We could not find any results for:
Make sure your spelling is correct or try broadening your search.
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 | |
---|---|---|---|---|---|---|---|---|---|---|
0.05 | 0.95% | 5.29 | 5.27 | 5.29 | 5.33 | 5.23 | 5.29 | 2,400,744 | 00:45:24 |
|
o
|
This form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act of 1933 and the Securities Act of 1933 registration statement number of the earlier effective registration statement for the same offering is.
|
Title of Securities Being Registered
|
Amount Being Registered
|
Proposed Maximum Offering Price Per Unit
|
Proposed Maximum Aggregate Offering Price(1)(2)
|
Amount of Registration Fee(1)(2)
|
Common Stock, $.001 par value per share(1)
|
|
|
|
|
Preferred Stock, $.001 par value per share(1)
|
|
|
|
|
Subscription Rights(1)
|
|
|
|
|
Debt Securities(1)
|
|
|
|
|
Warrants(1)
|
|
|
|
|
Units(1)
|
|
|
|
|
Total
|
$5,000,000,000
|
|
$5,000,000,000
|
$519,887
|
|
|
|
|
|
Page
|
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
||
|
•
|
our Annual Report on Form 10-K for the fiscal year ended June 30, 2019 filed with the SEC on August 27, 2019;
|
•
|
our Quarterly Reports on Form 10-Q for the quarters ended September 30, 2019 filed with the SEC on November 6, 2019 and December 31, 2019 filed with the SEC on February 10, 2020;
|
•
|
our Current Reports on Form 8-K filed with the SEC on July 29, 2019, August 12, 2019, September 11, 2019, September 24, 2019, November 7, 2019, December 5, 2019, and December 23, 2019;
|
•
|
our definitive Proxy Statement on Schedule 14A filed with the SEC on September 9, 2019; and
|
•
|
the description of our common stock contained in our Registration Statement on Form 8-A (File No. 000-50691) filed with the SEC on April 16, 2004, including any amendment or report filed for the purpose of updating such description prior to the termination of the offering registered hereby.
|
Use of Proceeds
|
|
Unless otherwise specified in a prospectus supplement, we intend to use the net proceeds from selling Securities pursuant to this prospectus initially to maintain balance sheet liquidity, involving repayment of debt under our credit facility, if any, investments in high quality short-term debt instruments or a combination thereof, and thereafter to make long-term investments in accordance with our investment objective. Interest on borrowings under the credit facility is one-month LIBOR plus 220 basis points, with no minimum LIBOR floor. Additionally, the lenders charge a fee on the unused portion of the credit facility equal to either 50 basis points if more than sixty percent of the credit facility is drawn, or 100 basis points if more than thirty-five percent and an amount less than or equal to sixty percent of the credit facility is drawn, or 150 basis points if an amount less than or equal to thirty-five percent of the credit facility is drawn. See “Use of Proceeds.”
|
Investment Advisory Agreement
|
|
The Company has entered into an investment advisory and management agreement with the Investment Adviser, or the “Investment Advisory Agreement,” under which the Investment Adviser, subject to the overall supervision of our Board of Directors, manages the day-to-day operations of, and provides investment advisory services to, us. Under the terms of the Investment Advisory Agreement, the Investment Adviser: (i) determines the composition of our portfolio, the nature and timing of the changes to our portfolio and the manner of implementing such changes, (ii) identifies, evaluates and negotiates the structure of the investments we make (including performing due diligence on our prospective portfolio companies); and (iii) closes and monitors investments we make.
For providing these services the Investment Adviser receives a fee from us, consisting of two components: a base management fee and an incentive fee. The base management fee is calculated at an annual rate of 2.00% on our total assets. For services currently rendered under the Investment Advisory Agreement, the base management fee is payable quarterly in arrears. The base management fee is calculated based on the average value of our gross assets at the end of the two most recently completed calendar quarters and appropriately adjusted for any share issuances or repurchases during the current calendar quarter.
The incentive fee has two parts. The first part, the income incentive fee, is calculated and payable quarterly in arrears based on our pre-incentive fee net investment income for the immediately preceding calendar quarter. For this purpose, pre-incentive fee net investment income means interest income, dividend income and any other income (including any other fees (other than fees for providing managerial assistance), such as commitment, origination, structuring, diligence and consulting fees and other fees that we receive from portfolio companies) accrued during the calendar quarter, minus our operating expenses for the quarter (including the base management fee, expenses payable under the Administration Agreement described below, and any interest expense and dividends paid on any issued and outstanding preferred stock, but excluding the incentive fee). Pre-incentive fee net investment income includes, in the case of investments with a deferred interest feature (such as original issue discount, debt instruments with payment-in-kind interest and zero coupon securities), accrued income that we have not yet received in cash. Pre-incentive fee net investment income does not include any realized capital gains, realized capital losses or unrealized capital gains or losses. Pre-incentive fee net investment income, expressed as a rate of return on the value of our net assets at the end of the immediately preceding calendar quarter, is compared to a “hurdle rate” of 1.75% per quarter (7.00% annualized). The “catch-up” provision requires us to pay 100% of our pre-incentive fee net investment income with respect to that portion of such income, if any, that exceeds the hurdle rate but is less than 125% of the quarterly hurdle rate in any calendar quarter (8.75% annualized assuming an annualized hurdle rate of 7%). The “catch-up” provision is meant to provide Prospect Capital Management with 20% of our pre-incentive fee net investment income as if a hurdle rate did not apply when our pre-incentive fee net investment income exceeds 125% of the quarterly hurdle rate in any calendar quarter (8.75% annualized assuming an annualized hurdle rate of 7%). The second part of the incentive fee, the capital gains incentive fee, is determined and payable in arrears as of the end of each calendar year (or upon termination of the Investment Advisory Agreement, as of the termination date), and equals 20% of our realized capital gains for the calendar year, if any, computed net of all realized capital losses and unrealized capital depreciation at the end of such year.
|
Administration Agreement
|
|
The Company has entered into an administration agreement (the “Administration Agreement”) with Prospect Administration under which Prospect Administration, among other things, provides (or arranges for the provision of) administrative services and facilities for us. For providing these services, we reimburse Prospect Administration for our allocable portion of overhead incurred by Prospect Administration in performing its obligations under the Administration Agreement, including rent and our allocable portion of the costs of our Chief Financial Officer and Chief Compliance Officer and her staff, including the internal legal staff. Under this agreement, Prospect Administration furnishes us with office facilities, equipment and clerical, bookkeeping and record keeping services at such facilities. Prospect Administration also performs, or oversees the performance of, our required administrative services, which include, among other things, being responsible for the financial records that we are required to maintain and preparing reports to our stockholders and reports filed with the SEC. In addition, Prospect Administration assists us in determining and publishing our net asset value, overseeing the preparation and filing of our tax returns and the printing and dissemination of reports to our stockholders, and generally oversees the payment of our expenses and the performance of administrative and professional services rendered to us by others. We reimburse Prospect Administration for our allocable portion of expenses incurred by it in performing its obligations under the Administration Agreement, including rent and our allocable portion of the costs of our chief executive officer, president, chief financial officer, chief operating officer, chief compliance officer, treasurer and secretary and their respective staffs.
|
Distributions
|
|
In June 2010, our Board of Directors approved a change in dividend policy from quarterly distributions to monthly distributions. Since that time, we have paid monthly distributions to the holders of our common stock and intend to continue to do so. The amount of the monthly distributions is determined by our Board of Directors and is based on our estimate of our investment company taxable income and net short-term capital gains. Certain amounts of the monthly distributions may from time to time be paid out of our capital rather than from earnings for the month as a result of our deliberate planning or accounting reclassifications. Distributions in excess of our current and accumulated earnings and profits constitute a return of capital and will reduce the stockholder’s adjusted tax basis in such stockholder’s common stock. A return of capital (1) is a return of the original amount invested, (2) does not constitute earnings or profits and (3) will have the effect of reducing the basis such that when a stockholder sells its shares the sale may be subject to taxes even if the shares are sold for less than the original purchase price. After the adjusted basis is reduced to zero, these distributions will constitute capital gains to such stockholders. Certain additional amounts may be deemed as distributed to stockholders for income tax purposes. Other types of Securities will likely pay distributions in accordance with their terms. See “Price Range of Common Stock,” “Distributions” and “Material U.S. Federal Income Tax Considerations.”
|
Taxation
|
|
We have qualified and elected to be treated for U.S. federal income tax purposes as a regulated investment company, or a RIC, under Subchapter M of the Internal Revenue Code of 1986, or the Code. As a RIC, we generally do not have to pay corporate-level U.S. federal income taxes on any ordinary income or capital gains that we distribute to our stockholders as dividends. To maintain our qualification as a RIC and obtain RIC tax treatment, we must satisfy certain source-of-income and asset diversification requirements and distribute annually at least 90% of our ordinary income and realized net short-term capital gains in excess of realized net long-term capital losses, if any. See “Distributions” and “Material U.S. Federal Income Tax Considerations.”
|
Dividend Reinvestment and Direct Stock Purchase Plan
|
|
We have adopted a dividend reinvestment and direct stock purchase plan that provides for reinvestment of our dividends or distributions on behalf of our stockholders, unless a stockholder elects to receive cash, and the ability to purchase additional shares by making optional cash investments. As a result, when our Board of Directors authorizes, and we declare, a cash dividend or distribution, then our stockholders who have not “opted out” of our dividend reinvestment and direct stock purchase plan will have their cash dividends or distributions automatically reinvested in additional shares of our common stock, rather than receiving the cash dividends or distributions. If you are not a current stockholder and want to enroll or have “opted out” and wish to rejoin, you may purchase shares directly through the plan or opt in by enrolling online or submitting to the plan administrator a completed enrollment form and, if you are not a current stockholder, making an initial investment of at least $250. Stockholders who receive distributions in the form of stock are subject to the same U.S. federal, state and local tax consequences as stockholders who elect to receive their distributions in cash. See “Dividend Reinvestment and Direct Stock Purchase Plan.”
|
The NASDAQ Global Select Market Symbol
|
|
PSEC
|
Anti-takeover Provisions
|
|
Our charter and bylaws, as well as certain statutory and regulatory requirements, contain provisions that may have the effect of discouraging a third party from making an acquisition proposal for us. These anti-takeover provisions may inhibit a change in control in circumstances that could give the holders of our common stock the opportunity to realize a premium over the market price of our common stock. See “Description Of Our Capital Stock.”
|
Custodian, Transfer and Dividend Paying Agent and Registrar
|
|
Our Securities are held under custody agreements by (1) U.S. Bank National Association, (2) Israeli Discount Bank of New York Ltd., (3) Fifth Third Bank, (4) Peapack-Gladstone Bank, (5) Customers Bank, (6) Key Bank National Association, and (7) BankUnited, N.A.
American Stock Transfer & Trust Company acts as our transfer agent, dividend paying agent and registrar.
|
License Agreement
|
|
We entered into a license agreement with Prospect Capital Investment Management, LLC, an affiliate of Prospect Capital Management, pursuant to which Prospect Capital Investment Management agreed to grant us a non-exclusive, royalty free license to use the name “Prospect Capital.” Under this agreement, we have a right to use the Prospect Capital name, for so long as Prospect Capital Management or one of its affiliates remains our investment adviser. Other than with respect to this limited license, we have no legal right to the Prospect Capital name. This license agreement will remain in effect for so long as the Investment Advisory Agreement with our Investment Adviser is in effect.
|
Risk Factors
|
|
Investment in our Securities involves certain risks relating to our structure and investment objective that should be considered by prospective purchasers of our Securities. In addition, as a business development company, our portfolio primarily includes securities issued by privately-held companies. These investments generally involve a high degree of business and financial risk, and are less liquid than public securities. We are required to mark the carrying value of our investments to fair value on a quarterly basis, and economic events, market conditions and events affecting individual portfolio companies can result in quarter-to-quarter mark-downs and mark-ups of the value of individual investments that collectively can materially affect our net asset value, or NAV. Also, our determinations of fair value of privately-held securities may differ materially from the values that would exist if there was a ready market for these investments. A large number of entities compete for the same kind of investment opportunities as we do. Moreover, our business requires a substantial amount of capital to operate and to grow and we seek additional capital from external sources. In addition, the failure to qualify as a RIC eligible for pass-through tax treatment under the Code on income distributed to stockholders could have a materially adverse effect on the total return, if any, obtainable from an investment in our Securities. See “Risk Factors” and the other information included in this prospectus for a discussion of factors you should carefully consider before deciding to invest in our Securities.
|
Stockholder transaction expenses:
|
|
|
Sales load (as a percentage of offering price)(1)
|
-
|
|
Offering expenses borne by the Company (as a percentage of offering price)(2)
|
-
|
|
Dividend reinvestment plan expenses(3)
|
$15.00
|
|
Total stockholder transaction expenses (as a percentage of offering price)(4)
|
-
|
|
Annual expenses (as a percentage of net assets attributable to common stock):
|
|
|
Management fees(5)
|
4.05
|
%
|
Incentive fees payable under Investment Advisory Agreement (20% of realized capital gains and 20% of pre-incentive fee net investment income)(6)
|
2.18
|
%
|
Total advisory fees
|
6.23
|
%
|
Total interest expense(7)
|
5.41
|
%
|
Acquired Fund Fees and Expenses(8)
|
0.86
|
%
|
Other expenses(9)
|
1.14
|
%
|
Total annual expenses(6)(9)
|
13.64
|
%
|
|
|
1 Year
|
|
3 Years
|
|
5 Years
|
|
10 Years
|
||||||||
You would pay the following expenses on a $1,000 investment, assuming a 5% annual return*
|
|
$
|
115
|
|
|
$
|
322
|
|
|
$
|
504
|
|
|
$
|
864
|
|
You would pay the following expenses on a $1,000 investment, assuming a 5% annual return**
|
|
$
|
125
|
|
|
$
|
350
|
|
|
$
|
547
|
|
|
$
|
935
|
|
*
|
Assumes that we will not realize any capital gains computed net of all realized capital losses and unrealized capital depreciation.
|
**
|
Assumes no unrealized capital depreciation or realized capital losses and 5% annual return resulting entirely from net realized capital gains (and therefore subject to the capital gains incentive fee).
|
(1)
|
In the event that the Securities to which this prospectus relates are sold to or through underwriters, a corresponding prospectus supplement will disclose the estimated applicable sales load.
|
(2)
|
The related prospectus supplement will disclose the estimated amount of offering expenses, the offering price and the estimated offering expenses borne by us as a percentage of the offering price.
|
(3)
|
The expenses of the dividend reinvestment plan are included in “other expenses.” The plan administrator’s fees under the plan are paid by us. There are no brokerage charges or other charges to stockholders who participate in reinvestment of dividends or other distributions under the plan except that, if a participant elects by written notice to the plan administrator to have the plan administrator sell part or all of the shares held by the plan administrator in the participant’s account and remit the proceeds to the participant, the plan administrator is authorized to deduct a $15 transaction fee plus a $0.10 per share brokerage commissions from the proceeds. See “Capitalization” and “Dividend Reinvestment and Direct Stock Repurchase Plan” in this prospectus.
|
(4)
|
The related prospectus supplement will disclose the offering price and the total stockholder transaction expenses as a percentage of the offering price.
|
(5)
|
Our base management fee is 2% of our gross assets (which include any amount borrowed, i.e., total assets without deduction for any liabilities, including any borrowed amounts for non-investment purposes, for which purpose we have not and have no intention of borrowing). Although we have no intent to borrow the entire amount available under our line of credit, assuming that we had total borrowings of $3.2 billion, the 2% management fee of gross assets would equal approximately 4.05% of net assets.
|
(6)
|
Based on the incentive fee paid during our six months ended December 31, 2019, all of which consisted of an income incentive fee. The capital gain incentive fee is paid without regard to pre-incentive fee income.
|
•
|
No incentive fee in any calendar quarter in which our pre-incentive fee net investment income does not exceed the hurdle rate;
|
•
|
100.00% of our pre-incentive fee net investment income with respect to that portion of such pre-incentive fee net investment income, if any, that exceeds the hurdle rate but is less than 125.00% of the quarterly hurdle rate in any calendar quarter (8.75% annualized assuming a 7.00% annualized hurdle rate); and
|
•
|
20.00% of the amount of our pre-incentive fee net investment income, if any, that exceeds 125.00% of the quarterly hurdle rate in any calendar quarter (8.75% annualized assuming a 7.00% annualized hurdle rate).
|
(7)
|
As of February 12, 2020, Prospect has $2.1 billion outstanding of its Unsecured Notes (as defined below) in various maturities, ranging from April 15, 2020 to October 15, 2043, and interest rates, ranging from 3.75% to 6.88%, some of which are convertible into shares of Prospect common stock at various conversion rates.
|
(8)
|
The Company’s stockholders indirectly bear the expenses of underlying investment companies in which the Company invests. This amount includes the fees and expenses of investment companies in which the Company is invested in as of December 31, 2019. When applicable, fees and expenses are based on historic fees and expenses for the investment companies, and for those investment companies with little or no operating history fees and expenses are based on expected fees and expenses stated in the investment companies’ prospectus or other similar communication without giving effect to any performance. Future fees and expenses for certain investment companies may be substantially higher or lower because certain fees and expenses are based on the performance of the investment companies, which may fluctuate over time. The amount of the Company’s average net assets used in calculating this percentage was based on net assets of approximately $3.2 billion as of December 31, 2019. Amount reflects the estimated annual asset management fees incurred indirectly by us in connection with our investment in CLOs during the next 12 months, including asset management fees payable to the collateral managers of CLO equity tranches and incentive fees due to the collateral managers of CLO equity tranches. As a percent of the Company’s net assets, the CLO acquired fund fees are 0.86%. The 0.86% is based on 3.45% of fees for the entire CLO portfolio. The 3.45% is composed of 3.45% of collateral manager fees and 0% of incentive fees. The 3.45% of collateral manager fees are determined by multiplying 0.40% (collateral managers fees historically paid) by 8.61 (the leverage in such CLOs). However, such amounts are uncertain and difficult to predict. Future fees and expenses may be substantially higher or lower because certain fees and expenses are based on the performance of the CLOs, which may fluctuate over time. As a result of such investments, our stockholders may be required to pay two levels of fees in connection with their investment in our shares, including fees payable under our Investment Advisory Agreement, and fees charged to us on such investments.
|
(9)
|
“Other expenses” are based on estimated amounts for the current fiscal year. The amount shown above represents expenses during our six months ended December 31, 2019, which reflects all of our estimated recurring operating expenses (except fees and expenses reported in other items of this table) that are deducted from our operating income and reflected as expenses in our Statement of Operations. The estimate of our overhead expenses, including payments under an administration agreement with Prospect Administration, or the Administration Agreement is based on our projected allocable portion of overhead and other expenses incurred by Prospect Administration in performing its obligations under the Administration Agreement. “Other expenses” does not include non-recurring expenses.
|
•
|
A likelihood of greater volatility in the net asset value and market price of our common stock;
|
•
|
Diminished operating flexibility as a result of asset coverage or investment portfolio composition requirements required by lenders or investors that are more stringent than those imposed by the 1940 Act;
|
•
|
The possibility that investments will have to be liquidated at less than full value or at inopportune times to comply with debt covenants or to pay interest or dividends on the leverage;
|
•
|
Increased operating expenses due to the cost of leverage, including issuance and servicing costs;
|
•
|
Convertible or exchangeable securities, such as the Convertible Notes (as defined below) outstanding or those issued in the future may have rights, preferences and privileges more favorable than those of our common stock;
|
•
|
Subordination to lenders’ superior claims on our assets as a result of which lenders will be able to receive proceeds available in the case of our liquidation before any proceeds will be distributed to our stockholders;
|
•
|
Difficulty meeting our payment and other obligations under the Unsecured Notes (as defined below) and our other outstanding debt;
|
•
|
The occurrence of an event of default if we fail to comply with the financial and/or other restrictive covenants contained in our debt agreements, including the credit agreement and each indenture governing the Unsecured Notes, which event of default could result in all or some of our debt becoming immediately due and payable;
|
•
|
Reduced availability of our cash flow to fund investments, acquisitions and other general corporate purposes, and limiting our ability to obtain additional financing for these purposes;
|
•
|
The risk of increased sensitivity to interest rate increases on our indebtedness with variable interest rates, including borrowings under our amended senior credit facility; and
|
•
|
Reduced flexibility in planning for, or reacting to, and increasing our vulnerability to, changes in our business, the industry in which we operate and the general economy.
|
•
|
In addition, our ability to meet our payment and other obligations of the Unsecured Notes and our credit facility depends on our ability to generate significant cash flow in the future. This, to some extent, is subject to general economic, financial, competitive, legislative and regulatory factors as well as other factors that are beyond our control. We cannot provide
|
Assumed Return on Our Portfolio (net of expenses)
|
|
(10.0
|
)%
|
|
(5.0
|
)%
|
|
—
|
%
|
|
5.0
|
%
|
|
10.0
|
%
|
Corresponding Return to Stockholder
|
|
(20.7
|
)%
|
|
(12.3
|
)%
|
|
(3.8
|
)%
|
|
4.6
|
%
|
|
13.0
|
%
|
•
|
Restrictions on the level of indebtedness that we are permitted to incur in relation to the value of our assets;
|
•
|
Restrictions on our ability to incur liens; and
|
•
|
Maintenance of a minimum level of stockholders’ equity.
|
•
|
the time remaining to the maturity of these debt securities;
|
•
|
the outstanding principal amount of debt securities with terms identical to these debt securities;
|
•
|
the ratings assigned by national statistical ratings agencies;
|
•
|
the general economic environment;
|
•
|
the supply of debt securities trading in the secondary market, if any;
|
•
|
the redemption or repayment features, if any, of these debt securities;
|
•
|
the level, direction and volatility of market interest rates generally; and
|
•
|
market rates of interest higher or lower than rates borne by the debt securities.
