0001171843-16-013771.txt : 20161223 0001171843-16-013771.hdr.sgml : 20161223 20161223160038 ACCESSION NUMBER: 0001171843-16-013771 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161221 FILED AS OF DATE: 20161223 DATE AS OF CHANGE: 20161223 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PROSPECT CAPITAL CORP CENTRAL INDEX KEY: 0001287032 IRS NUMBER: 432048643 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 10 EAST 40TH STREET 44TH FL CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 212-448-0702 MAIL ADDRESS: STREET 1: 10 EAST 40TH STREET 44TH FL CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: PROSPECT ENERGY CORP DATE OF NAME CHANGE: 20040623 FORMER COMPANY: FORMER CONFORMED NAME: PROSPECT STREET ENERGY CORP DATE OF NAME CHANGE: 20040414 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OSWALD BRIAN H CENTRAL INDEX KEY: 0001219862 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00659 FILM NUMBER: 162069041 4 1 formfour.xml OWNERSHIP DOCUMENT X0306 4 2016-12-21 0 0001287032 PROSPECT CAPITAL CORP PSEC 0001219862 OSWALD BRIAN H 10 EAST 40TH STREET, 42ND FLOOR NEW YORK NY 10016 0 1 0 0 CFO, CCO, TREASURY & SECRETARY COMMON STOCK 2016-12-21 4 G 0 29000 0 D 456000 D Gift to the BACHRO Foundation Inc., a 501(c)(3) charitable foundation. Mr. Oswald has no pecuniary interest in the shares held by the BACHRO Foundation, Inc. /s/ Brian H. Oswald 2016-12-23