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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 FORM 8-K

CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported): December 22, 2023

Prospect Capital Corporation
(Exact name of registrant as specified in its charter)

Maryland814-0065943-2048643
(State or other jurisdiction(Commission File Number)(IRS Employer
of incorporation)Identification No.)

10 East 40th Street, 42nd Floor, New York, New York 10016
(Address of principal executive offices, including zip code)

(212) 448-0702

(Registrant’s telephone number, including area code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
oWritten communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
oSoliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
oPre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
oPre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:
Title of each classTrading symbolName of each exchange on which registered
Common Stock, $0.001 par valuePSECNASDAQ Global Select Market
5.35% Series A Fixed Rate Cumulative Perpetual Preferred Stock, par value $0.001PSEC PRANew York Stock Exchange


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company o

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o





Item 5.07. Submission of Matters to a Vote of Security Holders.

On December 22, 2023, Prospect Capital Corporation (the “Company”) held its Annual Meeting of Stockholders virtually (the “Annual Meeting”).  At the Annual Meeting, the Company’s common and preferred stockholders voted on one proposal.  The proposal is described in detail in the Company’s definitive proxy statement for the Annual Meeting as filed with the Securities and Exchange Commission (the “SEC”) on September 20, 2023.  

As of September 19, 2023, there were 408,132,468 shares of the Company's common stock outstanding, 30,780,669 shares of the Company’s 5.50% Series A1 Preferred Stock outstanding, 164,000 shares of the Company’s 5.50% Series A2 Preferred Stock outstanding, 5,909,671 shares of the Company’s 5.35% Series A Fixed Rate Cumulative Perpetual Preferred Stock outstanding, 3,155,352 shares of the Company’s 5.50% Series M1 Preferred Stock outstanding, 21,471,177 shares of the Company's 6.50% Series A3 Preferred Stock outstanding, and 2,870,854 shares of the Company's 6.50% Series M3 Preferred Stock outstanding. Each share of preferred stock was entitled to one vote on the one matter to be voted on by holders of the preferred stock at the Annual Meeting. There were no matters to be voted on by holders of the common stock at the Annual Meeting. The final voting results from the Annual Meeting were as follows:

Proposal 1.      The Company’s stockholders elected one director of the Company. William J. Gremp shall serve as a Class I director until the annual meeting of stockholders of the Company in 2026 and until his successor is duly elected and qualifies or until his earlier resignation, removal from office, death or incapacity.  The director was re-elected pursuant to the voting results set forth below:

NameForAgainstAbstainedBroker Non-Votes
William J. Gremp32,427,621520,0391,760,961-



3



 
 



SIGNATURE

    Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized.

Prospect Capital Corporation


By:     /s/ M. Grier Eliasek
Name: M. Grier Eliasek
Title: Chief Operating Officer
Date:  December 22, 2023

4



 
 

v3.23.4
Cover
Dec. 22, 2023
Document Information [Line Items]  
Document Type 8-K
Document Period End Date Dec. 22, 2023
Entity Registrant Name Prospect Capital Corporation
Securities Act File Number 814-00659
Entity Address, Address Line One 10 East 40th Street
Entity Tax Identification Number 43-2048643
Entity Address, Address Line Two 42nd Floor
Entity Address, City or Town New York
Entity Address, State or Province NY
Entity Address, Postal Zip Code 10016
Local Phone Number 448-0702
City Area Code (212)
Pre-commencement Issuer Tender Offer false
Pre-commencement Tender Offer false
Soliciting Material false
Written Communications false
Entity Emerging Growth Company false
Entity Incorporation, State or Country Code MD
Entity Central Index Key 0001287032
Amendment Flag false
Common Stock  
Document Information [Line Items]  
Security Exchange Name NASDAQ
Trading Symbol PSEC
Title of 12(b) Security Common Stock, $0.001 par value
5.35% Series A Fixed Rate Cumulative Perpetual Preferred Stock  
Document Information [Line Items]  
Security Exchange Name NYSE
Trading Symbol PSEC PRA
Title of 12(b) Security 5.35% Series A Fixed Rate Cumulative Perpetual Preferred Stock, par value $0.001
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