|
•
|
significant volatility in the market price and trading volume of securities of business development companies or other companies in the energy industry, which are not necessarily related to the operating performance of these companies;
|
•
|
price and volume fluctuations in the overall stock market from time to time;
|
•
|
changes in regulatory policies or tax guidelines, particularly with respect to RICs or business development companies;
|
•
|
loss of RIC qualification;
|
•
|
changes in earnings or variations in operating results;
|
•
|
changes in the value of our portfolio of investments;
|
•
|
any shortfall in revenue or net income or any increase in losses from levels expected by investors or securities analysts;
|
•
|
departure of one or more of Prospect Capital Management’s key personnel;
|
•
|
operating performance of companies comparable to us;
|
•
|
short-selling pressure with respect to shares of our common stock or BDCs generally;
|
•
|
future sales of our securities convertible into or exchangeable or exercisable for our common stock or the conversion of such securities, including the Convertible Notes;
|
•
|
uncertainty surrounding the strength of the U.S. economic recovery;
|
•
|
concerns regarding European sovereign debt;
|
•
|
changes in prevailing interest rates;
|
•
|
litigation matters;
|
•
|
general economic trends and other external factors; and
|
•
|
loss of a major funding source.
|
•
|
The Maryland Business Combination Act, which, subject to certain limitations, prohibits certain business combinations between us and an “interested stockholder” (defined generally as any person who beneficially owns 10% or more of the voting power of the common stock or an affiliate thereof) for five years after the most recent date on which the stockholder becomes an interested stockholder and, thereafter, imposes special minimum price provisions and special stockholder voting requirements on these combinations.
|
•
|
The Maryland Control Share Acquisition Act, which provides that “control shares” of a Maryland corporation (defined as shares of common stock which, when aggregated with other shares of common stock controlled by the stockholder, entitles the stockholder to exercise one of three increasing ranges of voting power in electing directors, as described more fully below) acquired in a “control share acquisition” (defined as the direct or indirect acquisition of ownership or control of “control shares”) have no voting rights except to the extent approved by stockholders by the affirmative vote of at least two-thirds of all the votes entitled to be cast on the matter, excluding all interested shares of common stock.
|
•
|
our future operating results;
|
•
|
our business prospects and the prospects of our portfolio companies;
|
•
|
the impact of investments that we expect to make;
|
•
|
our contractual arrangements and relationships with third parties;
|
•
|
the dependence of our future success on the general economy and its impact on the industries in which we invest;
|
•
|
the ability of our portfolio companies to achieve their objectives;
|
•
|
difficulty in obtaining financing or raising capital, especially in volatile credit and equity environments;
|
•
|
the level and volatility of prevailing interest rates and credit spreads;
|
•
|
adverse developments in the availability of desirable loan and investment opportunities whether they are due to competition, regulation or otherwise;
|
•
|
a compression of the yield on our investments and the cost of our liabilities, as well as the level of leverage available to us;
|
•
|
our regulatory structure and tax treatment, including our ability to operate as a business development company and a RIC;
|
•
|
the adequacy of our cash resources and working capital;
|
•
|
the timing of cash flows, if any, from the operations of our portfolio companies;
|
•
|
the ability of the Investment Adviser to locate suitable investments for us and to monitor and administer our investments; and
|
•
|
authoritative generally accepted accounting principles or policy changes from such standard-setting bodies as the Financial Accounting Standards Board, the Securities and Exchange Commission, the IRS, the NASDAQ Global Select Market, and other authorities that we are subject to, as well as their counterparts in any foreign jurisdictions where we might do business.
|
•
|
$0.06 per share for July 2019 to holders of record on July 31, 2019 with a payment date of August 22, 2019.
|
•
|
$0.06 per share for August 2019 to holders of record on August 30, 2019 with a payment date of September 19, 2019.
|
•
|
$0.06 per share for September 2019 to holders of record on September 30, 2019 with a payment date of October 24, 2019.
|
•
|
$0.06 per share for October 2019 to holders of record on October 31, 2019 with a payment date of November 20, 2019.
|
•
|
$0.06 per share for November 2019 to holders of record on November 29, 2019 with a payment date of December 19, 2019.
|
•
|
$0.06 per share for December 2019 to holders of record on January 2, 2020 with a payment date of January 23, 2020.
|
•
|
$0.06 per share for January 2020 to holders of record on January 31, 2020 with a payment date of February 20, 2020.
|
•
|
$0.06 per share for February 2020 to holders of record on February 28, 2020 with a payment date of March 19, 2020.
|
•
|
$0.06 per share for March 2020 to holders of record on March 31, 2020 with a payment date of April 23, 2020.
|
•
|
$0.06 per share for April 2020 to holders of record on April 30, 2020 with a payment date of May 21, 2020.
|
|
|
Total Amount
Outstanding(1) |
|
Asset
Coverage per Unit(2) |
|
Involuntary
Liquidating Preference per Unit(3) |
|
Average
Market Value per Unit(4) |
|||||||
Credit Facility(15)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
92,000
|
|
|
$
|
58,259
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
167,000
|
|
|
34,298
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2018 (as of June 30, 2018)
|
|
37,000
|
|
|
155,503
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2017 (as of June 30, 2017)
|
|
—
|
|
|
—
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2016 (as of June 30, 2016)
|
|
—
|
|
|
—
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2015 (as of June 30, 2015)
|
|
368,700
|
|
|
18,136
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2014 (as of June 30, 2014)
|
|
92,000
|
|
|
69,470
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2013 (as of June 30, 2013)
|
|
124,000
|
|
|
34,996
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2012 (as of June 30, 2012)
|
|
96,000
|
|
|
22,668
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2011 (as of June 30, 2011)
|
|
84,200
|
|
|
18,065
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2010 (as of June 30, 2010)
|
|
100,300
|
|
|
8,093
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
2015 Notes(5)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2015 (as of June 30, 2015)
|
|
$
|
150,000
|
|
|
$
|
2,241
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2014 (as of June 30, 2014)
|
|
150,000
|
|
|
2,305
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2013 (as of June 30, 2013)
|
|
150,000
|
|
|
2,578
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2012 (as of June 30, 2012)
|
|
150,000
|
|
|
3,277
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2011 (as of June 30, 2011)
|
|
150,000
|
|
|
3,740
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
2016 Notes(6)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2016 (as of June 30, 2016)
|
|
$
|
167,500
|
|
|
$
|
2,269
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2015 (as of June 30, 2015)
|
|
167,500
|
|
|
2,241
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2014 (as of June 30, 2014)
|
|
167,500
|
|
|
2,305
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2013 (as of June 30, 2013)
|
|
167,500
|
|
|
2,578
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2012 (as of June 30, 2012)
|
|
167,500
|
|
|
3,277
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2011 (as of June 30, 2011)
|
|
172,500
|
|
|
3,740
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
2017 Notes(7)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2017 (as of June 30, 2017)
|
|
$
|
50,734
|
|
|
$
|
2,251
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2016 (as of June 30, 2016)
|
|
129,500
|
|
|
2,269
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2015 (as of June 30, 2015)
|
|
130,000
|
|
|
2,241
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2014 (as of June 30, 2014)
|
|
130,000
|
|
|
2,305
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2013 (as of June 30, 2013)
|
|
130,000
|
|
|
2,578
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2012 (as of June 30, 2012)
|
|
130,000
|
|
|
3,277
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
2018 Notes(8)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2017 (as of June 30, 2017)
|
|
$
|
85,419
|
|
|
$
|
2,251
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2016 (as of June 30, 2016)
|
|
200,000
|
|
|
2,269
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2015 (as of June 30, 2015)
|
|
200,000
|
|
|
2,241
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2014 (as of June 30, 2014)
|
|
200,000
|
|
|
2,305
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2013 (as of June 30, 2013)
|
|
200,000
|
|
|
2,578
|
|
|
—
|
|
|
—
|
|
|
|
Total Amount
Outstanding(1) |
|
Asset
Coverage per Unit(2) |
|
Involuntary
Liquidating Preference per Unit(3) |
|
Average
Market Value per Unit(4) |
|||||||
2019 Notes(10)
|
|
|
|
|
|
|
|
|
|
|
|
|
|||
Fiscal 2018 (as of June 30, 2018)
|
|
$
|
101,647
|
|
|
$
|
2,452
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2017 (as of June 30, 2017)
|
|
200,000
|
|
|
2,251
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2016 (as of June 30, 2016)
|
|
200,000
|
|
|
2,269
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2015 (as of June 30, 2015)
|
|
200,000
|
|
|
2,241
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2014 (as of June 30, 2014)
|
|
200,000
|
|
|
2,305
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2013 (as of June 30, 2013)
|
|
200,000
|
|
|
2,578
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
5.00% 2019 Notes(11)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2018 (as of June 30, 2018)
|
|
$
|
153,536
|
|
|
$
|
2,452
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2017 (as of June 30, 2017)
|
|
300,000
|
|
|
2,251
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2016 (as of June 30, 2016)
|
|
300,000
|
|
|
2,269
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2015 (as of June 30, 2015)
|
|
300,000
|
|
|
2,241
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2014 (as of June 30, 2014)
|
|
300,000
|
|
|
2,305
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
2020 Notes(16)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
175,037
|
|
|
$
|
2,463
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
224,114
|
|
|
2,365
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2018 (as of June 30, 2018)
|
|
392,000
|
|
|
2,452
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2017 (as of June 30, 2017)
|
|
392,000
|
|
|
2,251
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2016 (as of June 30, 2016)
|
|
392,000
|
|
|
2,269
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2015 (as of June 30, 2015)
|
|
392,000
|
|
|
2,241
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2014 (as of June 30, 2014)
|
|
400,000
|
|
|
2,305
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
6.95% 2022 Notes(9)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2014 (as of June 30, 2014)
|
|
$
|
100,000
|
|
|
$
|
2,305
|
|
|
—
|
|
|
$
|
1,038
|
|
Fiscal 2013 (as of June 30, 2013)
|
|
100,000
|
|
|
2,578
|
|
|
—
|
|
|
1,036
|
|
|||
Fiscal 2012 (as of June 30, 2012)
|
|
100,000
|
|
|
3,277
|
|
|
—
|
|
|
996
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
2022 Notes(17)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
292,127
|
|
|
$
|
2,463
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
328,500
|
|
|
2,365
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2018 (as of June 30, 2018)
|
|
328,500
|
|
|
2,452
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2017 (as of June 30, 2017)
|
|
225,000
|
|
|
2,251
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
2023 Notes(12)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
319,002
|
|
|
$
|
2,463
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
318,863
|
|
|
2,365
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2018 (as of June 30, 2018)
|
|
318,675
|
|
|
2,452
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2017 (as of June 30, 2017)
|
|
248,507
|
|
|
2,251
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2016 (as of June 30, 2016)
|
|
248,293
|
|
|
2,269
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2015 (as of June 30, 2015)
|
|
248,094
|
|
|
2,241
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2014 (as of June 30, 2014)
|
|
247,881
|
|
|
2,305
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2013 (as of June 30, 2013)
|
|
247,725
|
|
|
2,578
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|
|
Total Amount
Outstanding(1) |
|
Asset
Coverage per Unit(2) |
|
Involuntary
Liquidating Preference per Unit(3) |
|
Average
Market Value per Unit(4) |
|||||||
2024 Notes
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
234,443
|
|
|
$
|
2,463
|
|
|
—
|
|
|
$
|
1,012
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
234,443
|
|
|
2,365
|
|
|
—
|
|
|
1,002
|
|
|||
Fiscal 2018 (as of June 30, 2018)
|
|
199,281
|
|
|
2,452
|
|
|
—
|
|
|
1,029
|
|
|||
Fiscal 2017 (as of June 30, 2017)
|
|
199,281
|
|
|
2,251
|
|
|
—
|
|
|
1,027
|
|
|||
Fiscal 2016 (as of June 30, 2016)
|
|
161,364
|
|
|
2,269
|
|
|
—
|
|
|
951
|
|
|||
6.375% 2024 Notes(12)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
99,753
|
|
|
$
|
2,463
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
99,726
|
|
|
2,365
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
2025 Notes
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
201,250
|
|
|
$
|
2,463
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
201,250
|
|
|
2,365
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
2028 Notes
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
70,761
|
|
|
$
|
2,463
|
|
|
—
|
|
|
$
|
1,029
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
70,761
|
|
|
2,365
|
|
|
—
|
|
|
984
|
|
|||
Fiscal 2018 (as of June 30, 2018)
|
|
55,000
|
|
|
2,452
|
|
|
—
|
|
|
1,004
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
2029 Notes
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
69,170
|
|
|
$
|
2,463
|
|
|
—
|
|
|
$
|
1,054
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
69,170
|
|
|
2,365
|
|
|
—
|
|
|
983
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
Prospect Capital InterNotes®(14)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
622,409
|
|
|
$
|
2,463
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
707,699
|
|
|
2,365
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2018 (as of June 30, 2018)
|
|
760,924
|
|
|
2,452
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2017 (as of June 30, 2017)
|
|
980,494
|
|
|
2,251
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2016 (as of June 30, 2016)
|
|
908,808
|
|
|
2,269
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2015 (as of June 30, 2015)
|
|
827,442
|
|
|
2,241
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2014 (as of June 30, 2014)
|
|
785,670
|
|
|
2,305
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2013 (as of June 30, 2013)
|
|
363,777
|
|
|
2,578
|
|
|
—
|
|
|
—
|
|
|||
|
|
|
|
|
|
|
|
|
|||||||
All Senior Securities(12)(13)(14)(15)(16)(17)(18)
|
|
|
|
|
|
|
|
|
|||||||
Fiscal 2020 (as of December 31, 2019, unaudited)
|
|
$
|
2,175,952
|
|
|
$
|
2,463
|
|
|
—
|
|
|
—
|
|
|
Fiscal 2019 (as of June 30, 2019)
|
|
2,421,526
|
|
|
2,365
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2018 (as of June 30, 2018)
|
|
2,346,563
|
|
|
2,452
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2017 (as of June 30, 2017)
|
|
2,681,435
|
|
|
2,251
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2016 (as of June 30, 2016)
|
|
2,707,465
|
|
|
2,269
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2015 (as of June 30, 2015)
|
|
2,983,736
|
|
|
2,241
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2014 (as of June 30, 2014)
|
|
2,773,051
|
|
|
2,305
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2013 (as of June 30, 2013)
|
|
1,683,002
|
|
|
2,578
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2012 (as of June 30, 2012)
|
|
664,138
|
|
|
3,277
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2011 (as of June 30, 2011)
|
|
406,700
|
|
|
3,740
|
|
|
—
|
|
|
—
|
|
|||
Fiscal 2010 (as of June 30, 2010)
|
|
100,300
|
|
|
8,093
|
|
|
—
|
|
|
—
|
|
(1)
|
Except as noted, the total amount of each class of senior securities outstanding at the end of the year/period presented (in 000’s).
|
(2)
|
The asset coverage ratio for a class of secured senior securities representing indebtedness is calculated as our consolidated total assets, less all liabilities and indebtedness not represented by senior securities, divided by secured senior securities representing indebtedness. The asset coverage ratio for a class of unsecured senior securities is inclusive of all senior securities. This asset coverage ratio is multiplied by $1,000 to determine the Asset Coverage Per Unit.
|
(3)
|
This column is inapplicable.
|
(4)
|
This column is inapplicable, except for the 6.95% 2022 Notes, the 2024 Notes, the 2028 Notes and the 2029 Notes. The average market value per unit is calculated as an average of quarter-end prices and shown as the market value per $1,000 of indebtedness.
|
(5)
|
We repaid the outstanding principal amount of the 2015 Notes on December 15, 2015.
|
(6)
|
We repaid the outstanding principal amount of the 2016 Notes on August 15, 2016.
|
(7)
|
We repaid the outstanding principal amount of the 2017 Notes on October 15, 2017.
|
(8)
|
We repaid the outstanding principal amount of the 2018 Notes on March 15, 2018.
|
(9)
|
We redeemed the 6.95% 2022 Notes on May 15, 2015.
|
(10)
|
We repaid the outstanding principal amount of the 2019 Notes on January 15, 2019.
|
(11)
|
We redeemed the 5.00% 2019 Notes on September 26, 2018.
|
(12)
|
For the period ended December 31, 2019 and all fiscal years ended June 30th, the notes are presented net of unamortized discount.
|
(13)
|
While we do not consider commitments to fund under revolving arrangements to be Senior Securities, if we were to elect to treat such unfunded commitments, which were $25,111 as of December 31, 2019 as Senior Securities for purposes of Section 18 of the 1940 Act, our asset coverage per unit would be $2,435.
|
(14)
|
Pursuant to notice to call provided on December 11, 2019, we redeemed, prior to maturity, $3,918 of our Prospect Capital InterNotes® at par with settlement on January 15, 2020. The notes were scheduled to mature on July 15, 2022 and bore interest rates that ranged from 4.500% to 4.750%. During the period of January 1, 2020 through February 12, 2020, we issued $44,822 aggregate principal amount of Prospect Capital InterNotes® at par.
|
(15)
|
As of February 12, 2020, we had $206,000 outstanding borrowings under our credit facility.
|
(16)
|
On December 23, 2019, we commenced a tender offer to purchase for cash up to $10,000 aggregate principal amount of the 2020 Notes (“2020 Notes December Tender Offer”). The 2020 Notes December Tender Offer expired at 12:00 midnight, New York City time, on January 23, 2020 (one minute after 11:59 p.m., New York City time, on January 22, 2020). As of the expiration date of the 2020 Notes December Tender Offer, $2,215 aggregate principal amount of the 2020 Notes, representing approximately 1.27% of the outstanding 2020 Notes, were validly tendered and accepted. Following the settlement of the 2020 Notes December Tender Offers, approximately $172,822 aggregate principal amount of the 2020 Notes remains outstanding.
|
(17)
|
On December 23, 2019, we commenced a tender offer to purchase for cash up to $25,000 aggregate principal amount of the 2022 Notes (“2022 Notes December Tender Offer”). The 2022 Notes December Tender Offer expired at 12:00 midnight, New York City time, on January 23, 2020 (one minute after 11:59 p.m., New York City time, on January 22, 2020). As of the expiration date of the 2022 Notes December Tender Offer, $1,302 aggregate principal amount of the 2022 Notes, representing approximately 0.45% of the outstanding 2022 Notes, were validly tendered and accepted. Following the settlement of the 2022 Notes December Tender Offer, approximately $290,825 aggregate principal amount of the 2022 Notes remains outstanding.
|
(18)
|
If we were to consider the additional borrowings, issuances, repurchases and maturities subsequent to December 31, 2019, our asset coverage per unit for our senior secured credit facility and unsecured notes would be $26,751 and $2,368, respectively, or $2,337 including the effects of unfunded commitments.
|
|
|
|
|
Stock Price
|
|
Premium
(Discount)
of High to
NAV
|
|
Premium
(Discount)
of Low to
NAV
|
|
Dividends
Declared
|
|
||||||||||||
|
|
NAV(1)
|
|
High(2)
|
|
Low(2)
|
|
||||||||||||||||
Twelve Months Ending June 30, 2018
|
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||
First quarter
|
|
$
|
9.12
|
|
|
$
|
8.34
|
|
|
$
|
6.55
|
|
|
(8.6
|
)%
|
|
(28.2
|
)%
|
|
$
|
0.226660
|
|
|
Second quarter
|
|
9.28
|
|
|
7.26
|
|
|
5.56
|
|
|
(21.8
|
)%
|
|
(40.1
|
)%
|
|
0.180000
|
|
|
||||
Third quarter
|
|
9.23
|
|
|
7.01
|
|
|
6.21
|
|
|
(24.1
|
)%
|
|
(32.7
|
)%
|
|
0.180000
|
|
|
||||
Fourth quarter
|
|
9.35
|
|
|
6.93
|
|
|
6.30
|
|
|
(25.9
|
)%
|
|
(32.6
|
)%
|
|
0.180000
|
|
|
||||
Twelve Months Ending June 30, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||
First quarter
|
|
$
|
9.39
|
|
|
$
|
7.58
|
|
|
$
|
6.67
|
|
|
(19.3
|
)%
|
|
(29.0
|
)%
|
|
$
|
0.180000
|
|
|
Second quarter
|
|
9.02
|
|
|
7.27
|
|
|
5.77
|
|
|
(19.4
|
)%
|
|
(36.0
|
)%
|
|
0.180000
|
|
|
||||
Third quarter
|
|
9.08
|
|
|
6.93
|
|
|
6.27
|
|
|
(23.7
|
)%
|
|
(30.9
|
)%
|
|
0.180000
|
|
|
||||
Fourth quarter
|
|
9.01
|
|
|
6.83
|
|
|
6.24
|
|
|
(24.2
|
)%
|
|
(30.7
|
)%
|
|
0.180000
|
|
|
||||
Twelve Months Ending June 30, 2020
|
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||
First quarter
|
|
$
|
8.87
|
|
|
$
|
6.73
|
|
|
$
|
6.30
|
|
|
(24.1
|
)%
|
|
(29.0
|
)%
|
|
$
|
0.180000
|
|
|
Second quarter
|
|
8.66
|
|
|
6.70
|
|
|
6.37
|
|
|
(22.6
|
)%
|
|
(26.4
|
)%
|
|
0.180000
|
|
|
||||
Third quarter (through February 12, 2020)
|
|
(3)(4)
|
|
|
6.61
|
|
|
6.46
|
|
|
(4)
|
|
|
(4)
|
|
|
0.180000
|
|
(5)
|
(1)
|
Net asset value per share is determined as of the last day in the relevant quarter and therefore may not reflect the net asset value per share on the date of the high or low sales price. The NAVs shown are based on outstanding shares of our common stock at the end of each period.
