SEC Form 4 · accession 0001171843-16-013812
PROSPECT CAPITAL CORP · PSEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian H Oswald
Officer — CFO, CCO, TREASURY & SECRETARY
Period of report
Dec 30, 2016
Accepted (ET)
Dec 30, 2016 · 4:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001287032
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | Dec 30, 2016 | G | 6,000 | $0.00 | D | 450,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Gift to the BACHRO Foundation Inc., a 501(c)(3) charitable foundation, of which Mr. Oswald, his wife and brother-in-law are the trustees. None of the trustees has a pecuniary interest in the shares held by the BACHRO Foundation, Inc.