Prospect Capital (PSEC)

Company Profile

prospect capital management l.p. ("prospect") is the investment advisor to prospect capital corporation (nasdaq: psec), a leading provider of flexible private debt and equity capital to sponsor-owned and non-sponsor-owned middle market companies in the united states and canada. psec is a publicly-traded closed-end investment company that has elected to be treated as a business development company under the investment company act of 1940, as amended. as a yield-oriented company, psec seeks investments with historical cash flows, asset collateral, or contracted pro forma cash flows. prospect reviews a range of financing situations, including: * mezzanine debt * acquisitions * growth * development * financings * recapitalizations

Company profile

Ticker

PSEC, PSEC-PA

Exchange

NASDAQ

Website

ww2.prospectstreet.com/

CEO

John Barry

Incorporated

Maryland

Location

New York

Fiscal year end

Jun 30

Sector

Finance and Insurance > Securities and Commodity Exchanges

Former names

PROSPECT ENERGY CORP, PROSPECT STREET ENERGY CORP

SEC CIK

0001287032

Corporate docs

Articles of Incorporation & Bylaws

Underwriting Agreements

Plans of Reorganization

Indentures

Material Contracts & Credit Agreements

Subsidiaries Lists

IRS number

432048643

PSEC stock data

1M 1Y 5Y

Latest filings (excl ownership)

View all

POS EX

Additional exhibits for listing

21 Sep 23

DEFA14A

Additional proxy soliciting materials

20 Sep 23

DEFA14A

Additional proxy soliciting materials

Prospectus for primary offering

18 Sep 23

424B2

Prospectus for primary offering

18 Sep 23

424B2

Prospectus for primary offering

Notice of late annual filing (amended)

31 Aug 23

NT 10-K

Notice of late annual filing

29 Aug 23

Transcripts

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PSEC

Earnings call transcript

2023 Q4

30 Aug 23

PSEC

Earnings call transcript

2023 Q3

10 May 23

PSEC

Earnings call transcript

2023 Q2

9 Feb 23

PSEC

Earnings call transcript

2023 Q1

10 Nov 22

PSEC

Earnings call transcript

2022 Q4

30 Aug 22

PSEC

Earnings call transcript

2022 Q3

10 May 22

PSEC

Earnings call transcript

2022 Q2

9 Feb 22

PSEC

Earnings call transcript

2021 Q3

8 Nov 21

PSEC

Earnings call transcript

2021 Q4

25 Aug 21

PSEC

Earnings call transcript

2021 Q3

11 May 21

Latest ownership filings

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Financial summary

Financial statements Chart PSEC financial data

Quarter (USD)	Jun 23	Mar 23	Dec 22	Sep 22
Revenue
Cost of revenue
Operating income
Operating margin
Net income
Net profit margin
Cash on hand
Change in cash
Diluted EPS

Annual (USD)	Jun 23	Jun 22	Jun 21	Jun 20
Revenue
Cost of revenue
Operating income
Operating margin
Net income
Net profit margin
Cash on hand
Change in cash
Diluted EPS

Financial data from company earnings reports.

Institutional ownership, Q2 2023

PSEC institutional ownership history Ownership history

8.6% owned by funds/institutions

13F holders	Current	Prev Q	Change
Total holders	236	252	-6.3%
Opened positions	24	37	-35.1%
Closed positions	40	36	+11.1%
Increased positions	91	88	+3.4%
Reduced positions	54	57	-5.3%

13F shares	Current	Prev Q	Change
Total value	218.66 bn	234.25 bn	-6.7%
Total shares	35.04 mm	32.99 mm	+6.2%
Total puts	3.14 mm	588.40 k	+433.1%
Total calls	1.13 mm	1.14 mm	-1.1%
Total put/call ratio	2.8	0.5	+439.0%

Largest owners	Shares	Value	Change
Van Eck Associates	4.52 mm	$28.07 bn	+21.0%
LGEN Legal & General	2.95 mm	$18.26 bn	+8.1%
Barry John F	2.72 mm	$14.85 mm	0.0%
MS Morgan Stanley	1.76 mm	$10.88 bn	+6.1%
LSV Asset Management	1.71 mm	$10.63 bn	-3.1%
BLK Blackrock	1.62 mm	$10.06 bn	-5.6%
XML Financial	1.32 mm	$8.20 bn	+3.0%
Y.D. More Investments	1.27 mm	$31.83 bn	0.0%
Commonwealth Equity Services	910.81 k	$5.65 bn	+1.4%
LPL Financial	860.32 k	$5.33 bn	-10.0%

Largest transactions	Shares	Bought/sold	Change
Van Eck Associates	4.52 mm	+783.91 k	+21.0%
Paragon Wealth Strategies	588.46 k	+588.46 k	NEW
Qube Research & Technologies	363.39 k	+347.63 k	+2205.9%
Cubist Systematic Strategies	318.38 k	+318.38 k	NEW
LGEN Legal & General	2.95 mm	+220.98 k	+8.1%
DnB Asset Management AS	0.00	-212.11 k	EXIT
Sona Asset Management	0.00	-160.00 k	EXIT
Balyasny Asset Management	160.26 k	+150.03 k	+1466.9%
Nissay Asset Management Corp /japan	0.00	-116.25 k	EXIT
MS Morgan Stanley	1.76 mm	+100.59 k	+6.1%

Data from 13F filings, for the last complete 13F reporting period. For most recent data, click the ownership history button. Values as filed, not updated for current price. Long positions only.

Recent insider trades

PSEC insider ownership history Insider history

Date	Owner	Security	Transaction	Code	Indirect	10b5-1	$Price	#Shares	$Value	#Remaining
12 Sep 23	Barry John F	COMMON STOCK	Buy	Acquire P	No	No	5.99	16,650	99.73 k	72,918,888.216
12 Sep 23	Barry John F	COMMON STOCK	Buy	Acquire P	No	No	5.99	16,625	99.58 k	72,902,238.216
12 Sep 23	Barry John F	COMMON STOCK	Buy	Acquire P	No	No	5.99	16,600	99.43 k	72,885,613.216
12 Sep 23	Barry John F	COMMON STOCK	Buy	Acquire P	No	No	5.99	16,600	99.43 k	72,869,013.216
12 Sep 23	Barry John F	COMMON STOCK	Buy	Acquire P	No	No	5.99	16,650	99.73 k	72,852,413.216
12 Sep 23	Barry John F	COMMON STOCK	Buy	Acquire P	No	No	5.99	16,645	99.70 k	72,835,763.216
12 Sep 23	Barry John F	COMMON STOCK	Buy	Acquire P	No	No	5.99	16,625	99.58 k	72,819,118.216
12 Sep 23	Barry John F	COMMON STOCK	Buy	Acquire P	No	No	5.99	16,600	99.43 k	72,802,493.216
12 Sep 23	Barry John F	COMMON STOCK	Buy	Acquire P	No	No	5.99	16,665	99.82 k	72,785,893.216
12 Sep 23	Barry John F	COMMON STOCK	Buy	Acquire P	No	No	5.99	16,500	98.84 k	72,769,228.216