|
(2)
|
The High/Low Stock Price is calculated as of the closing price on a given day in the applicable quarter.
|
(3)
|
Our most recently estimated NAV per share is $8.66 on December 31, 2019. NAV per share as of March 31, 2020, may be higher or lower than $8.66 based on potential changes in valuations, issuances of securities, dividends paid and earnings for the quarters then ended.
|
(4)
|
NAV has not yet been finally determined for any day after December 31, 2019.
|
(5)
|
On February 10, 2020, Prospect announced the declaration of monthly dividends in the following amounts and with the following dates:
|
•
|
$0.06 per share for February 2020 (record date of February 28, 2020 and payment date of March 19, 2020);
|
•
|
$0.06 per share for March 2020 (record date of March 31, 2020 and payment date of April 23, 2020); and
|
•
|
$0.06 per share for April 2020 (record date of April 30, 2020 and payment date of May 21, 2020).
|
Title of Class
|
|
Amount Authorized
|
|
Amount Held by Registrant or for its Account
|
|
Amount Outstanding
|
|||
Common Stock
|
|
1,000,000,000
|
|
|
—
|
|
|
367,658,352
|
|
Name
|
|
Position
|
|
Length of Service
with Company (Years)
|
|
John F. Barry III
|
|
Chairman and Chief Executive Officer
|
|
15
|
|
M. Grier Eliasek
|
|
President and Chief Operating Officer
|
|
15
|
|
Name
|
|
Aggregate Dollar Range of Common Stock Beneficially Owned by Portfolio Managers
|
John F. Barry III
|
|
Over $100,000
|
M. Grier Eliasek
|
|
Over $100,000
|
Name and Address of Beneficial Owner
|
|
Number of Shares
Beneficially Owned
|
|
Percentage of
Class(1)
|
|
5% or more holders
|
|
|
|
|
|
John F. Barry III (2)
|
|
64,103,524
|
|
17.4
|
%
|
Other executive officers and directors as a group
|
|
1,360,095
|
|
0.4
|
%
|
(1)
|
Based on a total of 367,658,352 shares of our common stock issued and outstanding as of February 12, 2020.
|
(2)
|
Mr. Barry also serves as the Chief Executive Officer of the Company. Mr. Barry has sole voting and dispositive power over 63,913,087 shares held by him directly and through the John and Daria Barry Foundation as of February 12, 2020. Mr. Barry has shared voting and dispositive power over the remaining 190,437 shares beneficially owned as of February 12, 2020.
|
Name of Director or Officer
|
|
Dollar Range of Equity
Securities in the Company(1)
|
|
Dollar Range of Equity
Securities in Priority(1)
|
|
Dollar Range of Equity
Securities in FLEX(1)
|
Independent Directors
|
|
|
|
|
|
|
William J. Gremp
|
|
Over $100,000
|
|
None
|
|
None
|
Andrew C. Cooper
|
|
None
|
|
None
|
|
None
|
Eugene S. Stark
|
|
Over $100,000
|
|
Over $100,000
|
|
None
|
Interested Directors
|
|
|
|
|
|
|
John F. Barry III
|
|
Over $100,000
|
|
None
|
|
None
|
M. Grier Eliasek
|
|
Over $100,000
|
|
None
|
|
None
|
Officer
|
|
|
|
|
|
|
Kristin Van Dask
|
|
Over $100,000
|
|
None
|
|
None
|
(1)
|
Dollar ranges are as follows: none, $1-$10,000, $10,001-$50,000, $50,001-$100,000 or over $100,000.
|
Portfolio Company
|
Nature of its Principal Business
|
Title and Class of Securities Held
|
Collateral Held
|
% of Class Held
|
Fair Value (Equity)
|
Fair Value (Debt)
|
|||
|
|
|
|
|
|
(in thousands)
|
(in thousands)
|
||
First Tower Finance Company LLC
P.O. Box 320001 406 Liberty Park Court Flowood, Mississippi 39232 |
Consumer Finance
|
Subordinated Term Loan to First Tower, LLC (10.00% plus 10.50% PIK, due 6/24/2024)(1)(1)
|
Second priority lien
|
|
|
277,987
|
|
||
|
|
Class A Units (95,709,910 units)(1)(1)
|
|
80.1
|
%
|
224,798
|
|
|
|
Freedom Marine Solutions, LLC
111 Evergreen Drive
Houma, Louisiana 70364
|
Energy Equipment & Services
|
Membership Interest (100%)
|
|
100.0
|
%
|
14,920
|
|
|
|
InterDent, Inc.
9800 South La Cienega
Boulevard, Suite 800
Inglewood, California 90301
|
Health Care Providers & Services
|
Senior Secured Term Loan A/B (6.85% (LIBOR + 5.05% with 0.75% LIBOR floor), due 9/5/2020)
|
First priority lien
|
|
|
14,000
|
|
||
|
|
Senior Secured Term Loan A (7.30% (LIBOR + 5.50% with 0.75% LIBOR floor), due 9/5/2020)
|
First priority lien
|
|
|
77,994
|
|
||
|
|
Senior Secured Term Loan B (10.00% PIK, due 9/5/2020)
|
First priority lien
|
|
|
104,977
|
|
||
|
|
Senior Secured Term Loan C (18.00% PIK, in non-accrual status effective 10/1/2018, due 9/5/2020)
|
First priority lien
|
|
|
—
|
|
||
|
|
Senior Secured Term Loan D (1.00% PIK, in non-accrual status effective 10/1/2018, due 9/5/2020)
|
First priority lien
|
|
|
—
|
|
||
|
|
Common Stock (99,900 shares)
|
|
99.9
|
%
|
—
|
|
|
|
Kickapoo Ranch Pet Resort
23230 Kickapoo Road
Waller, Texas 77484
|
Diversified Consumer Services
|
Membership Interest (100%)
|
|
100.0
|
%
|
4,361
|
|
|
|
MITY, Inc.
1301 West 400 North
Orem, UT 84057
|
Commercial Services & Supplies
|
Senior Secured Note A (10.00% (LIBOR + 7.00% with 3.00% LIBOR floor), due 6/30/2020)
|
First priority lien
|
|
|
26,250
|
|
||
|
|
Senior Secured Note B (10.00% (LIBOR + 7.00% with 3.00% LIBOR floor) plus 10.00% PIK, due 6/30/2020)
|
First priority lien
|
|
|
29,936
|
|
||
|
|
Subordinated Unsecured Note to Broda Enterprises ULC (10.00%, due 1/1/2028)(1)
|
|
|
|
—
|
|
||
|
|
Common Stock (42,053 shares)
|
|
100.0
|
%
|
—
|
|
|
|
National Property REIT Corp.
1389 Center Drive, Suite 170,
Park City, Utah 84098
|
Equity Real Estate Investment Trusts (REITs) / Online Lending / Structured Finance
|
Senior Secured Term Loan A (6.50% (LIBOR + 3.50% with 3.00% LIBOR floor) plus 5.00% PIK, due 12/31/2023)
|
First priority lien
|
|
|
433,553
|
|
||
|
|
Senior Secured Term Loan B (5.00% (LIBOR + 2.00% with 3.00% LIBOR floor) plus 5.50% PIK, due 12/31/2023)
|
First priority lien
|
|
|
79,000
|
|
||
|
|
Senior Secured Term Loan C (15.00% (LIBOR + 12.00% with 3.00% LIBOR floor) plus 2.25% PIK, due 12/31/2023)
|
First priority lien
|
|
|
51,428
|
|
||
|
|
Residual Profit Interest(2)
|
|
|
37,562
|
|
|
||
|
|
Common Stock (3,203,927 shares)
|
|
100.0
|
%
|
425,345
|
|
|
|
Nationwide Loan Company LLC
3435 North Cierco Avenue
Chicago, IL 60641
|
Consumer Finance
|
Senior Subordinated Term Loan to Nationwide Acceptance LLC (10.00% plus 10.00% PIK, due 6/18/2020)(1)
|
Second priority lien
|
|
|
19,420
|
|
||
|
|
Class A Units (32,456,159 units)(1)
|
|
94.5
|
%
|
16,807
|
|
|
|
NMMB, Inc.
10 Abeel Road
Cranbury, NJ 08512
|
Media
|
Senior Secured Note (10.50% (LIBOR + 8.50% with 2.00% LIBOR floor), due 12/30/2024)
|
First priority lien
|
|
|
15,100
|
|
||
|
|
Common Stock (21,419 shares)
|
|
92.4
|
%
|
22,818
|
|
|
Portfolio Company
|
Nature of its Principal Business
|
Title and Class of Securities Held
|
Collateral Held
|
% of Class Held
|
Fair Value (Equity)
|
Fair Value (Debt)
|
|||
|
|
|
|
|
|
(in thousands)
|
(in thousands)
|
||
Pacific World Corporation
100 Technology Drive, Suite 200
Irvine, California 92618
|
Personal Products
|
Revolving Line of Credit – $26,000 Commitment (9.06% (LIBOR + 7.25% with 1.00% LIBOR floor), in non-accrual status effective 10/1/2019, due 9/26/2020)
|
First priority lien
|
|
|
20,825
|
|
||
|
|
Senior Secured Term Loan A (7.06% PIK (LIBOR + 5.25% with 1.00% LIBOR floor), in non-accrual status effective 10/24/2018, due 9/26/2020)
|
First priority lien
|
|
|
41,785
|
|
||
|
|
Senior Secured Term Loan B (11.06% PIK (LIBOR + 9.25% with 1.00% LIBOR floor), in non-accrual status effective 5/21/2018, due 9/26/2020)
|
First priority lien
|
|
|
—
|
|
||
|
|
Convertible Preferred Equity (227,330 shares)
|
|
100.0
|
%
|
—
|
|
|
|
|
|
Common Stock (6,778,414 shares)
|
|
7.8
|
%
|
—
|
|
|
|
R-V Industries, Inc.
584 Poplar Road
Honey Brook, PA 19344
|
Machinery
|
Senior Subordinated Note (10.95% (LIBOR + 9.00% with 1.00% LIBOR floor), due 3/31/2022)
|
Second priority lien
|
|
|
28,622
|
|
||
|
|
Common Stock (745,107 shares)
|
|
88.3
|
%
|
7,881
|
|
|
|
Universal Turbine Parts, LLC
120 Grouby Airport Road
Prattsville, AL 36067
|
Trading Companies & Distributors
|
Delayed Draw Term Loan – $5,000 Commitment (10.25% (LIBOR + 7.75% with 2.50% LIBOR floor), due 7/22/2021)
|
First priority lien
|
|
|
998
|
|
||
|
|
Senior Secured Term Loan A (7.70% (LIBOR + 5.75% with 1.00% LIBOR floor), due 7/22/2021)
|
First priority lien
|
|
|
27,624
|
|
||
|
|
Senior Secured Term Loan B (13.70% PIK (LIBOR + 11.75% with 1.00% LIBOR floor), in non-accrual status effective 7/1/2018, due 7/22/2021)
|
First priority lien
|
|
|
—
|
|
||
|
|
Common Stock (10,000 units)
|
|
100.0
|
%
|
—
|
|
|
|
USES Corp.
200 Crescent Court,
Suite 1030
Dallas, TX 75201
|
Commercial Services & Supplies
|
Senior Secured Term Loan A (9.00% PIK, in non-accrual status effective 4/1/2016, due 7/29/2022)
|
First priority lien
|
|
|
16,101
|
|
||
|
|
Senior Secured Term Loan B (15.50% PIK, in non-accrual status effective 4/1/2016, due 7/29/2022)
|
First priority lien
|
|
|
—
|
|
||
|
|
Common Stock (268,962 shares)
|
|
100.0
|
%
|
—
|
|
|
|
Valley Electric Company, Inc.
1100 Merrill Creek Parkway
Everett, WA 98023
|
Construction & Engineering
|
Senior Secured Note to Valley Electric Co. of Mt. Vernon, Inc. (8.00% (LIBOR + 5.00% with 3.00% LIBOR floor) plus 2.50% PIK, due 12/31/2024)
|
First priority lien
|
|
|
10,430
|
|
||
|
|
Senior Secured Note (8.00% plus 10.00% PIK, due 6/23/2024)
|
First priority lien
|
|
|
33,301
|
|
||
|
|
Consolidated Revenue Interest (2.0%)
|
|
2.0
|
%
|
2,746
|
|
|
|
|
|
Common Stock (50,000 shares)
|
|
95.0
|
%
|
76,023
|
|
|
Portfolio Company
|
Nature of its Principal Business
|
Title and Class of Securities Held
|
Collateral Held
|
% of Class Held
|
Fair Value (Equity)
|
Fair Value (Debt)
|
|||
|
|
|
|
|
|
(in thousands)
|
(in thousands)
|
||
Companies 5% to 24.99% owned
|
|
|
|
|
|
||||
Edmentum Ultimate Holdings, LLC
5600 West 83rd Street, Suite 300, 8200 Tower Bloomington, MN 55437 |
Diversified Consumer Services
|
Second Lien Revolving Credit Facility to Edmentum, Inc. – $7,834 Commitment (5.00% PIK, due 12/9/2021)
|
Second priority lien
|
|
|
8,033
|
|
||
|
|
Unsecured Senior PIK Note (8.50% PIK, due 12/9/2021)
|
|
|
|
8,548
|
|
||
|
|
Unsecured Junior PIK Note (10.00% PIK, due 12/9/2021)
|
|
|
|
40,338
|
|
||
|
|
Class A Units (370,964 units)
|
|
11.5
|
%
|
8,123
|
|
|
|
Nixon, Inc.
701 South Coast Highway Encinitas, CA 92024 |
Textiles, Apparel & Luxury Goods
|
Common Stock (857 units)
|
|
8.6
|
%
|
—
|
|
|
|
Targus Cayman HoldCo Limited
1211 North Miller Street Anaheim, CA 92806 |
Textiles, Apparel & Luxury Goods
|
Common Stock (7,383,395 shares)
|
|
9.7
|
%
|
16,224
|
|
|
|
United Sporting Companies, Inc.
1211 North Miller Street Anaheim, CA 92806 |
Distributors
|
Second Lien Term Loan (12.80% (LIBOR + 11.00% with 1.75% LIBOR floor) plus 2.00% PIK, in non-accrual status effective 4/1/2017, due 11/16/2019)
|
Second priority lien
|
|
|
6,357
|
|
||
|
|
Common Stock (218,941 shares)
|
|
22.0
|
%
|
—
|
|
|
|
Companies less than 5% owned
|
|
|
|
|
|
||||
8TH Avenue Food & Provisions, Inc.
1335 Strassner Drive Brentwood, Missouri 63144 |
Food Products
|
Second Lien Term Loan (9.49% (LIBOR + 7.75%), due 10/1/2026)
|
Second priority lien
|
|
|
24,841
|
|
||
ACE Cash Express, Inc.
1231 Greenway Drive, Suite 600 Irving, TX 75038 |
Consumer Finance
|
Senior Secured Note (12.00%, due 12/15/2022)(1)
|
First priority lien
|
|
|
25,491
|
|
||
Ahead Data Blue, LLC
401 North Michigan Avenue Suite 3400 Chicago, IL 60611 |
IT Services
|
Second Lien Term Loan (10.30% (LIBOR + 8.50% with 1.50% LIBOR floor), due 11/8/2025)
|
Second priority lien
|
|
|
70,000
|
|
||
AmeriLife Group, LLC
2650 McCormick Drive, Suite 300T Clearwater, FL 33759 |
Insurance
|
Second Lien Term Loan (10.80% (LIBOR + 9.00%), due 6/11/2027)
|
Second priority lien
|
|
|
10,000
|
|
||
Apidos CLO XI
P.O. Box 1093 Boundary Hall Cricket Square Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 10.94%, due 10/17/2030)(1)
|
|
|
27,462
|
|
|
||
Apidos CLO XII
P.O. Box 1093 Boundary Hall Cricket Square Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 15.64%, due 4/15/2031)(1)
|
|
|
30,457
|
|
|
||
Apidos CLO XV
P.O. Box 1093 Boundary Hall Cricket Square Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 15.00%, due 4/21/2031)(1)
|
|
|
29,519
|
|
|
||
Apidos CLO XXII
P.O. Box 1093 Boundary Hall Cricket Square Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 7.32%, due 10/20/2027)(1)
|
|
|
23,446
|
|
|
||
Ark-La-Tex Wireline Services, LLC
6913 Wesport Avenue Shreveport, LA 71129 |
Energy Equipment & Services
|
Escrow Receivable
|
|
|
—
|
|
|
Portfolio Company
|
Nature of its Principal Business
|
Title and Class of Securities Held
|
Collateral Held
|
% of Class Held
|
Fair Value (Equity)
|
Fair Value (Debt)
|
|||
|
|
|
|
|
|
(in thousands)
|
(in thousands)
|
||
Atlantis Health Care Group (Puerto Rico), Inc.
299 Park Avenue, 34th Floor New York, New York 10171 |
Health Care Providers & Services
|
Revolving Line of Credit – $6,000 Commitment (10.75% (LIBOR + 8.75% with 2.00% LIBOR floor), due 2/21/2020)
|
First priority lien
|
|
|
2,000
|
|
||
|
|
Senior Secured Term Loan (10.75% (LIBOR + 8.75% with 2.00% LIBOR floor), due 2/21/2020)
|
First priority lien
|
|
|
73,919
|
|
||
Barings CLO 2018-III
P.O. Box 1093 Boundary Hall Cricket Square Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 9.42%, due 7/20/2029)(1)
|
|
|
34,711
|
|
|
||
Broder Bros., Co.
Six Neshaminy Interplex, 6th Floor Trevose, PA 19053 |
Textiles, Apparel & Luxury Goods
|
Senior Secured Note (10.47% (LIBOR + 8.50% with 1.25% LIBOR floor), due 12/02/2022)
|
First priority lien
|
|
|
172,844
|
|
||
Brookside Mill CLO Ltd.
75 Fort Street P.O. Box 1350 George Town, Grand Cayman KY1-1108 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 5.43%, due 1/17/2028)(1)
|
|
|
12,763
|
|
|
||
California Street CLO IX Ltd.
P.O. Box 1093 Boundary Hall Cricket Square Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 10.64%, due 7/16/2032)(1)
|
|
|
31,743
|
|
|
||
Candle-Lite Company, LLC
10521 Millington Ct Cincinnati, OH 45242 |
Household Products
|
Senior Secured Term Loan A (7.42% (LIBOR + 5.50% with 1.25% LIBOR floor), due 1/23/2023)
|
First priority lien
|
|
|
12,061
|
|
||
|
|
Senior Secured Term Loan B (11.42% (LIBOR + 9.50% with 1.25% LIBOR floor), due 1/23/2023)
|
First priority lien
|
|
|
12,500
|
|
||
Capstone Logistics Acquisition, Inc.
6525 The Corners Parkway, Suite 520 Peachtree Corners, GA 30092 |
Commercial Services & Supplies
|
Second Lien Term Loan (10.05% (LIBOR + 8.25% with 1.00% LIBOR floor), due 10/7/2022)
|
Second priority lien
|
|
|
98,982
|
|
||
Carlyle C17 CLO Limited
P.O. Box 1093 Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 20.27%, due 4/30/2031)(1)
|
|
|
12,792
|
|
|
||
Carlyle Global Market Strategies CLO 2014-4-R, Ltd.
190 Elgin Avenue, George Town, Grand Cayman KY1-9005 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 21.30%, due 7/15/2030)(1)
|
|
|
17,577
|
|
|
||
Carlyle Global Market Strategies CLO 2016-3, Ltd.
27 Hospital Road George Town, Grand Cayman KY1-9008 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 11.59%, due 10/20/2029)(1)
|
|
|
26,208
|
|
|
||
CCPI Inc.
838 Cherry Street Blanchester, OH 45107 |
Electronic Equipment, Instruments & Components
|
Escrow Receivable
|
|
|
2,307
|
|
|
||
CCS-CMGC Holdings, Inc.
1283 Murfreesboro Road, Suite 500 Nashville, TX 37217 |
Health Care Providers & Services
|
First Lien Term Loan (7.30% (LIBOR + 5.50%), due 10/1/2025)
|
First priority lien
|
|
|
5,945
|
|
||
|
|
First Lien Term Loan (7.43% (LIBOR + 5.50%), due 10/1/2025)
|
First priority lien
|
|
|
3,586
|
|
||
|
|
Second Lien Term Loan (10.93% (LIBOR + 9.00%), due 10/1/2026)
|
Second priority lien
|
|
|
36,399
|
|
Portfolio Company
|
Nature of its Principal Business
|
Title and Class of Securities Held
|
Collateral Held
|
% of Class Held
|
Fair Value (Equity)
|
Fair Value (Debt)
|
|||
|
|
|
|
|
|
(in thousands)
|
(in thousands)
|
||
Cent CLO 21 Limited
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 13.37%, due 7/27/2030)(1)
|
|
|
28,433
|
|
|
||
CIFC Funding 2013-III-R, Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 12.15%, due 4/24/2031)(1)
|
|
|
22,814
|
|
|
||
CIFC Funding 2013-IV, Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 14.09%, due 4/28/2031)(1)
|
|
|
28,641
|
|
|
||
CIFC Funding 2014-IV-R, Ltd.
P.O. Box 1093, Boundary Hall
Cricket Square, Grand Cayman
KY1-1102
Cayman Islands
|
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 13.42%, due 10/17/2030)(1)
|
|
|
25,457
|
|
|
||
CIFC Funding 2016-I, Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 11.55%, due 10/21/2031)(1)
|
|
|
27,479
|
|
|
||
Cinedigm DC Holdings, LLC
902 Broadway, 9th Floor New York, NY 10010 |
Entertainment
|
Senior Secured Term Loan (11.00% (LIBOR + 9.00% with 2.00% LIBOR floor) plus 2.50% PIK, due 3/31/2021)
|
First priority lien
|
|
|
12,559
|
|
||
Class Valuation, LLC
2600 Bellingham Dr. #100 Troy, MI 48083 |
Real Estate Management & Development
|
Revolving Line of Credit – $1,500 Commitment (10.20% (LIBOR + 8.25% with 1.50% LIBOR floor), due 3/12/2020)
|
First priority lien
|
|
|
—
|
|
||
|
|
Senior Secured Term Loan (10.20% (LIBOR + 8.25% with 1.50% LIBOR floor), due 3/10/2023)
|
First priority lien
|
|
|
38,432
|
|
||
Collections Acquisition Company, Inc.
