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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Prospect Capital Corporation | NASDAQ:PSEC | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.09 | 1.64% | 5.58 | 5.55 | 5.58 | 5.58 | 5.50 | 5.50 | 1,630,690 | 21:06:48 |
TRANSACTION VALUATION(1)
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AMOUNT OF FILING FEE(2)
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$22,200,000.00 | $2,422.02 |
(1) | Calculated solely for purposes of determining the amount of the filing fee. The calculation of the Transaction Valuation assumes that $20,000,000 aggregate principal amount of the Company’s outstanding 6.375% Convertible Notes due 2025 are purchased at the tender offer price of $1,110.00 per $1,000 principal amount of such notes. | |||||||
(2) | The amount of the filing fee, calculated in accordance with Rule 0-11 of the Securities Exchange Act of 1934, as amended, and the Fee Rate Advisory #1 for Fiscal Year 2021, equals $109.10 for each $1,000,000 of the value of the transaction. | |||||||
x | Check the box if any part of the fee is offset as provided by Rule 0-11(a)(2) and identify the filing with which the offsetting fee was previously paid. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. | |||||||
Amount Previously Paid: $2,422.02
Form or Registration No.: SC TO-I |
Filing Party: Prospect Capital Corporation
Date Filed: December 28, 2020 |
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o | Check the box if the filing relates solely to preliminary communications made before the commencement of a tender offer. |
Check the appropriate boxes below to designate any transactions to which the statement relates: | ||||||||
o | Third-party tender offer subject to Rule 14d-1. | |||||||
x | Issuer tender offer subject to Rule 13e-4. | |||||||
o | Going-private transaction subject to Rule 13e-3. | |||||||
o | Amendment to Schedule 13D under Rule 13d-2. |
x Check the box if the filing is a final amendment reporting the results of the tender offer.
|
o | Rule 13e-4(i) (Cross-Border Issuer Tender Offer) | ||||
o | Rule 14d-1(d) (Cross-Border Third-Party Tender Offer) |
PROSPECT CAPITAL CORPORATION
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By: /s/ M. Grier Eliasek
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Name: M. Grier Eliasek | ||
Title: President and Chief Operating Officer
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Exhibit
No. |
Description | |||||||
(a)(1)(A)* | Offer to Purchase, dated December 28, 2020. | |||||||
(a)(5)* | Press Release, dated December 28, 2020, incorporated by reference to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on December 28, 2020. | |||||||
(b)* | Sixth Amended and Restated Loan and Servicing Agreement, dated August 1, 2018, among Prospect Capital Funding LLC, Prospect Capital Corporation, the lenders from time to time party thereto, the managing agents from time to time party thereto, U.S. Bank National Association as Calculation Agent, Paying Agent and Documentation Agent, KeyBank National Association as Facility Agent, Key Equipment Finance Inc. and Royal Bank of Canada as Syndication Agents, and KeyBank National Association as Structuring Agent, Sole Lead Arranger and Sole Bookrunner (filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on August 6, 2018 and incorporated herein by reference). | |||||||
(d)(1)* | Supplemental Indenture, dated as of March 1, 2019, by and between Prospect Capital Corporation and U.S. Bank National Association, as Trustee (filed as Exhibit (d)(702) to Post-Effective Amendment No. 18, filed on March 1, 2019 and incorporated herein by reference). | |||||||
(d)(2)* | Indenture, dated as of February 16, 2012, between Prospect Capital Corporation and American Stock Transfer & Trust Company, LLC, as Trustee (filed as Exhibit (d)(7) to Post-Effective Amendment No. 1, filed on March 1, 2012 and incorporated herein by reference). | |||||||
(d)(3)* | Agreement of Resignation, Appointment and Acceptance, dated as of March 12, 2012, by and among Prospect Capital Corporation, American Stock Transfer & Trust Company, LLC, as Retiring Trustee, and U.S. Bank National Association, as Successor Trustee (filed as Exhibit (d)(13) to Post-Effective Amendment No. 3, filed on March 14, 2012 and incorporated herein by reference). | |||||||
(g) | Not applicable. | |||||||
(h) | Not applicable. |
* | Previously filed. |
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