.0 | 6.64 (NONE) |
| 2024-07-29 | 2024-07-26 | 2024-07-26 | 4 | Barry John F | 10% OWNER | acq | 2096436.0587 | 100.0 | 3154.92 | 4.77 | See Footnote F2 | Common Stock | PROSPECT FLOATING RATE & ALTERNATIVE INCOME FUND, INC. | code P | 2096436.0587 | 6.64 (NONE) |
| 2024-07-29 | 2024-07-26 | 2024-07-26 | 4 | Barry John F | 10% OWNER | acq | 2096436.0587 | 32.85 | 3154.92 | 0.0 | See Footnote F5 | Common Stock | PROSPECT FLOATING RATE & ALTERNATIVE INCOME FUND, INC. | code G | 6382194.8283 | 6.64 (NONE) |
| 2024-09-04 | 2024-08-30 | 2024-08-30 | 4 | Barry John F | CEO | acq | 2500000.0 | 3.66 | 58.28 | 5.17 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 68344427.18
|
428.99 (PSEC) |
| 2024-09-04 | 2024-08-30 | 4 | Barry John F | CEO | holding | 317193.345 | 0 | 7.39 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 428.99 (PSEC) | ||
| 2024-09-05 | 2024-09-03 | 4 | Barry John F | CEO | holding | 317193.345 | 0 | 7.39 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 428.99 (PSEC) | ||
| 2024-09-05 | 2024-09-03 | 2024-09-03 | 4 | Barry John F | CEO | acq | 750000.0 | 1.09 | 17.48 | 5.17 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 69094427.18 | 428.99 (PSEC) |
| 2024-09-06 | 2024-09-04 | 2024-09-04 | 4 | Barry John F | CEO | acq | 750000.0 | 1.07 | 17.48 | 5.23 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 69844427.18 | 428.99 (PSEC) |
| 2024-09-06 | 2024-09-04 | 4 | Barry John F | CEO | holding | 317193.345 | 0 | 7.39 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 428.99 (PSEC) | ||
| 2024-09-09 | 2024-09-05 | 4 | Barry John F | CEO | holding | 317193.345 | 0 | 7.39 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 428.99 (PSEC) | ||
| 2024-09-09 | 2024-09-05 | 2024-09-05 | 4 | Barry John F | CEO | acq | 218957.0 | 0.31 | 5.1 | 5.26 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 70063384.18
|
428.99 (PSEC) |
| 2024-09-10 | 2024-09-06 | 4 | Barry John F | CEO | holding | 317193.345 | 0 | 7.39 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 428.99 (PSEC) | ||
| 2024-09-10 | 2024-09-06 | 2024-09-06 | 4 | Barry John F | CEO | acq | 750000.0 | 1.06 | 17.48 | 5.26 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 70813384.18 | 428.99 (PSEC) |
| 2024-09-11 | 2024-09-09 | 2024-09-09 | 4 | Barry John F | CEO | acq | 473030.0 | 0.66 | 11.03 | 5.3 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 71286414.18 | 428.99 (PSEC) |
| 2024-09-11 | 2024-09-09 | 4 | Barry John F | CEO | holding | 317193.345 | 0 | 7.39 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 428.99 (PSEC) | ||
| 2024-09-12 | 2024-09-10 | 2024-09-10 | 4 | Barry John F | CEO | acq | 95477.0 | 0.13 | 2.23 | 5.29 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 71381891.18 | 428.99 (PSEC) |
| 2024-09-12 | 2024-09-10 | 4 | Barry John F | CEO | holding | 317193.345 | 0 | 7.39 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 428.99 (PSEC) | ||
| 2024-11-18 | 2024-11-14 | 2024-11-14 | 4 | Barry John F | CEO | acq | 1000000.0 | 1.38 | 22.93 | 4.37 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 72406939.113 | 436.18 (PSEC) |
| 2024-11-18 | 2024-11-14 | 4 | Barry John F | CEO | holding | 324288.654 | 0 | 7.43 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 436.18 (PSEC) | ||
| 2024-11-19 | 2024-11-15 | 2024-11-15 | 4 | Barry John F | CEO | acq | 205900.0 | 0.28 | 4.72 | 4.4 | Direct | Common Stock | PROSPECT CAPITAL CORP | code P | 72612839.113 | 436.18 (PSEC) |
| 2024-11-19 | 2024-11-15 | 4 | Barry John F | CEO | holding | 324288.654 | 0 | 7.43 | 0.0 | By Spouse | Common Stock | PROSPECT CAPITAL CORP | NA | 436.18 (PSEC) |
Derivative Transactions
Tips: type "code_m" to show transactions with code "M".
| Filing Date | Transaction Date | Operation Date | Original Filing | Reporter | Relation | Opr | Amounta | %(Owned)b | ‱(SO)c | Avg Prcd | Account | Type | Full Name | Code | Remain | Shares Outstanding (Million)e |
|---|
a Sum of same type of securities in the form
b Relative to reporter's shares owned before (disposition) or after (acquisition) operation
c Relative to issuer's shares outstanding (1/10000)
d Average price for securities of the same type. Check the original form for detailed prices of multiple transactions
e Documented shares outstanding closest to the transaction date
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