Two Easton Oval, Suite 310 Columbus, OH 43219 |
Diversified Financial Services
|
Senior Secured Term Loan (10.15% (LIBOR + 7.65% with 2.50% LIBOR floor), due 6/3/2024)
|
First priority lien
|
|
|
30,433
|
|
||
Columbia Cent CLO 27 Limited
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 17.36%, due 10/25/2028)(1)
|
|
|
24,635
|
|
|
||
Coverall North America, Inc.
1201 West Peachtree, Suite 2800 Atlanta, Georgia 30309 |
Commercial Services & Supplies
|
Senior Secured Term Loan A (7.95% (LIBOR + 6.00% with 1.00% LIBOR floor), due 11/02/2020)
|
First priority lien
|
|
|
5,100
|
|
||
|
|
Senior Secured Term Loan B (12.95% (LIBOR + 11.00% with 1.00% LIBOR floor), due 11/02/2020)
|
First priority lien
|
|
|
23,000
|
|
||
CP VI Bella Midco
2701 Renaissance Boulevard, Suite 200 King of Prussia, PA 19406 |
IT Services
|
Second Lien Term Loan (8.55% (LIBOR + 6.75%), due 12/29/2025)
|
Second priority lien
|
|
|
15,750
|
|
||
Digital Room, LLC
8000 Haskell Avenue Van Nuys, CA 91406 |
Commercial Services & Supplies
|
First Lien Term Loan (6.80% (LIBOR + 5.00%), due 5/21/2026)
|
First priority lien
|
|
|
9,819
|
|
||
|
|
Second Lien Term Loan (10.80% (LIBOR + 9.00%), due 5/21/2027)
|
Second priority lien
|
|
|
69,477
|
|
Portfolio Company
|
Nature of its Principal Business
|
Title and Class of Securities Held
|
Collateral Held
|
% of Class Held
|
Fair Value (Equity)
|
Fair Value (Debt)
|
|||
|
|
|
|
|
|
(in thousands)
|
(in thousands)
|
||
Dunn Paper, Inc.
218 Riverview St. Port Huron, MI 48060 |
Paper & Forest Products
|
First Lien Term Loan (6.55% (LIBOR + 4.75% with 1.00% LIBOR floor), due 8/26/2022)
|
First priority lien
|
|
|
4,371
|
|
||
|
|
Second Lien Term Loan (10.55% (LIBOR + 8.75% with 1.00% LIBOR floor), due 8/26/2023)
|
Second priority lien
|
|
|
11,379
|
|
||
Easy Gardener Products, Inc.
3022 Franklin Avenue Waco, Texas 76710 |
Household Durables
|
Senior Secured Term Loan (11.95% (LIBOR + 10.00% with 0.25% LIBOR floor), in non-accrual status effective 10/1/2019, due 09/30/2020)
|
First priority lien
|
|
|
4,353
|
|
||
Engine Group, Inc.
315 Park Avenue South, 14th Floor New York, NY 10010 |
Media
|
Senior Secured Term Loan (6.94% (LIBOR + 5.00% with 1.00% LIBOR floor), due 9/15/2022)
|
First priority lien
|
|
|
4,031
|
|
||
|
|
Second Lien Term Loan (10.94% (LIBOR + 9.00% with 1.00% LIBOR floor), due 9/15/2023)
|
Second priority lien
|
|
|
31,305
|
|
||
EXC Holdings III Corp
200 West Street Waltham, MA 02451 |
Technology Hardware, Storage & Peripherals
|
Second Lien Term Loan (9.59% (LIBOR + 7.50% with 1.00% LIBOR floor), due 12/01/2025)
|
Second priority lien
|
|
|
12,408
|
|
||
Galaxy XV CLO, Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 9.86%, due 10/15/2030)(1)
|
|
|
25,468
|
|
|
||
Galaxy XXVII CLO, Ltd.
190 Elgin Avenue George Town, Grand Cayman KY1-9005 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 8.24%, due 5/16/2031)(1)
|
|
|
11,463
|
|
|
||
Galaxy XXVIII CLO, Ltd.
190 Elgin Avenue George Town, Grand Cayman KY1-9005 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 7.75%, due 7/15/2031)(1)
|
|
|
18,207
|
|
|
||
GEON Performance Solutions, ULC
75 Tideman Drive Orangeville, Ontario Canada, L9W 3K3 |
Chemicals
|
Revolving Line of Credit – $3,621 Commitment (7.96% (LIBOR+6.25% with 1.63% LIBOR floor), due10/25/2024)
|
First priority lien
|
|
|
—
|
|
||
|
|
First Lien Term Loan (7.96% (LIBOR+6.25% with 1.63% LIBOR floor), due10/25/2024)
|
First priority lien
|
|
|
31,207
|
|
||
Global Tel*Link Corporation
12021 Sunset Hills Road, Suite 100 Reston, Virginia 20190 |
Diversified Telecommunication Services
|
First Lien Term Loan (6.05% (LIBOR + 4.25%), due 11/29/2025)
|
First priority lien
|
|
|
9,490
|
|
||
|
|
Second Lien Term Loan (10.05% (LIBOR + 8.25%), due 11/29/2026)
|
Second priority lien
|
|
|
38,674
|
|
||
GlobalTranz Enterprises, Inc.
7350 N. Dobson Road, Suite 130 Scottsdale, Arizona 85256 |
Air Freight & Logistics
|
Second Lien Term Loan (10.04% (LIBOR + 8.25%), due 5/15/2027)
|
Second priority lien
|
|
|
12,385
|
|
||
H.I.G. ECI Merger Sub, Inc.
100 High Street, 16th Floor Boston, MA 02110 |
IT Services
|
Senior Secured Term Loan A (7.45% (LIBOR + 5.50% with 1.50% LIBOR floor), due 5/31/2023)
|
First priority lien
|
|
|
44,016
|
|
||
|
|
Senior Secured Term Loan B (12.45% (LIBOR + 10.50% with 1.50% LIBOR floor), due 5/31/2023)
|
First priority lien
|
|
|
29,900
|
|
||
Halcyon Loan Advisors Funding 2012-1 Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 0.00%, due 8/15/2023)(1)
|
|
|
—
|
|
|
Portfolio Company
|
Nature of its Principal Business
|
Title and Class of Securities Held
|
Collateral Held
|
% of Class Held
|
Fair Value (Equity)
|
Fair Value (Debt)
|
|||
|
|
|
|
|
|
(in thousands)
|
(in thousands)
|
||
Halcyon Loan Advisors Funding 2013-1 Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 0.00%, due 4/15/2025)(1)
|
|
|
1,347
|
|
|
||
Halcyon Loan Advisors Funding 2014-1 Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 0.00%, due 4/18/2026)(1)
|
|
|
1,244
|
|
|
||
Halcyon Loan Advisors Funding 2014-2 Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 0.00%, due 4/28/2025)(1)
|
|
|
—
|
|
|
||
Halcyon Loan Advisors Funding 2015-3 Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 5.48%, due 10/18/2027)(1)
|
|
|
23,126
|
|
|
||
HALYARD MD OPCO, LLC
19 West 44th St. Suite 1401 New York, NY 10036 |
Media
|
Revolving Line of Credit – $2,000 Commitment (9.94% (LIBOR + 8.00%), due 2/6/2020)
|
First priority lien
|
|
|
—
|
|
||
|
|
First Lien Term Loan (10.00% (LIBOR + 8.00% with 2.00% LIBOR floor), due 8/6/2023)
|
First priority lien
|
|
|
11,250
|
|
||
HarbourView CLO VII-R, Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 11.35%, due 7/18/2031)(1)
|
|
|
10,796
|
|
|
||
Help/Systems Holdings, Inc.
6455 City West ParkWay Eden Prairie, MN 55344 |
Software
|
First Lien Term Loan (6.55% (LIBOR + 4.75% with 1.00% LIBOR floor), due 11/19/2027)
|
First priority lien
|
|
|
8,416
|
|
||
|
|
Second Lien Term Loan (9.80% (LIBOR + 8.00% with 1.00% LIBOR floor), due 11/19/2027)
|
Second priority lien
|
|
|
17,157
|
|
||
Inpatient Care Management Company, LLC
19105 US Highway 41 North, Suite 300 Lutz, FL 33548 |
Health Care Providers & Services
|
Senior Secured Term Loan (9.95% (LIBOR + 8.00% with 1.00% LIBOR floor), due 6/8/2021)
|
First priority lien
|
|
|
16,568
|
|
||
Jefferson Mill CLO Ltd.
75 Fort Street, P.O. Box 1350 George Town, Grand Cayman KY1-1108 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 11.33%, due 10/20/2031)(1)
|
|
|
12,525
|
|
|
||
K&N Parent, Inc.
1455 Citrus Street Riverside, CA 92507 |
Auto Components
|
Second Lien Term Loan (10.55% (LIBOR + 8.75% with 1.00% LIBOR floor), due 10/21/2024)
|
Second priority lien
|
|
|
25,491
|
|
||
Keystone Acquisition Corp.
777 East Park Drive Harrisburg, PA 17111 |
Health Care Providers & Services
|
Second Lien Term Loan (11.19% (LIBOR + 9.25% with 1.00% LIBOR floor), due 5/1/2025)
|
Second priority lien
|
|
|
50,000
|
|
||
LCM XIV Ltd.
P.O. Box 1093, Queensgate House Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 12.43%, due 7/21/2031)(1)
|
|
|
19,141
|
|
|
Portfolio Company
|
Nature of its Principal Business
|
Title and Class of Securities Held
|
Collateral Held
|
% of Class Held
|
Fair Value (Equity)
|
Fair Value (Debt)
|
|||
|
|
|
|
|
|
(in thousands)
|
(in thousands)
|
||
Maverick Healthcare Equity, LLC
2546 West Birchwood Avenue Mesa, AZ 85202 |
Health Care Providers & Services
|
Preferred Units (10.00%, 1,250,000 units)
|
|
1.4
|
%
|
—
|
|
|
|
|
|
Class A Common Units (1,250,000 units)
|
|
1.4
|
%
|
—
|
|
|
|
Medusind Acquisition, Inc.
1450 Brickell Avenue, 31st Floor
Miami, FL 33131
|
Health Care Providers & Services
|
First Lien Term Loan (10.25% (LIBOR + 8.25% with 1.00% LIBOR floor), due 4/8/2024)
|
First priority lien
|
|
|
23,302
|
|
||
Mountain View CLO 2013-I Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 8.54%, due 10/15/2030)(1)
|
|
|
18,882
|
|
|
||
Mountain View CLO IX Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 17.73%, due 7/15/2031)(1)
|
|
|
29,285
|
|
|
||
Octagon Investment Partners XV, Ltd.
P.O. Box 1093, Boundary Hall Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 11.41%, due 7/19/2030)(1)
|
|
|
24,320
|
|
|
||
Octagon Investment Partners 18-R Ltd.
P.O. Box 1093, Queensgate House Cricket Square, Grand Cayman KY1-1102 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 14.15%, due 4/16/2031)(1)
|
|
|
21,652
|
|
|
||
Pearl Intermediate Parent LLC
1 Gorham Island, Suite 300 Westport, CT 06880 |
Health Care Providers & Services
|
Second Lien Term Loan (8.05% (LIBOR + 6.25%), due 2/15/2026)
|
Second priority lien
|
|
|
4,978
|
|
||
PeopleConnect Intermediate, LLC
500 108th Avenue, Suite 1600 Bellevue, WA 98004 |
Interactive Media & Services
|
Revolving Line of Credit – $1,000 Commitment (11.45% (LIBOR + 9.50% with 1.00% LIBOR floor), due 7/1/2020)
|
First priority lien
|
|
|
—
|
|
||
|
|
Senior Secured Term Loan A (8.45% (LIBOR + 6.50% with 1.00% LIBOR floor), due 7/1/2020)
|
First priority lien
|
|
|
17,328
|
|
||
|
|
Senior Secured Term Loan B (14.45% (LIBOR + 12.50% with 1.00% LIBOR floor), due 7/1/2020)
|
First priority lien
|
|
|
19,413
|
|
||
PG Dental Holdings New Jersey, LLC
33 Wood Avenue South, 6th Fl. Iselin, NJ 08830 |
Health Care Providers & Services
|
Delayed Draw Term Loan – $5,000 Commitment (10.00% (LIBOR + 7.25% with 2.75% LIBOR floor), due 5/31/2024)
|
First priority lien
|
|
|
2,000
|
|
||
|
|
Senior Secured Term Loan (10.00% (LIBOR + 7.25% with 2.75% LIBOR floor), due 5/31/2024)
|
First priority lien
|
|
|
22,530
|
|
||
PGX Holdings, Inc.
330 North Cutler Drive North Salt Lake, UT 84054 |
Diversified Consumer Services
|
Second Lien Term Loan (10.80% (LIBOR + 9.00% with 1.00% LIBOR floor), due 9/29/2021)
|
Second priority lien
|
|
|
85,332
|
|
||
PlayPower, Inc.
11515 Vanstory Drive, Suite 100 Huntersville, NC 28078 |
Leisure Products
|
First Lien Term Loan (7.46% (LIBOR + 5.50%), due 5/10/2026)
|
First priority lien
|
|
|
6,408
|
|
Portfolio Company
|
Nature of its Principal Business
|
Title and Class of Securities Held
|
Collateral Held
|
% of Class Held
|
Fair Value (Equity)
|
Fair Value (Debt)
|
|||
|
|
|
|
|
|
(in thousands)
|
(in thousands)
|
||
Research Now Group, Inc. & Survey Sampling International LLC
5800 Tennyson Parkway, Suite 600 Plano, TX 75024 |
Professional Services
|
First Lien Term Loan (7.41% (LIBOR + 5.50% with 1.00% LIBOR floor), due 12/20/2024)
|
First priority lien
|
|
|
9,800
|
|
||
|
|
Second Lien Term Loan (11.41% (LIBOR + 9.50% with 1.00% LIBOR floor), due 12/20/2025)
|
Second priority lien
|
|
|
50,000
|
|
||
RGIS Services, LLC
345 Park Avenue, 44th Floor New York, NY 10154 |
Commercial Services & Supplies
|
Senior Secured Term Loan (9.43% (LIBOR + 7.50% with 1.00% LIBOR floor), due 3/31/2023)
|
First priority lien
|
|
|
3,800
|
|
||
|
|
Senior Secured Term Loan (9.41% (LIBOR + 7.50% with 1.00% LIBOR floor), due 3/31/2023)
|
First priority lien
|
|
|
4,329
|
|
||
|
|
Senior Secured Term Loan (9.44% (LIBOR + 7.50% with 1.00% LIBOR floor), due 3/31/2023)
|
First priority lien
|
|
|
8,739
|
|
||
RME Group Holding Company
810 7th Avenue, 35th Floor New York, NY 10019 |
Media
|
Senior Secured Term Loan A (7.95% (LIBOR + 6.00% with 1.00% LIBOR floor), due 5/4/2022)
|
First priority lien
|
|
|
28,021
|
|
||
|
|
Senior Secured Term Loan B (12.95% (LIBOR + 11.00% with 1.00% LIBOR floor), due 5/4/2022)
|
First priority lien
|
|
|
22,474
|
|
||
Rocket Software, Inc.
275 Grove Street Newton, MA 02466 |
Software
|
Second Lien Term Loan (10.05% (LIBOR + 8.25%), due 11/27/2026)
|
Second priority lien
|
|
|
49,568
|
|
||
Romark WM-R Ltd.
75 Fort Street, P.O. Box 1350 George Town, Grand Cayman KY1-1108 Cayman Islands |
Structured Finance
|
Subordinated Structured Note (Residual Interest, current yield 11.68%, due 4/20/2031)(1)
|
|
|
15,618
|
|
|
||
Rosa Mexicano
264 West 40th Street New York, NY 10018 |
Hotels, Restaurants & Leisure
|
Revolving Line of Credit– $500 Commitment (9.45% (LIBOR + 7.50% with 1.50% LIBOR floor), due 3/29/2023)
|
First priority lien
|
|
|
—
|
|
||
|
|
Senior Secured Term Loan (9.45% (LIBOR + 7.50% with 1.50% LIBOR floor), due 3/29/2023)
|
First priority lien
|
|
|
21,310
|
|
||
Securus Technologies Holdings, Inc.
14651 Dallas Parkway, Suite 600 Dallas, TX 75254-8815 |
Communications Equipment
|
First Lien Term Loan (6.30% (LIBOR + 4.50% with 1.00% LIBOR floor), due 11/1/2024)
|
First priority lien
|
|
|
8,418
|
|
||
|
|
Second Lien Term Loan (10.05% (LIBOR + 8.25% with 1.00% LIBOR floor), due 11/01/2025)
|
Second priority lien
|
|
|
41,279
|
|
||
SEOTownCenter, Inc.
2600 W. Executive Pkwy. #200 Lehi, UT 84043 |
IT Services
|
Senior Secured Term Loan A (9.50% (LIBOR + 7.50% with 2.00% LIBOR floor), due 4/07/2023)
|
First priority lien
|
|
|
25,000
|
|
||
|
|
Senior Secured Term Loan B (14.50% (LIBOR + 12.50% with 2.00% LIBOR floor), due 4/07/2023)
|
First priority lien
|
|
|
19,000
|
|
||
Shutterfly, Inc.
2800 Bridge Parkway Redwood City, CA 94065 |
Internet & Direct Marketing Retail
|
First Lien Term Loan (7.80% (LIBOR + 6.00% with 1.00% LIBOR floor), due 9/25/2026)
|
First priority lien
|
|
|
2,400
|
|
||
|
|
First Lien Term Loan (7.94% (LIBOR + 6.00% with 1.00% LIBOR floor), due 9/25/2026)
|
First priority lien
|
|
|
16,208
|
|
||
SMG US Midco
300 Conshohocken State Rd., Suite 450 West Conshohocken, PA 19428 |
Hotels, Restaurants & Leisure
|
Second Lien Term Loan (8.80% (LIBOR + 7.00%), due 1/23/2026)
|
Second priority lien
|
|
|
7,500
|
|
||
Sorenson Communications, LLC
4192 South Riverboat Road Salt Lake City, Utah 84123 |
Diversified Telecommunication Services
|
First Lien Term Loan (8.44% (LIBOR + 6.50%), due 4/29/2024)
|
First priority lien
|
|
|
9,216
|
|
(1)
|
Certain investments that the Company has determined are not “qualifying assets” under Section 55(a) of the 1940 Act. Under the 1940 Act, we may not acquire any non-qualifying asset unless, at the time such acquisition is made, qualifying assets represent at least 70% of our total assets. The Company monitors the status of these assets on an ongoing basis. As of December 31, 2019, our non-qualifying assets as a percentage of total assets stood at 26.4%.
|
(2)
|
As of December 31, 2019, our percent interest in the residual profit interest for National Property REIT Corp. was equal to 8.3% of Senior Secured Term Loan A residual profit and 100.0% of Senior Secured Term Loan C residual profit, calculated in arrears.
|
•
|
The effect that an offering below NAV per share would have on our stockholders, including the potential dilution they would experience as a result of the offering;
|
•
|
The amount per share by which the offering price per share and the net proceeds per share are less than the most recently determined NAV per share;
|
•
|
The relationship of recent market prices of par common stock to NAV per share and the potential impact of the offering on the market price per share of our common stock;
|
•
|
Whether the estimated offering price would closely approximate the market value of our shares;
|
•
|
The potential market impact of being able to raise capital;
|
•
|
The nature of any new investors anticipated to acquire shares of common stock in the offering;
|
•
|
The anticipated rate of return on and quality, type and availability of investments; and
|
•
|
The leverage available to us.
|
•
|
existing stockholders who do not purchase any shares of common stock in the offering;
|
•
|
existing stockholders who purchase a relatively small amount of shares of common stock in the offering or a relatively large amount of shares of common stock in the offering; and
|
•
|
new investors who become stockholders by purchasing shares of common stock in the offering.
|
|
Prior to
Sale |
Example 1
5% Offering at 5% Discount |
Example 2
10% Offering at 10% Discount |
Example 3
25% Offering at 25% Discount |
Example 4
25% Offering at 100% Discount |
||||||||||||||||||
|
Below
NAV |
Following
Sale |
%
Change |
Following
Sale |
%
Change |
Following
Sale |
%
Change |
Following
Sale |
%
Change |
||||||||||||||
Offering Price
|
|
|
|
|
|
|
|
|
|
||||||||||||||
Price per Share to Public
|
|
|
$8.59
|
|
|
|
$8.13
|
|
|
|
$6.77
|
|
|
—
|
|
|
|||||||
Net Proceeds per Share to Issuer
|
|
|
$8.23
|
|
|
|
$7.79
|
|
|
|
$6.50
|
|
|
—
|
|
|
|||||||
Decrease to NAV
|
|
|
|
|
|
|
|
|
|
||||||||||||||
Total Shares Outstanding
|
368,000,000
|
|
386,400,000
|
|
5.00
|
%
|
404,800,000
|
|
10.00
|
%
|
460,000,000
|
|
25.00
|
%
|
460,000
|
|
25.00
|
%
|
|||||
NAV per Share
|
|
$8.66
|
|
|
$8.64
|
|
(0.24
|
)%
|
|
$8.58
|
|
(0.91
|
)%
|
|
$8.23
|
|
(5.00
|
)%
|
6.93
|
|
(20.00
|
)%
|
|
Dilution to Stockholder
|
|
|
|
|
|
|
|
|
|
||||||||||||||
Shares Held by Stockholder A
|
368,000
|
|
368,000
|
|
—
|
|
368,000
|
|
—
|
|
368,000
|
|
—
|
|
368,000
|
|
—
|
|
|||||
Percentage Held by Stockholder A
|
0.10
|
%
|
0.10
|
%
|
(4.76
|
)%
|
0.09
|
%
|
(9.09
|
)%
|
0.08
|
%
|
(20.00
|
)%
|
0.08
|
%
|
(20.00
|
)%
|
|||||
Total Asset Values
|
|
|
|
|
|
|
|
|
|
||||||||||||||
Total NAV Held by Stockholder A
|
|
$3,187,000
|
|
|
$3,179,412
|
|
(0.24
|
)%
|
|
$3,158,027
|
|
(0.91
|
)%
|
|
$3,027,650
|
|
(5.00
|
)%
|
|
$2,549,600
|
|
(20.00
|
)%
|
Total Investment by Stockholder A (Assumed to be $8.66 per Share on Shares Held Prior to Sale)
|
|
|
$3,187,000
|
|
|
|
$3,187,000
|
|
|
|
$3,187,000
|
|
|
|
$3,187,000
|
|
|
||||||
Total Dilution to Stockholder A (Total NAV Less Total Investment)
|
|
$(7,588)
|
|
$(28,972)
|
|
$(159,350)
|
|
$(637,400)
|
|
||||||||||||||
Per Share Amounts
|
|
|
|
|
|
|
|
|
|
||||||||||||||
NAV per Share Held by Stockholder A
|
|
|
$8.64
|
|
|
|
$8.58
|
|
|
|
$8.23
|
|
|
|
$6.93
|
|
|
||||||
Investment per Share Held by Stockholder A (Assumed to be $8.66 per Share on Shares Held Prior to Sale)
|
|
$8.66
|
|
|
$8.66
|
|
|
|
$8.66
|
|
|
|
$8.66
|
|
|
|
$8.66
|
|
|
||||
Dilution per Share Held by Stockholder A (NAV per Share Less Investment per Share)
|
|
$(0.02)
|
|
$(0.08)
|
|
$(0.43)
|
|
$(1.73)
|
|
||||||||||||||
Percentage Dilution to Stockholder A (Dilution per Share Divided by Investment per Share)
|
|
|
(0.24
|
)%
|
|
(0.91
|
)%
|
|
(5.00
|
)%
|
|
(20.00
|
)%
|
|
|
50 % Participation
|
150% Participation
|
||||||||||
|
Prior to
Sale Below NAV |
Following
Sale |
%
Change |
Following
Sale |
%
Change |
||||||||
Offering Price
|
|
|
|
|
|
||||||||
Price per Share to Public
|
|
|
$6.77
|
|
|
|
$6.77
|
|
|
||||
Net Proceeds per Share to Issuer
|
|
|
$6.50
|
|
|
|
$6.50
|
|
|
||||
Decrease to NAV
|
|
|
|
|
|
||||||||
Total Shares Outstanding
|
368,000,000
|
|
460,000,000
|
|
25.00
|
%
|
460,000,000
|
|
25.00
|
%
|
|||
NAV per Share
|
|
$8.66
|
|
|
$8.23
|
|
(5.00
|
)%
|
|
$8.23
|
|
(5.00
|
)%
|
Dilution to Nonparticipating Stockholder
|
|
|
|
|
|
||||||||
Shares Held by Stockholder A
|
368,000
|
|
414,000
|
|
12.50
|
%
|
506,000
|
|
37.50
|
%
|
|||
Percentage Held by Stockholder A
|
0.10
|
%
|
0.09
|
%
|
(10.00
|
)%
|
0.11
|
%
|
10.00
|
%
|
|||
Total NAV Held by Stockholder A
|
|
$8.66
|
|
|
$3,406,106
|
|
6.88
|
%
|
|
$4,163,019
|
|
30.63
|
%
|
Total Investment by Stockholder A (Assumed to be $8.66 per Share) on Shares Held Prior to Sale
|
|
|
$3,498,413
|
|
|
|
$4,121,238
|
|
|
||||
Total Dilution to Stockholder A (Total NAV Less Total Investment)
|
|
$(92,307)
|
|
|
$41,781
|
|
|
||||||
NAV per Share Held by Stockholder A after offering
|
|
|
$8.23
|
|
|
|
$8.23
|
|
|
||||
Investment per Share Held by Stockholder A (Assumed to be $8.66 per Share on Shares Held Prior to Sale)
|
|
|
$8.45
|
|
|
|
$8.14
|
|
|
||||
Dilution per Share Held by Stockholder A (NAV per Share Less
Investment per Share) |
|
$(0.22)
|
|
$0.09
|
|
||||||||
Percentage Dilution to Stockholder A (Dilution per Share Divided by Investment per Share)
|
|
|
(2.64
|
)%
|
|
1.01
|
%
|
|
|
|
|
Example 1
5% Offering
at 5% Discount
|
|
Example 2
10% Offering
at 10% Discount
|
|
Example 3
25% Offering
at 25% Discount
|
|||||||||||||||||
|
|
Prior to Sale Below NAV
|
|
Following Sale
|
|
% Change
|
|
Following Sale
|
|
% Change
|
|
Following Sale
|
|
% Change
|
|||||||||||
Offering Price
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|||||||||||
Price per Share to Public
|
|
|
|
|
$
|
8.59
|
|
|
|
|
|
|
$8.13
|
|
|
|
|
|
|
$6.77
|
|
|
|
|
|
Net Proceeds per Share to Issuer
|
|
|
|
|
$
|
8.23
|
|
|
|
|
|
|
$7.79
|
|
|
|
|
|
|
$6.50
|
|
|
|
|
|
Decrease to NAV
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|||||||||||
Total Shares Outstanding
|
|
368,000,000
|
|
|
386,400,000
|
|
|
5.00
|
%
|
|
404,800,000
|
|
|
10.00
|
%
|
|
460,000,000
|
|
|
25.00
|
%
|
||||
NAV per Share
|
|
$
|
8.66
|
|
|
$
|
8.64
|
|
|
(0.24
|
)%
|
|
$
|
8.58
|
|
|
(0.91
|
)%
|
|
$
|
8.23
|
|
|
(5.00
|
)%
|
Dilution to Participating Stockholder
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|||||||||||
Shares Held by Stockholder A
|
|
—
|
|
|
18,400
|
|
|
|
|
|
36,800
|
|
|
|
|
|
92,000
|
|
|
|
|
||||
Percentage Held by Stockholder A
|
|
—
|
%
|
|
—
|
%
|
|
|
|
|
0.01
|
%
|
|
|
|
|
0.02
|
%
|
|
|
|
||||
Total NAV Held by Stockholder A
|
|
$
|
—
|
|
|
$
|
158,971
|
|
|
|
|
|
$
|
315,803
|
|
|
|
|
|
$
|
756,913
|
|
|
|
|
Total investment by Stockholder A
|
|
|
|
|
$
|
158,055
|
|
|
|
|
|
$
|
299,146
|
|
|
|
|
|
$
|
622,826
|
|
|
|
|
|
Total Dilution to Stockholder A (Total NAV Less Total Investment)
|
|
|
|
|
$
|
916
|
|
|
|
|
|
$
|
16,657
|
|
|
|
|
|
$
|
134,087
|
|
|
|
|
|
NAV per Share Held by Stockholder A
|
|
|
|
|
$
|
8.59
|
|
|
|
|
|
$
|
8.13
|
|
|
|
|
|
$
|
6.77
|
|
|
|
|
|
Investment per Share Held by Stockholder A
|
|
|
|
|
$
|
8.64
|
|
|
|
|
|
$
|
8.58
|
|
|
|
|
|
$
|
8.23
|
|
|
|
|
|
Dilution per Share Held by Stockholder A (NAV per Share Less Investment per Share)
|
|
|
|
|
$
|
(0.05
|
)
|
|
|
|
|
$
|
(0.45
|
)
|
|
|
|
|
$
|
(1.46
|
)
|
|
|
|
|
Percentage Dilution to Stockholder A (Dilution per Share Divided by Investment per Share)
|
|
|
|
|
|
|
|
0.58
|
%
|
|
|
|
|
5.57
|
%
|
|
|
|
|
21.53
|
%
|
•
|
A citizen or individual resident of the United States;
|
•
|
A corporation, or other entity treated as a corporation for U.S. federal income tax purposes, created or organized in or under the laws of the United States or any state thereof or the District of Columbia;
|
•
|
An estate, the income of which is subject to U.S. federal income taxation regardless of its source; or
|
•
|
A trust if (1) a U.S. court is able to exercise primary supervision over the administration of such trust and one or more U.S. persons have the authority to control all substantial decisions of the trust or (2) it has a valid election in place to be treated as a U.S. person.
|
•
|
qualify to be treated as a business development company or be registered as a management investment company under the 1940 Act at all times during each taxable year;
|
•
|
derive in each taxable year at least 90% of our gross income from dividends, interest, payments with respect to certain securities loans, gains from the sale or other disposition of stock or other securities or currencies or other income derived with respect to our business of investing in such stock, securities or currencies and net income derived from an interest in a “qualified publicly traded partnership” (as defined in the Code) (the 90% Income Test); and
|
•
|
diversify our holdings so that at the end of each quarter of the taxable year:
|
◦
|
at least 50% of the value of our assets consists of cash, cash equivalents, U.S. government securities, securities of other RICs, and other securities if such other securities of any one issuer do not represent more than 5% of the value of our assets and do not represent more than 10% of the outstanding voting securities of the issuer (which for these purposes includes the equity securities of a “qualified publicly traded partnership”); and
|
◦
|
no more than 25% of the value of our assets is invested in the securities, other than U.S. government securities or securities of other RICs, (i) of one issuer, (ii) of two or more issuers that are controlled, as determined under applicable tax rules, by us and that are engaged in the same or similar or related trades or businesses or (iii) of one or more “qualified publicly traded partnerships.”
|
•
|
one-tenth or more but less than one-third,
|
•
|
one-third or more but less than a majority, or
|
•
|
a majority or more of all voting power.
|
•
|
any person who beneficially owns, directly or indirectly, 10% or more of the voting power of the corporation’s shares; or
|
•
|
an affiliate or associate of the corporation who, at any time within the two-year period prior to the date in question, was the beneficial owner, directly or indirectly, of 10% or more of the voting power of the then outstanding voting stock of the corporation.
|
•
|
80% of the votes entitled to be cast by holders of outstanding shares of voting stock of the corporation; and
|
•
|
two-thirds of the votes entitled to be cast by holders of voting stock of the corporation other than shares held by the interested stockholder with whom or with whose affiliate the business combination is to be effected or held by an affiliate or associate of the interested stockholder.
|
•
|
the designation and number of shares of such series;
|
•
|
the rate and time at which, and the preferences and conditions under which, any dividends will be paid on shares of such series, the cumulative nature of such dividends and whether such dividends have any participating feature;
|
•
|
any provisions relating to convertibility or exchangeability of the shares of such series;
|
•
|
the rights and preferences, if any, of holders of shares of such series upon our liquidation, dissolution or winding up of our affairs;
|
•
|
the voting powers of the holders of shares of such series;
|
•
|
any provisions relating to the redemption of the shares of such series;
|
•
|
any limitations on our ability to pay dividends or make distributions on, or acquire or redeem, other securities while shares of such series are outstanding;
|
•
|
any conditions or restrictions on our ability to issue additional shares of such series or other securities;
|
•
|
if applicable, a discussion of certain U.S. Federal income tax considerations; and
|
•
|
any other relative power, preferences and participating, optional or special rights of shares of such series, and the qualifications, limitations or restrictions thereof.
|
•
|
the designation or title of the series of debt securities;
|
•
|
the total principal amount of the series of debt securities;
|
•
|
the percentage of the principal amount at which the series of debt securities will be offered;
|
•
|
the date or dates on which principal will be payable;
|
•
|
the rate or rates (which may be either fixed or variable) and/or the method of determining such rate or rates of interest, if any;
|
•
|
the date or dates from which any interest will accrue, or the method of determining such date or dates, and the date or dates on which any interest will be payable;
|
•
|
the terms for redemption, extension or early repayment, if any;
|
•
|
the currencies in which the series of debt securities are issued and payable;
|
•
|
whether the amount of payments of principal, premium or interest, if any, on a series of debt securities will be determined with reference to an index, formula or other method (which could be based on one or more currencies, commodities, equity indices or other indices) and how these amounts will be determined;
|
•
|
the place or places, if any, other than or in addition to The City of New York, of payment, transfer, conversion and/or exchange of the debt securities;
|
•
|
the denominations in which the offered debt securities will be issued;
|
•
|
the provision for any sinking fund;
|
•
|
any restrictive covenants;
|
•
|
any events of default;
|
•
|
whether the series of debt securities are issuable in certificated form;
|
•
|
any provisions for defeasance or covenant defeasance;
|
•
|
any special federal income tax implications, including, if applicable, federal income tax considerations relating to original issue discount;
|
•
|
whether and under what circumstances we will pay additional amounts in respect of any tax, assessment or governmental charge and, if so, whether we will have the option to redeem the debt securities rather than pay the additional amounts (and the terms of this option);
|
•
|
any provisions for convertibility or exchangeability of the debt securities into or for any other securities;
|
•
|
whether the debt securities are subject to subordination and the terms of such subordination;
|
•
|
the listing, if any, on a securities exchange; and
|
•
|
any other terms.
|
•
|
how it handles securities payments and notices,
|
•
|
whether it imposes fees or charges,
|
•
|
how it would handle a request for the holders’ consent, if ever required,
|
•
|
whether and how you can instruct it to send you debt securities registered in your own name so you can be a holder, if that is permitted in the future for a particular series of debt securities,
|
•
|
how it would exercise rights under the debt securities if there were a default or other event triggering the need for holders to act to protect their interests, and
|
•
|
if the debt securities are in book-entry form, how the depositary’s rules and procedures will affect these matters.
|
•
|
An investor will be an indirect holder and must look to his or her own bank or broker for payments on the debt securities and protection of his or her legal rights relating to the debt securities, as we describe under “Issuance of Securities in Registered Form” above.
|
•
|
An investor may not be able to sell interests in the debt securities to some insurance companies and other institutions that are required by law to own their securities in non-book-entry form.
|
•
|
An investor may not be able to pledge his or her interest in a global security in circumstances where certificates representing the debt securities must be delivered to the lender or other beneficiary of the pledge in order for the pledge to be effective.
|
•
|
The depositary’s policies, which may change from time to time, will govern payments, transfers, exchanges and other matters relating to an investor’s interest in a global security. We and the trustee have no responsibility for any aspect of the depositary’s actions or for its records of ownership interests in a global security. We and the trustee also do not supervise the depositary in any way.
|
•
|
If we redeem less than all the debt securities of a particular series being redeemed, DTC’s practice is to determine by lot the amount to be redeemed from each of its participants holding that series.
|
•
|
An investor is required to give notice of exercise of any option to elect repayment of its debt securities, through its participant, to the applicable trustee and to deliver the related debt securities by causing its participant to transfer its interest in those debt securities, on DTC’s records, to the applicable trustee.
|
•
|
DTC requires that those who purchase and sell interests in a global security deposited in its book-entry system use immediately available funds. Your broker or bank may also require you to use immediately available funds when purchasing or selling interests in a global security.
|
•
|
Financial institutions that participate in the depositary’s book-entry system, and through which an investor holds its interest in a global security, may also have their own policies affecting payments, notices and other matters relating to the debt securities. There may be more than one financial intermediary in the chain of ownership for an investor. We do not monitor and are not responsible for the actions of any of those intermediaries.
|
•
|
if the depositary notifies us that it is unwilling, unable or no longer qualified to continue as depositary for that global security, and we do not appoint another institution to act as depositary within 60 days,
|
•
|
if we notify the trustee that we wish to terminate that global security, or
|
•
|
if an event of default has occurred with regard to the debt securities represented by that global security and has not been cured or waived; we discuss defaults later under “Events of Default.”
|
•
|
We do not pay the principal of, or any premium on, a debt security of the series on its due date.
|
•
|
We do not pay interest on a debt security of the series within 30 days of its due date.
|
•
|
We do not deposit any sinking fund payment in respect of debt securities of the series on its due date.
|
•
|
We remain in breach of a covenant in respect of debt securities of the series for 90 days after we receive a written notice of default stating we are in breach. The notice must be sent by either the trustee or holders of at least 25% of the principal amount of debt securities of the series.
|
•
|
We file for bankruptcy or certain other events of bankruptcy, insolvency or reorganization occur.
|
•
|
Any other Event of Default in respect of debt securities of the series described in the prospectus supplement occurs.
|
•
|
You must give your trustee written notice that an Event of Default has occurred and remains uncured.
|
•
|
The holders of at least 25% in principal amount of all outstanding debt securities of the relevant series must make a written request that the trustee take action because of the default and must offer reasonable indemnity to the trustee against the cost and other liabilities of taking that action.
|
•
|
The trustee must not have taken action for 60 days after receipt of the above notice and offer of indemnity.
|
•
|
The holders of a majority in principal amount of the debt securities must not have given the trustee a direction inconsistent with the above notice during that 60-day period.
|
•
|
the payment of principal, any premium or interest or
|
•
|
in respect of a covenant that cannot be modified or amended without the consent of each holder.
|
•
|
Where we merge out of existence or sell our assets, the resulting entity must agree to be legally responsible for our obligations under the debt securities.
|
•
|
The merger or sale of assets must not cause a default on the debt securities and we must not already be in default (unless the merger or sale would cure the default). For purposes of this no-default test, a default would include an Event of Default that has occurred and has not been cured, as described under “Events of Default” above. A default for this purpose would also include any event that would be an Event of Default if the requirements for giving us a notice of default or our default having to exist for a specific period of time were disregarded.
|
•
|
Under the indenture, no merger or sale of assets may be made if as a result any of our property or assets or any property or assets of one of our subsidiaries, if any, would become subject to any mortgage, lien or other encumbrance unless either (i) the mortgage, lien or other encumbrance could be created pursuant to the limitation on liens covenant in the indenture without equally and ratably securing the indenture securities or (ii) the indenture securities are secured equally and ratably with or prior to the debt secured by the mortgage, lien or other encumbrance.
|
•
|
We must deliver certain certificates and documents to the trustee.
|
•
|
We must satisfy any other requirements specified in the prospectus supplement relating to a particular series of debt securities.
|
•
|
change the stated maturity of the principal of, or interest on, a debt security;
|
•
|
reduce any amounts due on a debt security;
|
•
|
reduce the amount of principal payable upon acceleration of the maturity of a security following a default;
|
•
|
adversely affect any right of repayment at the holder’s option;
|
•
|
change the place (except as otherwise described in the prospectus or prospectus supplement) or currency of payment on a debt security;
|
•
|
impair your right to sue for payment;
|
•
|
adversely affect any right to convert or exchange a debt security in accordance with its terms;
|
•
|
modify the subordination provisions in the indenture in a manner that is adverse to holders of the debt securities;
|
•
|
reduce the percentage of holders of debt securities whose consent is needed to modify or amend the indenture;
|
•
|
reduce the percentage of holders of debt securities whose consent is needed to waive compliance with certain provisions of the indenture or to waive certain defaults;
|
•
|
modify any other aspect of the provisions of the indenture dealing with supplemental indentures, modification and waiver of past defaults, changes to the quorum or voting requirements or the waiver of certain covenants; and
|
•
|
change any obligation we have to pay additional amounts.
|
•
|
If the change affects only one series of debt securities, it must be approved by the holders of a majority in principal amount of that series.
|
•
|
If the change affects more than one series of debt securities issued under the same indenture, it must be approved by the holders of a majority in principal amount of all of the series affected by the change, with all affected series voting together as one class for this purpose.
|
•
|
For original issue discount securities, we will use the principal amount that would be due and payable on the voting date if the maturity of these debt securities were accelerated to that date because of a default.
|
•
|
For debt securities whose principal amount is not known (for example, because it is based on an index), we will use a special rule for that debt security described in the prospectus supplement.
|
•
|
For debt securities denominated in one or more foreign currencies, we will use the U.S. dollar equivalent.
|
•
|
If the debt securities of the particular series are denominated in U.S. dollars, we must deposit in trust for the benefit of all holders of such debt securities a combination of money and United States government or United States government agency notes or bonds that will generate enough cash to make interest, principal and any other payments on the debt securities on their various due dates.
|
•
|
We must deliver to the trustee a legal opinion of our counsel confirming that, under current United States federal income tax law, we may make the above deposit without causing you to be taxed on the debt securities any differently than if we did not make the deposit and just repaid the debt securities ourselves at maturity.
|
•
|
We must deliver to the trustee a legal opinion of our counsel stating that the above deposit does not require registration by us under the 1940 Act, as amended, and a legal opinion and officers’ certificate stating that all conditions precedent to covenant defeasance have been complied with.
|
•
|
If the debt securities of the particular series are denominated in U.S. dollars, we must deposit in trust for the benefit of all holders of such debt securities a combination of money and United States government or United States government agency notes or bonds that will generate enough cash to make interest, principal and any other payments on the debt securities on their various due dates.
|
•
|
We must deliver to the trustee a legal opinion confirming that there has been a change in current United States federal tax law or an IRS ruling that allows us to make the above deposit without causing you to be taxed on the debt securities any differently than if we did not make the deposit and just repaid the debt securities ourselves at maturity. Under current United States federal tax law, the deposit and our legal release from the debt securities would be treated as though we paid you your share of the cash and notes or bonds at the time the cash and notes or bonds were deposited in trust in exchange for your debt securities and you would recognize gain or loss on the debt securities at the time of the deposit.
|
•
|
We must deliver to the trustee a legal opinion of our counsel stating that the above deposit does not require registration by us under the 1940 Act, as amended, and a legal opinion and officers’ certificate stating that all conditions precedent to defeasance have been complied with.
|
•
|
only in fully registered certificated form,
|
•
|
without interest coupons, and
|
•
|
unless we indicate otherwise in the prospectus supplement, in denominations of $1,000 and amounts that are multiples of $1,000.
|
•
|
our indebtedness (including indebtedness of others guaranteed by us), whenever created, incurred, assumed or guaranteed, for money borrowed (other than indenture securities issued under the indenture and denominated as subordinated debt securities), unless in the instrument creating or evidencing the same or under which the same is outstanding it is provided that this indebtedness is not senior or prior in right of payment to the subordinated debt securities, and
|
•
|
renewals, extensions, modifications and refinancings of any of this indebtedness.
|
•
|
the period of time the offering would remain open (which shall be open a minimum number of days such that all record holders would be eligible to participate in the offering and shall not be open longer than 120 days);
|
•
|
the title of such subscription rights;
|
•
|
the exercise price for such subscription rights (or method of calculation thereof);
|
•
|
the ratio of the offering;
|
•
|
the number of such subscription rights issued to each Holder;
|
•
|
the extent to which such subscription rights are transferable and the market on which they may be traded if they are transferable;
|
•
|
if applicable, a discussion of certain U.S. federal income tax considerations applicable to the issuance or exercise of such subscription rights;
|
•
|
the date on which the right to exercise such subscription rights shall commence, and the date on which such right shall expire (subject to any extension);
|
•
|
the extent to which such subscription rights include an over-subscription privilege with respect to unsubscribed securities and the terms of such over-subscription privilege;
|
•
|
any termination right we may have in connection with such subscription rights offering; and
|
•
|
any other terms of such subscription rights, including exercise, settlement and other procedures and limitations relating to the transfer and exercise of such subscription rights.
|
•
|
the title of such warrants;
|
•
|
the aggregate number of such warrants;
|
•
|
the price or prices at which such warrants will be issued;
|
•
|
the currency or currencies, including composite currencies, in which the price of such warrants may be payable;
|
•
|
the number of shares of common stock, preferred stock or debt securities issuable upon exercise of such warrants;
|
•
|
the price at which and the currency or currencies, including composite currencies, in which the shares of common stock, preferred stock or debt securities purchasable upon exercise of such warrants may be purchased;
|
•
|
the date on which the right to exercise such warrants will commence and the date on which such right will expire;
|
•
|
whether such warrants will be issued in registered form or bearer form;
|
•
|
if applicable, the minimum or maximum amount of such warrants which may be exercised at any one time;
|
•
|
if applicable, the number of such warrants issued with each share of common stock, preferred stock or debt securities;
|
•
|
if applicable, the date on and after which such warrants and the related shares of common stock, preferred stock or debt securities will be separately transferable;
|
•
|
information with respect to book-entry procedures, if any;
|
•
|
if applicable, a discussion of certain U.S. federal income tax considerations; and
|
•
|
any other terms of such warrants, including terms, procedures and limitations relating to the exchange and exercise of such warrants.
|
•
|
the designation and terms of the units and of the securities comprising the units, including whether and under what circumstances the securities comprising the units may be held or transferred separately;
|
•
|
a description of the terms of any unit agreement governing the units;
|
•
|
a description of the provisions for the payment, settlement, transfer or exchange of the units; and
|
•
|
whether the units will be issued in fully registered or global form.
|
Exhibit No.
|
|
Description
|
(d)(7)
|
|
Indenture dated as of February 16, 2012, by and between the Registrant and American Stock Transfer & Trust Company, LLC, as Trustee(10)
|
(d)(8)
|
|
First Supplemental Indenture dated as of March 1, 2012, to the Indenture dated as of February 16, 2012, by and between the Registrant and American Stock Transfer & Trust Company, LLC, as Trustee and Form of 7.00% Prospect Capital InterNote® due 2022(10)
|
(d)(9)
|
|
Second Supplemental Indenture dated as of March 8, 2012, to the Indenture dated as of February 16, 2012, by and between the Registrant and American Stock Transfer & Trust Company, LLC, as Trustee(11)
|
(d)(10)
|
|
Joinder Supplemental Indenture dated as of March 8, 2012, to the Indenture dated as of February 16, 2012, by and among the Registrant, American Stock Transfer & Trust Company, LLC, as Original Trustee, and U.S. Bank National Association, as Series Trustee and Form of 6.900% Prospect Capital InterNote® due 2022(11)
|
(d)(11)
|
|
Agreement of Resignation, Appointment and Acceptance dated as of March 12, 2012, by and among the Registrant, American Stock Transfer & Trust Company, LLC, as Retiring Trustee, and U.S. Bank National Association, as Successor Trustee (12)
|
(d)(12)
|
|
Third Supplemental Indenture dated as of April 5, 2012, to the Indenture dated as of February 16, 2012, by and between the Registrant and U.S. Bank National Association, as Successor Trustee pursuant to the Agreement of Resignation, Appointment and Acceptance dated as of March 12, 2012, by and among the Registrant, American Stock Transfer & Trust Company, LLC, as Retiring Trustee, and U.S. Bank National Association, as Successor Trustee (the “U.S. Bank Indenture”) and Form of 6.850% Prospect Capital InterNote® due 2022(14)
|
(d)(13)
|
|
Fourth Supplemental Indenture dated as of April 12, 2012, to the U.S. Bank Indenture and Form of 6.700% Prospect Capital InterNote® due 2022(15)
|
(d)(14)
|
|
Indenture dated as of April 16, 2012 relating to the 5.375% Senior Convertible Notes, by and between the Registrant and American Stock Transfer & Trust Company, as Trustee(16)
|
(d)(15)
|
|
Form of 5.375% Senior Convertible Note due 2017(17)
|
(d)(16)
|
|
Fifth Supplemental Indenture dated as of April 26, 2012, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2022(18)
|
(d)(17)
|
|
Indenture dated as of August 14, 2012 relating to the 5.75% Senior Convertible Notes, by and between the Registrant and American Stock Transfer & Trust Company, as Trustee(19)
|
(d)(18)
|
|
Form of 5.75% Senior Convertible Note due 2018(20)
|
(d)(19)
|
|
Nineteenth Supplemental Indenture dated as of September 27, 2012, to the U.S. Bank Indenture and Form of 5.850% Prospect Capital InterNote® due 2019(21)
|
(d)(20)
|
|
Twentieth Supplemental Indenture dated as of October 4, 2012, to the U.S. Bank Indenture and Form of 5.700% Prospect Capital InterNote® due 2019(22)
|
(d)(21)
|
|
Twenty-First Supplemental Indenture dated as of November 23, 2012, to the U.S. Bank Indenture and Form of 5.125% Prospect Capital InterNote® due 2019(23)
|
(d)(22)
|
|
Twenty-Second Supplemental Indenture dated as of November 23, 2012, to the U.S. Bank Indenture and Form of 6.625% Prospect Capital InterNote® due 2042(23)
|
(d)(23)
|
|
Twenty-Third Supplemental Indenture dated as of November 29, 2012, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2019(24)
|
(d)(24)
|
|
Twenty-Fourth Supplemental Indenture dated as of November 29, 2012, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2032(24)
|
(d)(25)
|
|
Twenty-Fifth Supplemental Indenture dated as of November 29, 2012, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2042(24)
|
(d)(26)
|
|
Twenty-Sixth Supplemental Indenture dated as of December 6, 2012, to the U.S. Bank Indenture and Form of 4.875% Prospect Capital InterNote® due 2019(25)
|
(d)(27)
|
|
Twenty-Eighth Supplemental Indenture dated as of December 6, 2012, to the U.S. Bank Indenture and Form of 6.375% Prospect Capital InterNote® due 2042(25)
|
(d)(28)
|
|
Twenty-Ninth Supplemental Indenture dated as of December 13, 2012, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2019(26)
|
(d)(29)
|
|
Thirty-First Supplemental Indenture dated as of December 13, 2012, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2042(26)
|
(d)(30)
|
|
Thirty-Second Supplemental Indenture dated as of December 20, 2012, to the U.S. Bank Indenture and Form of 4.625% Prospect Capital InterNote® due 2019(27)
|
(d)(31)
|
|
Thirty-Fourth Supplemental Indenture dated as of December 20, 2012, to the U.S. Bank Indenture and Form of 6.125% Prospect Capital InterNote® due 2042(27)
|
Exhibit No.
|
|
Description
|
(d)(32)
|
|
Indenture dated as of December 21, 2012, by and between the Registrant and American Stock Transfer & Trust Company, as Trustee and Form of Global Note 5.875% Convertible Senior Note Due 2019(28)
|
(d)(33)
|
|
Thirty-Fifth Supplemental Indenture dated as of December 28, 2012, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2019(29)
|
(d)(34)
|
|
Thirty-Sixth Supplemental Indenture dated as of December 28, 2012, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2030(29)
|
(d)(35)
|
|
Thirty-Seventh Supplemental Indenture dated as of December 28, 2012, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2042(29)
|
(d)(36)
|
|
Thirty-Eighth Supplemental Indenture dated as of January 4, 2013, to the U.S. Bank Indenture and Form of 4.375% Prospect Capital InterNote® due 2020(30)
|
(d)(37)
|
|
Thirty-Ninth Supplemental Indenture dated as of January 4, 2013, to the U.S. Bank Indenture and Form of 4.875% Prospect Capital InterNote® due 2031(30)
|
(d)(38)
|
|
Fortieth Supplemental Indenture dated as of January 4, 2013, to the U.S. Bank Indenture and Form of 5.875% Prospect Capital InterNote® due 2043(30)
|
(d)(39)
|
|
Forty-First Supplemental Indenture dated as of January 10, 2013, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2020(31)
|
(d)(40)
|
|
Forty-Second Supplemental Indenture dated as of January 10, 2013, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2031(31)
|
(d)(41)
|
|
Forty-Third Supplemental Indenture dated as of January 10, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2043(31)
|
(d)(42)
|
|
Forty-Fourth Supplemental Indenture dated as of January 17, 2013, to the U.S. Bank Indenture and Form of 4.125% Prospect Capital InterNote® due 2020(32)
|
(d)(43)
|
|
Forty-Fifth Supplemental Indenture dated as of January 17, 2013, to the U.S. Bank Indenture and Form of 4.625% Prospect Capital InterNote® due 2031(32)
|
(d)(44)
|
|
Forty-Sixth Supplemental Indenture dated as of January 17, 2013, to the U.S. Bank Indenture and Form of 5.625% Prospect Capital InterNote® due 2043(32)
|
(d)(45)
|
|
Forty-Seventh Supplemental Indenture dated as of January 25, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2020(33)
|
(d)(46)
|
|
Forty-Eighth Supplemental Indenture dated as of January 25, 2013, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2031(33)
|
(d)(47)
|
|
Forty-Ninth Supplemental Indenture dated as of January 25, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2043(33)
|
(d)(48)
|
|
Fiftieth Supplemental Indenture dated as of January 31, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2020(34)
|
(d)(49)
|
|
Fifty-First Supplemental Indenture dated as of January 31, 2013, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2031(34)
|
(d)(50)
|
|
Fifty-Second Supplemental Indenture dated as of January 31, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2043(34)
|
(d)(51)
|
|
Fifty-Third Supplemental Indenture dated as of February 7, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2020(35)
|
(d)(52)
|
|
Fifty-Fourth Supplemental Indenture dated as of February 7, 2013, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2031(35)
|
(d)(53)
|
|
Fifty-Fifth Supplemental Indenture dated as of February 7, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2043(35)
|
(d)(54)
|
|
Fifty-Sixth Supplemental Indenture dated as of February 22, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2020(36)
|
(d)(55)
|
|
Fifty-Seventh Supplemental Indenture dated as of February 22, 2013, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2031(36)
|
(d)(56)
|
|
Fifty-Eighth Supplemental Indenture dated as of February 22, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2043(36)
|
(d)(57)
|
|
Fifty-Ninth Supplemental Indenture dated as of February 28, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2020(37)
|
(d)(58)
|
|
Sixtieth Supplemental Indenture dated as of February 28, 2013, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2031(37)
|
Exhibit No.
|
|
Description
|
(d)(59)
|
|
Sixty-First Supplemental Indenture dated as of February 28, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2043(37)
|
(d)(60)
|
|
Sixty-Second Supplemental Indenture dated as of March 7, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2020(38)
|
(d)(61)
|
|
Sixty-Third Supplemental Indenture dated as of March 7, 2013, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2031(38)
|
(d)(62)
|
|
Sixty-Fourth Supplemental Indenture dated as of March 7, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2043(38)
|
(d)(63)
|
|
Sixty-Fifth Supplemental Indenture dated as of March 14, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2020(39)
|
(d)(64)
|
|
Sixty-Sixth Supplemental Indenture dated as of March 14, 2013, to the U.S. Bank Indenture and Form of 4.125% to 6.000% Prospect Capital InterNote® due 2031(39)
|
(d)(65)
|
|
Sixty-Seventh Supplemental Indenture dated as of March 14, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2043(39)
|
(d)(66)
|
|
Sixty-Eighth Supplemental Indenture dated as of March 14, 2013, to the U.S. Bank Indenture and Form of Floating Prospect Capital InterNote® due 2023(39)
|
(d)(67)
|
|
Supplemental Indenture dated as of March 15, 2013, to the U.S. Bank Indenture(40)
|
(d)(68)
|
|
Form of Global Note 5.875% Senior Note due 2023(41)
|
(d)(69)
|
|
Sixty-Ninth Supplemental Indenture dated as of March 21, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2020(42)
|
(d)(70)
|
|
Seventieth Supplemental Indenture dated as of March 21, 2013, to the U.S. Bank Indenture and Form of 4.125% to 6.000% Prospect Capital InterNote® due 2031(42)
|
(d)(71)
|
|
Seventy-First Supplemental Indenture dated as of March 21, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2043(42)
|
(d)(72)
|
|
Seventy-Second Supplemental Indenture dated as of March 21, 2013, to the U.S. Bank Indenture and Form of Floating Prospect Capital InterNote® due 2023(42)
|
(d)(73)
|
|
Seventy-Third Supplemental Indenture dated as of March 28, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2020(43)
|
(d)(74)
|
|
Seventy-Fourth Supplemental Indenture dated as of March 28, 2013, to the U.S. Bank Indenture and Form of 4.125% to 6.000% Prospect Capital InterNote® due 2031(43)
|
(d)(75)
|
|
Seventy-Fifth Supplemental Indenture dated as of March 28, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2043(43)
|
(d)(76)
|
|
Seventy-Sixth Supplemental Indenture dated as of March 28, 2013, to the U.S. Bank Indenture and Form of Floating Prospect Capital InterNote® due 2023(43)
|
(d)(77)
|
|
Seventy-Seventh Supplemental Indenture dated as of April 4, 2013, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2020(44)
|
(d)(78)
|
|
Seventy-Eighth Supplemental Indenture dated as of April 4, 2013, to the U.S. Bank Indenture and Form of 4.625% to 6.500% Prospect Capital InterNote® due 2031(44)
|
(d)(79)
|
|
Seventy-Ninth Supplemental Indenture dated as of April 4, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2043(44)
|
(d)(80)
|
|
Eightieth Supplemental Indenture dated as of April 4, 2013, to the U.S. Bank Indenture and Form of Floating Prospect Capital InterNote® due 2023(44)
|
(d)(81)
|
|
Eighty-First Supplemental Indenture dated as of April 11, 2013, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2020(45)
|
(d)(82)
|
|
Eighty-Second Supplemental Indenture dated as of April 11, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2031(45)
|
(d)(83)
|
|
Eighty-Third Supplemental Indenture dated as of April 11, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2043(45)
|
(d)(84)
|
|
Eighty-Fourth Supplemental Indenture dated as of April 11, 2013, to the U.S. Bank Indenture and Form of Floating Prospect Capital InterNote® due 2023(45)
|
(d)(85)
|
|
Eighty-Fifth Supplemental Indenture dated as of April 18, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(46)
|
(d)(86)
|
|
Eighty-Sixth Supplemental Indenture dated as of April 18, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2031(46)
|
Exhibit No.
|
|
Description
|
(d)(87)
|
|
Eighty-Seventh Supplemental Indenture dated as of April 18, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2043(46)
|
(d)(88)
|
|
Eighty-Eighth Supplemental Indenture dated as of April 25, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(47)
|
(d)(89)
|
|
Eighty-Ninth Supplemental Indenture dated as of April 25, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2031(47)
|
(d)(90)
|
|
Ninetieth Supplemental Indenture dated as of April 25, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2043(47)
|
(d)(91)
|
|
Ninety-First Supplemental Indenture dated as of May 2, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(48)
|
(d)(92)
|
|
Ninety-Second Supplemental Indenture dated as of May 2, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2031(48)
|
(d)(93)
|
|
Ninety-Third Supplemental Indenture dated as of May 2, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(48)
|
(d)(94)
|
|
Ninety-Fourth Supplemental Indenture dated as of May 9, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(49)
|
(d)(95)
|
|
Ninety-Fifth Supplemental Indenture dated as of May 9, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2031(49)
|
(d)(96)
|
|
Ninety-Sixth Supplemental Indenture dated as of May 9, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(49)
|
(d)(97)
|
|
Ninety-Seventh Supplemental Indenture dated as of May 23, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(50)
|
(d)(98)
|
|
Ninety-Eighth Supplemental Indenture dated as of May 23, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2031(50)
|
(d)(99)
|
|
Ninety-Ninth Supplemental Indenture dated as of May 23, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(50)
|
(d)(100)
|
|
One Hundredth Supplemental Indenture dated as of May 23, 2013, to the U.S. Bank Indenture and Form of 5.000% to 7.000% Prospect Capital InterNote® due 2028(50)
|
(d)(101)
|
|
One Hundred-First Supplemental Indenture dated as of May 31, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(51)
|
(d)(102)
|
|
One Hundred-Second Supplemental Indenture dated as of May 31, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2031(51)
|
(d)(103)
|
|
One Hundred-Third Supplemental Indenture dated as of May 31, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(51)
|
(d)(104)
|
|
One Hundred-Fourth Supplemental Indenture dated as of June 6, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(52)
|
(d)(105)
|
|
One Hundred-Fifth Supplemental Indenture dated as of June 6, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2031(52)
|
(d)(106)
|
|
One Hundred-Sixth Supplemental Indenture dated as of June 6, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(52)
|
(d)(107)
|
|
One Hundred-Seventh Supplemental Indenture dated as of June 6, 2013, to the U.S. Bank Indenture and Form of 5.000% to 7.000% Prospect Capital InterNote® due 2028(52)
|
(d)(108)
|
|
One Hundred-Eighth Supplemental Indenture dated as of June 13, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(53)
|
(d)(109)
|
|
One Hundred-Ninth Supplemental Indenture dated as of June 13, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2031(53)
|
(d)(110)
|
|
One Hundred-Tenth Supplemental Indenture dated as of June 13, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(53)
|
(d)(111)
|
|
One Hundred-Eleventh Supplemental Indenture dated as of June 20, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(54)
|
(d)(112)
|
|
One Hundred-Twelfth Supplemental Indenture dated as of June 20, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2031(54)
|
(d)(113)
|
|
One Hundred-Thirteenth Supplemental Indenture dated as of June 20, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(54)
|
Exhibit No.
|
|
Description
|
(d)(114)
|
|
One Hundred-Fifteenth Supplemental Indenture dated as of June 27, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2031(55)
|
(d)(115)
|
|
One Hundred-Sixteenth Supplemental Indenture dated as of June 27, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2043(55)
|
(d)(116)
|
|
One Hundred-Seventeenth Supplemental Indenture dated as of July 5, 2013, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(56)
|
(d)(117)
|
|
One Hundred-Eighteenth Supplemental Indenture dated as of July 5, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2031(56)
|
(d)(118)
|
|
One Hundred-Nineteenth Supplemental Indenture dated as of July 5, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(56)
|
(d)(119)
|
|
One Hundred-Twentieth Supplemental Indenture dated as of July 5, 2013, to the U.S. Bank Indenture and Form of 6.750% Prospect Capital InterNote® due 2043(56)
|
(d)(120)
|
|
One Hundred Twenty-First Supplemental Indenture dated as of July 11, 2013, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(57)
|
(d)(121)
|
|
One Hundred Twenty-Second Supplemental Indenture dated as of July 11, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2031(57)
|
(d)(122)
|
|
One Hundred Twenty-Third Supplemental Indenture dated as of July 11, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(57)
|
(d)(123)
|
|
One Hundred Twenty-Fourth Supplemental Indenture dated as of July 11, 2013, to the U.S. Bank Indenture and Form of 6.750% Prospect Capital InterNote® due 2043(57)
|
(d)(124)
|
|
One Hundred Twenty-Fifth Supplemental Indenture dated as of July 18, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(58)
|
(d)(125)
|
|
One Hundred Twenty-Sixth Supplemental Indenture dated as of July 18, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2031(58)
|
(d)(126)
|
|
One Hundred Twenty-Seventh Supplemental Indenture dated as of July 18, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(58)
|
(d)(127)
|
|
One Hundred Twenty-Eighth Supplemental Indenture dated as of July 18, 2013, to the U.S. Bank Indenture and Form of 6.750% Prospect Capital InterNote® due 2043(58)
|
(d)(128)
|
|
One Hundred Twenty-Ninth Supplemental Indenture dated as of July 25, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(59)
|
(d)(129)
|
|
One Hundred Thirtieth Supplemental Indenture dated as of July 25, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2031(59)
|
(d)(130)
|
|
One Hundred Thirty-First Supplemental Indenture dated as of July 25, 2013, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2043(59)
|
(d)(131)
|
|
One Hundred Thirty-Second Supplemental Indenture dated as of July 25, 2013, to the U.S. Bank Indenture and Form of 6.750% Prospect Capital InterNote® due 2043(59)
|
(d)(132)
|
|
One Hundred Thirty-Third Supplemental Indenture dated as of August 1, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2019(60)
|
(d)(133)
|
|
One Hundred Thirty-Fourth Supplemental Indenture dated as of August 1, 2013, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2021(60)
|
(d)(134)
|
|
One Hundred Thirty-Fifth Supplemental Indenture dated as of August 1, 2013, to the U.S. Bank Indenture and Form of 6.125% Prospect Capital InterNote® due 2031(60)
|
(d)(135)
|
|
One Hundred Thirty-Sixth Supplemental Indenture dated as of August 1, 2013, to the U.S. Bank Indenture and Form of 6.625% Prospect Capital InterNote® due 2043(60)
|
(d)(136)
|
|
One Hundred Thirty-Seventh Supplemental Indenture dated as of August 8, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(61)
|
(d)(137)
|
|
One Hundred Thirty-Eighth Supplemental Indenture dated as of August 8, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(61)
|
(d)(138)
|
|
One Hundred Thirty-Ninth Supplemental Indenture dated as of August 8, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2031(61)
|
(d)(139)
|
|
One Hundred Fortieth Supplemental Indenture dated as of August 8, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2043(61)
|
(d)(140)
|
|
One Hundred Forty-First Supplemental Indenture dated as of August 15, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(62)
|
Exhibit No.
|
|
Description
|
(d)(141)
|
|
One Hundred Forty-Second Supplemental Indenture dated as of August 15, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(62)
|
(d)(142)
|
|
One Hundred Forty-Third Supplemental Indenture dated as of August 15, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2028(62)
|
(d)(143)
|
|
One Hundred Forty-Fourth Supplemental Indenture dated as of August 15, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(62)
|
(d)(144)
|
|
One Hundred Forty-Fifth Supplemental Indenture dated as of August 22, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(63)
|
(d)(145)
|
|
One Hundred Forty-Sixth Supplemental Indenture dated as of August 22, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(63)
|
(d)(146)
|
|
One Hundred Forty-Seventh Supplemental Indenture dated as of August 22, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2028(63)
|
(d)(147)
|
|
One Hundred Forty-Eighth Supplemental Indenture dated as of August 22, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(63)
|
(d)(148)
|
|
One Hundred Forty-Ninth Supplemental Indenture dated as of September 6, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(64)
|
(d)(149)
|
|
One Hundred Fiftieth Supplemental Indenture dated as of September 6, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(64)
|
(d)(150)
|
|
One Hundred Fifty-First Supplemental Indenture dated as of September 6, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2028(64)
|
(d)(151)
|
|
One Hundred Fifty-Second Supplemental Indenture dated as of September 6, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(64)
|
(d)(152)
|
|
One Hundred Fifty-Third Supplemental Indenture dated as of September 12, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(65)
|
(d)(153)
|
|
One Hundred Fifty-Fourth Supplemental Indenture dated as of September 12, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(65)
|
(d)(154)
|
|
One Hundred Fifty-Fifth Supplemental Indenture dated as of September 12, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2033(65)
|
(d)(155)
|
|
One Hundred Fifty-Sixth Supplemental Indenture dated as of September 12, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2043(65)
|
(d)(156)
|
|
One Hundred Fifty-Seventh Supplemental Indenture dated as of September 19, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(66)
|
(d)(157)
|
|
One Hundred Fifty-Eighth Supplemental Indenture dated as of September 19, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(66)
|
(d)(158)
|
|
One Hundred Fifty-Ninth Supplemental Indenture dated as of September 19, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2033(66)
|
(d)(159)
|
|
One Hundred Sixtieth Supplemental Indenture dated as of September 19, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2043(66)
|
(d)(160)
|
|
One Hundred Sixty-First Supplemental Indenture dated as of September 26, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(67)
|
(d)(161)
|
|
One Hundred Sixty-Second Supplemental Indenture dated as of September 26, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(67)
|
(d)(162)
|
|
One Hundred Sixty-Third Supplemental Indenture dated as of September 26, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2033(67)
|
(d)(163)
|
|
One Hundred Sixty-Fourth Supplemental Indenture dated as of September 26, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2043(67)
|
(d)(164)
|
|
One Hundred Sixty-Fifth Supplemental Indenture dated as of October 3, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(68)
|
(d)(165)
|
|
One Hundred Sixty-Sixth Supplemental Indenture dated as of October 3, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(68)
|
(d)(166)
|
|
One Hundred Sixty-Seventh Supplemental Indenture dated as of October 3, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2033(68)
|
(d)(167)
|
|
One Hundred Sixty-Eighth Supplemental Indenture dated as of October 3, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2043(68)
|
Exhibit No.
|
|
Description
|
(d)(168)
|
|
One Hundred Sixty-Ninth Supplemental Indenture dated as of October 10, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(69)
|
(d)(169)
|
|
One Hundred Seventieth Supplemental Indenture dated as of October 10, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(69)
|
(d)(170)
|
|
One Hundred Seventy-First Supplemental Indenture dated as of October 10, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2033(69)
|
(d)(171)
|
|
One Hundred Seventy-Second Supplemental Indenture dated as of October 10, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2043(69)
|
(d)(172)
|
|
One Hundred Seventy-Third Supplemental Indenture dated as of October 18, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(70)
|
(d)(173)
|
|
One Hundred Seventy-Fourth Supplemental Indenture dated as of October 18, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(70)
|
(d)(174)
|
|
One Hundred Seventy-Fifth Supplemental Indenture dated as of October 18, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2033(70)
|
(d)(175)
|
|
One Hundred Seventy-Sixth Supplemental Indenture dated as of October 18, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2043(70)
|
(d)(176)
|
|
One Hundred Seventy-Seventh Supplemental Indenture dated as of October 24, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2016(71)
|
(d)(177)
|
|
One Hundred Seventy-Eighth Supplemental Indenture dated as of October 24, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(71)
|
(d)(178)
|
|
One Hundred Seventy-Ninth Supplemental Indenture dated as of October 24, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(71)
|
(d)(179)
|
|
One Hundred Eightieth Supplemental Indenture dated as of October 24, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2033(71)
|
(d)(180)
|
|
One Hundred Eighty-First Supplemental Indenture dated as of October 24, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2043(71)
|
(d)(181)
|
|
One Hundred Eighty-Second Supplemental Indenture dated as of October 31, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2017(72)
|
(d)(182)
|
|
One Hundred Eighty-Third Supplemental Indenture dated as of October 31, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(72)
|
(d)(183)
|
|
One Hundred Eighty-Fourth Supplemental Indenture dated as of October 31, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(72)
|
(d)(184)
|
|
One Hundred Eighty-Fifth Supplemental Indenture dated as of October 31, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2028(72)
|
(d)(185)
|
|
One Hundred Eighty-Sixth Supplemental Indenture dated as of October 31, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(72)
|
(d)(186)
|
|
One Hundred Eighty-Seventh Supplemental Indenture dated as of November 7, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2017(73)
|
(d)(187)
|
|
One Hundred Eighty-Eighth Supplemental Indenture dated as of November 7, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(73)
|
(d)(188)
|
|
One Hundred Eighty-Ninth Supplemental Indenture dated as of November 7, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(73)
|
(d)(189)
|
|
One Hundred Ninetieth Supplemental Indenture dated as of November 7, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2028(73)
|
(d)(190)
|
|
One Hundred Ninety-First Supplemental Indenture dated as of November 7, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(73)
|
(d)(191)
|
|
One Hundred Ninety-Second Supplemental Indenture dated as of November 15, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2017(74)
|
(d)(192)
|
|
One Hundred Ninety-Third Supplemental Indenture dated as of November 15, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(74)
|
(d)(193)
|
|
One Hundred Ninety-Fourth Supplemental Indenture dated as of November 15, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(74)
|
(d)(194)
|
|
One Hundred Ninety-Fifth Supplemental Indenture dated as of November 15, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2028(74)
|
Exhibit No.
|
|
Description
|
(d)(195)
|
|
One Hundred Ninety-Sixth Supplemental Indenture dated as of November 15, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(74)
|
(d)(196)
|
|
One Hundred Ninety-Seventh Supplemental Indenture dated as of November 21, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2017(75)
|
(d)(197)
|
|
One Hundred Ninety-Eighth Supplemental Indenture dated as of November 21, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(75)
|
(d)(198)
|
|
One Hundred Ninety-Ninth Supplemental Indenture dated as of November 21, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(75)
|
(d)(199)
|
|
Two Hundredth Supplemental Indenture dated as of November 21, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2028(75)
|
(d)(200)
|
|
Two Hundred First Supplemental Indenture dated as of November 21, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(75)
|
(d)(201)
|
|
Two Hundred Second Supplemental Indenture dated as of November 29, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2017(76)
|
(d)(202)
|
|
Two Hundred Third Supplemental Indenture dated as of November 29, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(76)
|
(d)(203)
|
|
Two Hundred Fourth Supplemental Indenture dated as of November 29, 2013, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2020(76)
|
(d)(204)
|
|
Two Hundred Fifth Supplemental Indenture dated as of November 29, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2025(76)
|
(d)(205)
|
|
Two Hundred Sixth Supplemental Indenture dated as of November 29, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(76)
|
(d)(206)
|
|
Two Hundred Seventh Supplemental Indenture dated as of December 5, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2017(77)
|
(d)(207)
|
|
Two Hundred Eighth Supplemental Indenture dated as of December 5, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(77)
|
(d)(208)
|
|
Two Hundred Tenth Supplemental Indenture dated as of December 5, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2025(77)
|
(d)(209)
|
|
Two Hundred Eleventh Supplemental Indenture dated as of December 5, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(77)
|
(d)(210)
|
|
Two Hundred Twelfth Supplemental Indenture dated as of December 12, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2017(78)
|
(d)(211)
|
|
Two Hundred Thirteenth Supplemental Indenture dated as of December 12, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(78)
|
(d)(212)
|
|
Two Hundred Fifteenth Supplemental Indenture dated as of December 12, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2025(78)
|
(d)(213)
|
|
Two Hundred Sixteenth Supplemental Indenture dated as of December 12, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(78)
|
(d)(214)
|
|
Two Hundred Seventeenth Supplemental Indenture dated as of December 19, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2017(79)
|
(d)(215)
|
|
Two Hundred Eighteenth Supplemental Indenture dated as of December 19, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(79)
|
(d)(216)
|
|
Two Hundred Twentieth Supplemental Indenture dated as of December 19, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2025(79)
|
(d)(217)
|
|
Two Hundred Twenty-First Supplemental Indenture dated as of December 19, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(79)
|
(d)(218)
|
|
Two Hundred Twenty-Second Supplemental Indenture dated as of December 27, 2013, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2017(80)
|
(d)(219)
|
|
Two Hundred Twenty-Third Supplemental Indenture dated as of December 27, 2013, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2018(80)
|
(d)(220)
|
|
Two Hundred Twenty-Fifth Supplemental Indenture dated as of December 27, 2013, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2025(80)
|
(d)(221)
|
|
Two Hundred Twenty-Sixth Supplemental Indenture dated as of December 27, 2013, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2038(80)
|
Exhibit No.
|
|
Description
|
(d)(222)
|
|
Two Hundred Twenty-Seventh Supplemental Indenture dated as of January 3, 2014, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2018(81)
|
(d)(223)
|
|
Two Hundred Twenty-Eighth Supplemental Indenture dated as of January 3, 2014, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2019(81)
|
(d)(224)
|
|
Two Hundred Twenty-Ninth Supplemental Indenture dated as of January 3, 2014, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(81)
|
(d)(225)
|
|
Two Hundred Thirtieth Supplemental Indenture dated as of January 3, 2014, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2026(81)
|
(d)(226)
|
|
Two Hundred Thirty-First Supplemental Indenture dated as of January 3, 2014, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2039(81)
|
(d)(227)
|
|
Two Hundred Thirty-Second Supplemental Indenture dated as of January 9, 2014, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2018(82)
|
(d)(228)
|
|
Two Hundred Thirty-Third Supplemental Indenture dated as of January 9, 2014, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2019(82)
|
(d)(229)
|
|
Two Hundred Thirty-Fourth Supplemental Indenture dated as of January 9, 2014, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(82)
|
(d)(230)
|
|
Two Hundred Thirty-Fifth Supplemental Indenture dated as of January 9, 2014, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2026(82)
|
(d)(231)
|
|
Two Hundred Thirty-Sixth Supplemental Indenture dated as of January 9, 2014, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2039(82)
|
(d)(232)
|
|
Two Hundred Thirty-Seventh Supplemental Indenture dated as of January 16, 2014, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2018(83)
|
(d)(233)
|
|
Two Hundred Thirty-Eighth Supplemental Indenture dated as of January 16, 2014, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2019(83)
|
(d)(234)
|
|
Two Hundred Thirty-Ninth Supplemental Indenture dated as of January 16, 2014, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(83)
|
(d)(235)
|
|
Two Hundred Fortieth Supplemental Indenture dated as of January 16, 2014, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2026(83)
|
(d)(236)
|
|
Two Hundred Forty-First Supplemental Indenture dated as of January 16, 2014, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2039(83)
|
(d)(237)
|
|
Two Hundred Forty-Second Supplemental Indenture dated as of January 24, 2014, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2018(84)
|
(d)(238)
|
|
Two Hundred Forty-Third Supplemental Indenture dated as of January 24, 2014, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2019(84)
|
(d)(239)
|
|
Two Hundred Forty-Fourth Supplemental Indenture dated as of January 24, 2014, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(84)
|
(d)(240)
|
|
Two Hundred Forty-Fifth Supplemental Indenture dated as of January 24, 2014, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2026(84)
|
(d)(241)
|
|
Two Hundred Forty-Sixth Supplemental Indenture dated as of January 24, 2014, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2039(84)
|
(d)(242)
|
|
Two Hundred Forty-Seventh Supplemental Indenture dated as of January 30, 2014, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2018(85)
|
(d)(243)
|
|
Two Hundred Forty-Eighth Supplemental Indenture dated as of January 30, 2014, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2019(85)
|
(d)(244)
|
|
Two Hundred Forty-Ninth Supplemental Indenture dated as of January 30, 2014, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(85)
|
(d)(245)
|
|
Two Hundred Fiftieth Supplemental Indenture dated as of January 30, 2014, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2026(85)
|
(d)(246)
|
|
Two Hundred Fifty-First Supplemental Indenture dated as of January 30, 2014, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2039(85)
|
(d)(247)
|
|
Two Hundred Fifty-Second Supplemental Indenture dated as of February 6, 2014, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2018(86)
|
(d)(248)
|
|
Two Hundred Fifty-Third Supplemental Indenture dated as of February 6, 2014, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2019(86)
|
Exhibit No.
|
|
Description
|
(d)(249)
|
|
Two Hundred Fifty-Fourth Supplemental Indenture dated as of February 6, 2014, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(86)
|
(d)(250)
|
|
Two Hundred Fifty-Fifth Supplemental Indenture dated as of February 6, 2014, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2026(86)
|
(d)(251)
|
|
Two Hundred Fifty-Sixth Supplemental Indenture dated as of February 6, 2014, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2039(86)
|
(d)(252)
|
|
Two Hundred Fifty-Seventh Supplemental Indenture dated as of February 13, 2014, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2018(87)
|
(d)(253)
|
|
Two Hundred Fifty-Eighth Supplemental Indenture dated as of February 13, 2014, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2019(87)
|
(d)(254)
|
|
Two Hundred Fifty-Ninth Supplemental Indenture dated as of February 13, 2014, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(87)
|
(d)(255)
|
|
Two Hundred Sixtieth Supplemental Indenture dated as of February 13, 2014, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2026(87)
|
(d)(256)
|
|
Two Hundred Sixty-First Supplemental Indenture dated as of February 13, 2014, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2039(87)
|
(d)(257)
|
|
Two Hundred Sixty-Seventh Supplemental Indenture dated as of February 19, 2014, to the U.S. Bank Indenture and Form of 4.75% Prospect Capital InterNote® due 2019(88)
|
(d)(258)
|
|
Two Hundred Sixty-Second Supplemental Indenture dated as of February 21, 2014, to the U.S. Bank Indenture and Form of 4.000% Prospect Capital InterNote® due 2018(89)
|
(d)(259)
|
|
Two Hundred Sixty-Third Supplemental Indenture dated as of February 21, 2014, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2019(89)
|
(d)(260)
|
|
Two Hundred Sixty-Fourth Supplemental Indenture dated as of February 21, 2014, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(89)
|
(d)(261)
|
|
Two Hundred Sixty-Fifth Supplemental Indenture dated as of February 21, 2014, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2026(89)
|
(d)(262)
|
|
Two Hundred Sixty-Sixth Supplemental Indenture dated as of February 21, 2014, to the U.S. Bank Indenture and Form of 6.500% Prospect Capital InterNote® due 2039(89)
|
(d)(263)
|
|
Two Hundred Sixty-Eighth Supplemental Indenture dated as of February 27, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(90)
|
(d)(264)
|
|
Two Hundred Sixty-Ninth Supplemental Indenture dated as of February 27, 2014, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2019(90)
|
(d)(265)
|
|
Two Hundred Seventieth Supplemental Indenture dated as of February 27, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(90)
|
(d)(266)
|
|
Two Hundred Seventy-First Supplemental Indenture dated as of February 27, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2026(90)
|
(d)(267)
|
|
Two Hundred Seventy-Second Supplemental Indenture dated as of February 27, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(90)
|
(d)(268)
|
|
Two Hundred Seventy-Third Supplemental Indenture dated as March 6, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(91)
|
(d)(269)
|
|
Two Hundred Seventy-Fourth Supplemental Indenture dated as of March 6, 2014, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2019(91)
|
(d)(270)
|
|
Two Hundred Seventy-Fifth Supplemental Indenture dated as of March 6, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(91)
|
(d)(271)
|
|
Two Hundred Seventy-Sixth Supplemental Indenture dated as of March 6, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2026(91)
|
(d)(272)
|
|
Two Hundred Seventy-Seventh Supplemental Indenture dated as of March 6, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(91)
|
(d)(273)
|
|
Supplement No. 1 to the Two Hundred Sixty-Seventh Supplemental Indenture dated as of March 11, 2014, to the U.S. Bank Indenture and Form of 4.75% Prospect Capital InterNote® due 2019(92)
|
(d)(274)
|
|
Two Hundred Seventy-Eighth Supplemental Indenture dated as March 13, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(93)
|
(d)(275)
|
|
Two Hundred Seventy-Ninth Supplemental Indenture dated as of March 13, 2014, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2019(93)
|
Exhibit No.
|
|
Description
|
(d)(276)
|
|
Two Hundred Eightieth Supplemental Indenture dated as of March 13, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(93)
|
(d)(277)
|
|
Two Hundred Eighty-First Supplemental Indenture dated as of March 13, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2026(93)
|
(d)(278)
|
|
Two Hundred Eighty-Second Supplemental Indenture dated as of March 13, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(93)
|
(d)(279)
|
|
Two Hundred Eighty-Fourth Supplemental Indenture dated as March 20, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(94)
|
(d)(280)
|
|
Two Hundred Eighty-Fifth Supplemental Indenture dated as of March 20, 2014, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2019(94)
|
(d)(281)
|
|
Two Hundred Eighty-Sixth Supplemental Indenture dated as of March 20, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(94)
|
(d)(282)
|
|
Two Hundred Eighty-Seventh Supplemental Indenture dated as of March 20, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2026(94)
|
(d)(283)
|
|
Two Hundred Eighty-Eighth Supplemental Indenture dated as of March 20, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(94)
|
(d)(284)
|
|
Two Hundred Eighty-Ninth Supplemental Indenture dated as March 27, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(95)
|
(d)(285)
|
|
Two Hundred Ninetieth Supplemental Indenture dated as of March 20, 2014, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2019(95)
|
(d)(286)
|
|
Two Hundred Ninety-First Supplemental Indenture dated as of March 27, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(95)
|
(d)(287)
|
|
Two Hundred Ninety-Second Supplemental Indenture dated as of March 27, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2026(95)
|
(d)(288)
|
|
Two Hundred Ninety-Third Supplemental Indenture dated as of March 27, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(95)
|
(d)(289)
|
|
Two Hundred Ninety-Fourth Supplemental Indenture dated as of April 3, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(96)
|
(d)(290)
|
|
Two Hundred Ninety-Fifth Supplemental Indenture dated as of April 3, 2014, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2019(96)
|
(d)(291)
|
|
Two Hundred Ninety-Sixth Supplemental Indenture dated as of April 3, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(96)
|
(d)(292)
|
|
Two Hundred Ninety-Seventh Supplemental Indenture dated as of April 3, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2024(96)
|
(d)(293)
|
|
Two Hundred Ninety-Eighth Supplemental Indenture dated as of April 3, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(96)
|
(d)(294)
|
|
Supplemental Indenture dated as of April 7, 2014, to the U.S. Bank Indenture and Form of 5.000% Senior Notes due 2019(97)
|
(d)(295)
|
|
Two Hundred Ninety-Ninth Supplemental Indenture dated as of April 10, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(98)
|
(d)(296)
|
|
Three Hundredth Supplemental Indenture dated as of April 10, 2014, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2019(98)
|
(d)(297)
|
|
Three Hundred First Supplemental Indenture dated as of April 10, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(98)
|
(d)(298)
|
|
Three Hundred Second Supplemental Indenture dated as of April 10, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2024(98)
|
(d)(299)
|
|
Three Hundred Third Supplemental Indenture dated as of April 10, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(98)
|
(d)(300)
|
|
Indenture dated as of April 11, 2014, by and between Prospect Capital Corporation and American Stock Transfer & Trust Company, as Trustee and Form of Global Note of 4.75% Senior Convertible Notes Due 2020(99)
|
(d)(301)
|
|
Three Hundred Fourth Supplemental Indenture dated as of April 17, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(100)
|
(d)(302)
|
|
Three Hundred Fifth Supplemental Indenture dated as of April 17, 2014, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2019(100)
|
Exhibit No.
|
|
Description
|
(d)(303)
|
|
Three Hundred Sixth Supplemental Indenture dated as of April 17, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(100)
|
(d)(304)
|
|
Three Hundred Seventh Supplemental Indenture dated as of April 17, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2024(100)
|
(d)(305)
|
|
Three Hundred Eighth Supplemental Indenture dated as of April 17, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(100)
|
(d)(306)
|
|
Three Hundred Ninth Supplemental Indenture dated as of April 24, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(101)
|
(d)(307)
|
|
Three Hundred Tenth Supplemental Indenture dated as of April 24, 2014, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2019(101)
|
(d)(308)
|
|
Three Hundred Eleventh Supplemental Indenture dated as of April 24, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(101)
|
(d)(309)
|
|
Three Hundred Twelfth Supplemental Indenture dated as of April 24, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2024(101)
|
(d)(310)
|
|
Three Hundred Thirteenth Supplemental Indenture dated as of April 24, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(101)
|
(d)(311)
|
|
Three Hundred Fourteenth Supplemental Indenture dated as of May 1, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(102)
|
(d)(312)
|
|
Three Hundred Fifteenth Supplemental Indenture dated as of May 1, 2014, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2019(102)
|
(d)(313)
|
|
Three Hundred Sixteenth Supplemental Indenture dated as of May 1, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(102)
|
(d)(314)
|
|
Three Hundred Seventeenth Supplemental Indenture dated as of May 1, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2024(102)
|
(d)(315)
|
|
Three Hundred Eighteenth Supplemental Indenture dated as of May 1, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(102)
|
(d)(316)
|
|
Three Hundred Nineteenth Supplemental Indenture dated as of May 8, 2014, to the U.S. Bank Indenture and Form of 3.750% Prospect Capital InterNote® due 2018(103)
|
(d)(317)
|
|
Three Hundred Twentieth Supplemental Indenture dated as of May 8, 2014, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2019(103)
|
(d)(318)
|
|
Three Hundred Twenty-First Supplemental Indenture dated as of May 8, 2014, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(103)
|
(d)(319)
|
|
Three Hundred Twenty-Second Supplemental Indenture dated as of May 8, 2014, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2024(103)
|
(d)(320)
|
|
Three Hundred Twenty-Third Supplemental Indenture dated as of May 8, 2014, to the U.S. Bank Indenture and Form of 6.250% Prospect Capital InterNote® due 2039(103)
|
(d)(321)
|
|
Three Hundred Twenty-Fourth Supplemental Indenture dated as of November 17, 2014, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2020(110)
|
(d)(322)
|
|
Three Hundred Twenty-Fifth Supplemental Indenture dated as of November 28, 2014, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2020(111)
|
(d)(323)
|
|
Three Hundred Twenty-Sixth Supplemental Indenture dated as of December 4, 2014, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2020(112)
|
(d)(324)
|
|
Three Hundred Twenty-Seventh Supplemental Indenture dated as of December 11, 2014, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2020(113)
|
(d)(325)
|
|
Three Hundred Twenty-Eighth Supplemental Indenture dated as of December 18, 2014, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2020(114)
|
(d)(326)
|
|
Three Hundred Twenty-Ninth Supplemental Indenture dated as of December 29, 2014, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2020(115)
|
(d)(327)
|
|
Three Hundred Thirtieth Supplemental Indenture dated as of January 2, 2015, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2020(116)
|
(d)(328)
|
|
Three Hundred Thirty-First Supplemental Indenture dated as of January 8, 2015, to the U.S. Bank Indenture and Form of 4.250% Prospect Capital InterNote® due 2020(117)
|
(d)(329)
|
|
Three Hundred Thirty-Second Supplemental Indenture dated as of January 15, 2015, to the U.S. Bank Indenture and Form of 4.500% Prospect Capital InterNote® due 2020(118)
|
Exhibit No.
|
|
Description
|
(d)(330)
|
|
Three Hundred Thirty-Third Supplemental Indenture dated as of January 23, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(119)
|
(d)(331)
|
|
Three Hundred Thirty-Fourth Supplemental Indenture dated as of January 29, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(120)
|
(d)(332)
|
|
Three Hundred Thirty-Fifth Supplemental Indenture dated as of February 5, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(121)
|
(d)(333)
|
|
Three Hundred Thirty-Sixth Supplemental Indenture dated as of February 20, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(122)
|
(d)(334)
|
|
Three Hundred Thirty-Seventh Supplemental Indenture dated as of February 26, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(123)
|
(d)(335)
|
|
Three Hundred Thirty-Eighth Supplemental Indenture dated as of March 5, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(124)
|
(d)(336)
|
|
Three Hundred Thirty-Ninth Supplemental Indenture dated as of March 12, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(125)
|
(d)(337)
|
|
Three Hundred Fortieth Supplemental Indenture dated as of March 19, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(126)
|
(d)(338)
|
|
Three Hundred Forty-First Supplemental Indenture dated as of March 26, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(127)
|
(d)(339)
|
|
Three Hundred Forty-Second Supplemental Indenture dated as of April 2, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(128)
|
(d)(340)
|
|
Three Hundred Forty-Third Supplemental Indenture dated as of April 9, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(129)
|
(d)(341)
|
|
Three Hundred Forty-Fourth Supplemental Indenture dated as of April 16, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(130)
|
(d)(342)
|
|
Three Hundred Forty-Fifth Supplemental Indenture dated as of April 16, 2015, to the U.S. Bank Indenture and Form of 3.375% to 6.375% Prospect Capital InterNote® due 2021(130)
|
(d)(343)
|
|
Three Hundred Forty-Sixth Supplemental Indenture dated as of April 23, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(131)
|
(d)(344)
|
|
Three Hundred Forty-Seventh Supplemental Indenture dated as of April 23, 2015, to the U.S. Bank Indenture and Form of 3.375% to 6.375% Prospect Capital InterNote® due 2021(131)
|
(d)(345)
|
|
Three Hundred Forty-Eighth Supplemental Indenture dated as of April 30, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(132)
|
(d)(346)
|
|
Three Hundred Forty-Ninth Supplemental Indenture dated as of April 30, 2015, to the U.S. Bank Indenture and Form of 3.375% to 6.375% Prospect Capital InterNote® due 2021(132)
|
(d)(347)
|
|
Three Hundred Fiftieth Supplemental Indenture dated as of May 7, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(133)
|
(d)(348)
|
|
Three Hundred Fifty-First Supplemental Indenture dated as of May 7, 2015, to the U.S. Bank Indenture and Form of 3.375% to 6.375% Prospect Capital InterNote® due 2021(133)
|
(d)(349)
|
|
Three Hundred Fifty-Second Supplemental Indenture dated as of May 21, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(134)
|
(d)(350)
|
|
Three Hundred Fifty-Third Supplemental Indenture dated as of May 29, 2015, to the U.S. Bank Indenture and Form of 4.625% Prospect Capital InterNote® due 2020(135)
|
(d)(351)
|
|
Three Hundred Fifty-Fourth Supplemental Indenture dated as of May 29, 2015, to the U.S. Bank Indenture and Form of 5.100% Prospect Capital InterNote® due 2022(135)
|
(d)(352)
|
|
Three Hundred Fifty-Fifth Supplemental Indenture dated as of June 4, 2015, to the U.S. Bank Indenture and Form of 4.625% Prospect Capital InterNote® due 2020(136)
|
(d)(353)
|
|
Three Hundred Fifty-Sixth Supplemental Indenture dated as of June 4, 2015, to the U.S. Bank Indenture and Form of 5.100% Prospect Capital InterNote® due 2022(136)
|
(d)(354)
|
|
Three Hundred Fifty-Seventh Supplemental Indenture dated as of June 11, 2015, to the U.S. Bank Indenture and Form of 4.625% Prospect Capital InterNote® due 2020(137)
|
(d)(355)
|
|
Three Hundred Fifty-Eighth Supplemental Indenture dated as of June 11, 2015, to the U.S. Bank Indenture and Form of 5.100% Prospect Capital InterNote® due 2022(137)
|
(d)(356)
|
|
Three Hundred Fifty-Ninth Supplemental Indenture dated as of June 18, 2015, to the U.S. Bank Indenture and Form of 4.625% Prospect Capital InterNote® due 2020(138)
|
Exhibit No.
|
|
Description
|
(d)(357)
|
|
Three Hundred Sixtieth Supplemental Indenture dated as of June 18, 2015, to the U.S. Bank Indenture and Form of 5.100% Prospect Capital InterNote® due 2021(138)
|
(d)(358)
|
|
Three Hundred Sixty-First Supplemental Indenture dated as of June 25, 2015, to the U.S. Bank Indenture and Form of 4.625% Prospect Capital InterNote® due 2020(139)
|
(d)(359)
|
|
Three Hundred Sixty-Second Supplemental Indenture dated as of June 25, 2015, to the U.S. Bank Indenture and Form of 5.100% Prospect Capital InterNote® due 2021(139)
|
(d)(360)
|
|
Three Hundred Sixty-Third Supplemental Indenture dated as of July 2, 2015, to the U.S. Bank Indenture and Form of 4.625% Prospect Capital InterNote® due 2020(140)
|
(d)(361)
|
|
Three Hundred Sixty-Fourth Supplemental Indenture dated as of July 2, 2015, to the U.S. Bank Indenture and Form of 5.100% Prospect Capital InterNote® due 2021(140)
|
(d)(362)
|
|
Three Hundred Sixty-Fifth Supplemental Indenture dated as of July 9, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(141)
|
(d)(363)
|
|
Three Hundred Sixty-Sixth Supplemental Indenture dated as of July 9, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(141)
|
(d)(364)
|
|
Three Hundred Sixty-Seventh Supplemental Indenture dated as of July 16, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(142)
|
(d)(365)
|
|
Three Hundred Sixty-Eighth Supplemental Indenture dated as of July 16, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(142)
|
(d)(366)
|
|
Three Hundred Sixty-Ninth Supplemental Indenture dated as of July 23, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(143)
|
(d)(367)
|
|
Three Hundred Seventieth Supplemental Indenture dated as of July 23, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(143)
|
(d)(368)
|
|
Three Hundred Seventy-First Supplemental Indenture dated as of July 30, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(144)
|
(d)(369)
|
|
Three Hundred Seventy-Second Supplemental Indenture dated as of July 30, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(144)
|
(d)(370)
|
|
Three Hundred Seventy-Third Supplemental Indenture dated as of August 6, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(145)
|
(d)(371)
|
|
Three Hundred Seventy-Fourth Supplemental Indenture dated as of August 6, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(145)
|
(d)(372)
|
|
Three Hundred Seventy-Fifth Supplemental Indenture dated as of August 13, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(146)
|
(d)(373)
|
|
Three Hundred Seventy-Sixth Supplemental Indenture dated as of August 13, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(146)
|
(d)(374)
|
|
Three Hundred Seventy-Seventh Supplemental Indenture dated as of August 20, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(147)
|
(d)(375)
|
|
Three Hundred Seventy-Eighth Supplemental Indenture dated as of August 20, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(147)
|
(d)(376)
|
|
Three Hundred Seventy-Ninth Supplemental Indenture dated as of August 27, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(148)
|
(d)(377)
|
|
Three Hundred Eightieth Supplemental Indenture dated as of August 27, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(148)
|
(d)(378)
|
|
Three Hundred Eighty-One Supplemental Indenture dated as of September 11, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(153)
|
(d)(379)
|
|
Three Hundred Eighty-Second Supplemental Indenture dated as of September 11, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(153)
|
(d)(380)
|
|
Three Hundred Eighty-Third Supplemental Indenture dated as of September 17, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(154)
|
(d)(381)
|
|
Three Hundred Eighty-Fourth Supplemental Indenture dated as of September 17, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(154)
|
(d)(382)
|
|
Three Hundred Eighty-Fifth Supplemental Indenture dated as of September 24, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(155)
|
(d)(383)
|
|
Three Hundred Eighty-Sixth Supplemental Indenture dated as of September 24, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(155)
|
Exhibit No.
|
|
Description
|
(d)(384)
|
|
Three Hundred Eighty-Seventh Supplemental Indenture dated as of October 1, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(156)
|
(d)(385)
|
|
Three Hundred Eighty-Eighth Supplemental Indenture dated as of October 1, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(156)
|
(d)(386)
|
|
Three Hundred Eighty-Ninth Supplemental Indenture dated as of October 8, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(157)
|
(d)(387)
|
|
Three Hundred Ninetieth Supplemental Indenture dated as of October 8, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(157)
|
(d)(388)
|
|
Three Hundred Ninety-First Supplemental Indenture dated as of October 16, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(159)
|
(d)(389)
|
|
Three Hundred Ninety-Second Supplemental Indenture dated as of October 16, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(159)
|
(d)(390)
|
|
Three Hundred Ninety-Third Supplemental Indenture dated as of October 22, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(160)
|
(d)(391)
|
|
Three Hundred Ninety-Fourth Supplemental Indenture dated as of October 22, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(160)
|
(d)(392)
|
|
Three Hundred Ninety-Fifth Supplemental Indenture dated as of October 29, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(161)
|
(d)(393)
|
|
Three Hundred Ninety-Sixth Supplemental Indenture dated as of October 29, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(161)
|
(d)(394)
|
|
Three Hundred Ninety-Seventh Supplemental Indenture dated as of November 4, 2015, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2020(163)
|
(d)(395)
|
|
Three Hundred Ninety-Eighth Supplemental Indenture dated as of November 4, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2022(163)
|
(d)(396)
|
|
Three Hundred Ninety-Ninth Supplemental Indenture dated as of November 19, 2015, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2020(164)
|
(d)(397)
|
|
Four Hundredth Supplemental Indenture dated as of November 19, 2015, to the U.S. Bank Indenture and Form of 5.625% Prospect Capital InterNote® due 2022(164)
|
(d)(398)
|
|
Four Hundred First Supplemental Indenture dated as of November 19, 2015, to the U.S. Bank Indenture and Form of 5.875% Prospect Capital InterNote® due 2025(164)
|
(d)(399)
|
|
Four Hundred Second Supplemental Indenture dated as of November 27, 2015, to the U.S. Bank Indenture and Form of 5.125% Prospect Capital InterNote® due 2020(165)
|
(d)(400)
|
|
Four Hundred Third Supplemental Indenture dated as of November 27, 2015, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2022(165)
|
(d)(401)
|
|
Four Hundred Fourth Supplemental Indenture dated as of November 27, 2015, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2025(165)
|
(d)(402)
|
|
Four Hundred Fifth Supplemental Indenture dated as of December 3, 2015, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2020(166)
|
(d)(403)
|
|
Four Hundred Sixth Supplemental Indenture dated as of December 3, 2015, to the U.S. Bank Indenture and Form of 5.750% Prospect Capital InterNote® due 2022(166)
|
(d)(404)
|
|
Four Hundred Seventh Supplemental Indenture dated as of December 3, 2015, to the U.S. Bank Indenture and Form of 6.000% Prospect Capital InterNote® due 2025(166)
|
(d)(405)
|
|
Supplemental Indenture dated as of December 10, 2015, to the U.S. Bank Indenture and Form of 6.250% Note due 2024(167)
|
(d)(406)
|
|
Four Hundred Eighth Supplemental Indenture dated as of December 17, 2015, to the U.S. Bank Indenture and Form of 5.375% Prospect Capital InterNote® due 2020(168)
|
(d)(407)
|
|
Four Hundred Ninth Supplemental Indenture dated as of December 24, 2015, to the U.S. Bank Indenture and Form of 5.375% Prospect Capital InterNote® due 2020(169)
|
(d)(408)
|
|
Four Hundred Tenth Supplemental Indenture dated as of December 31, 2015, to the U.S. Bank Indenture and Form of 5.375% Prospect Capital InterNote® due 2020(170)
|
(d)(409)
|
|
Four Hundred Eleventh Supplemental Indenture dated as of January 7, 2016, to the U.S. Bank Indenture and Form of 5.375% Prospect Capital InterNote® due 2021(171)
|
(d)(410)
|
|
Four Hundred Twelfth Supplemental Indenture dated as of January 14, 2016, to the U.S. Bank Indenture and Form of 5.375% Prospect Capital InterNote® due 2021(172)
|
Exhibit No.
|
|
Description
|
(d)(411)
|
|
Four Hundred Thirteenth Supplemental Indenture dated as of January 22, 2016, to the U.S. Bank Indenture and Form of 5.375% Prospect Capital InterNote® due 2021(173)
|
(d)(412)
|
|
Four Hundred Fourteenth Supplemental Indenture dated as of March 3, 2016, to the U.S. Bank Indenture and Form of 5.375% Prospect Capital InterNote® due 2021(175)
|
(d)(413)
|
|
Four Hundred Fifteenth Supplemental Indenture dated as of March 10, 2016, to the U.S. Bank Indenture and Form of 5.375% Prospect Capital InterNote® due 2021(176)
|
(d)(414)
|
|
Four Hundred Sixteenth Supplemental Indenture dated as of March 17, 2016, to the U.S. Bank Indenture and Form of 5.375% Prospect Capital InterNote® due 2021(177)
|
(d)(415)
|
|
Four Hundred Seventeenth Supplemental Indenture dated as of March 24, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(178)
|
(d)(416)
|
|
Four Hundred Eighteenth Supplemental Indenture dated as of March 31, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(179)
|
(d)(417)
|
|
Four Hundred Nineteenth Supplemental Indenture dated as of April 7, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(180)
|
(d)(418)
|
|
Four Hundred Twentieth Supplemental Indenture dated as of April 14, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(181)
|
(d)(419)
|
|
Four Hundred Twenty-First Supplemental Indenture dated as of April 21, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(182)
|
(d)(420)
|
|
Four Hundred Twenty-Second Supplemental Indenture dated as of April 28, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(183)
|
(d)(421)
|
|
Four Hundred Twenty-Third Supplemental Indenture dated as of May 5, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(184)
|
(d)(422)
|
|
Four Hundred Twenty-Fourth Supplemental Indenture dated as of May 12, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(185)
|
(d)(423)
|
|
Four Hundred Twenty-Fifth Supplemental Indenture dated as of May 26, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(186)
|
(d)(424)
|
|
Four Hundred Twenty-Sixth Supplemental Indenture dated as of June 3, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(187)
|
(d)(425)
|
|
Four Hundred Twenty-Seventh Supplemental Indenture dated as of June 9, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(188)
|
(d)(426)
|
|
Four Hundred Twenty-Eighth Supplemental Indenture dated as of June 16, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(189)
|
(d)(427)
|
|
Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture, and Form of 6.250% Note due 2024(190)
|
(d)(428)
|
|
Four Hundred Twenty-Ninth Supplemental Indenture dated as of June 23, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(190)
|
(d)(429)
|
|
Form of 6.250% Notes due 2024, Note 1, of an aggregate principal amount of $650,775.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(191)
|
(d)(430)
|
|
Form of 6.250% Notes due 2024, Note 2, of an aggregate principal amount of $538,575.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(191)
|
(d)(431)
|
|
Form of 6.250% Notes due 2024, Note 3, of an aggregate principal amount of $191,075.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(191)
|
(d)(432)
|
|
Four Hundred Thirtieth Supplemental Indenture dated as of June 30, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(191)
|
(d)(433)
|
|
Form of 6.250% Notes due 2024, Note 4, of an aggregate principal amount of $563,000.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(192)
|
(d)(434)
|
|
Form of 6.250% Notes due 2024, Note 5, of an aggregate principal amount of $323,825.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(192)
|
(d)(435)
|
|
Form of 6.250% Notes due 2024, Note 6, of an aggregate principal amount of $730,600.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(192)
|
(d)(436)
|
|
Form of 6.250% Notes due 2024, Note 7, of an aggregate principal amount of $265,125.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(192)
|
(d)(437)
|
|
Form of 6.250% Notes due 2024, Note 8, of an aggregate principal amount of $722,100.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(192)
|
Exhibit No.
|
|
Description
|
(d)(438)
|
|
Four Hundred Thirty-First Supplemental Indenture dated as of July 8, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(192)
|
(d)(439)
|
|
Form of 6.250% Notes due 2024, Note 9, of an aggregate principal amount of $599,050.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(193)
|
(d)(440)
|
|
Form of 6.250% Notes due 2024, Note 10, of an aggregate principal amount of $807,500.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(193)
|
(d)(441)
|
|
Form of 6.250% Notes due 2024, Note 11, of an aggregate principal amount of $799,475.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(193)
|
(d)(442)
|
|
Form of 6.250% Notes due 2024, Note 12, of an aggregate principal amount of $501,625.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(193)
|
(d)(443)
|
|
Four Hundred Thirty-Second Supplemental Indenture dated as of July 14, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(193)
|
(d)(444)
|
|
Form of 6.250% Notes due 2024, Note 13, of an aggregate principal amount of $592,500.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(194)
|
(d)(445)
|
|
Form of 6.250% Notes due 2024, Note 14, of an aggregate principal amount of $581,250.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(194)
|
(d)(446)
|
|
Form of 6.250% Notes due 2024, Note 15, of an aggregate principal amount of $463,750.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(194)
|
(d)(447)
|
|
Form of 6.250% Notes due 2024, Note 16, of an aggregate principal amount of $836,475.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(194)
|
(d)(448)
|
|
Form of 6.250% Notes due 2024, Note 17, of an aggregate principal amount of $536,725.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(194)
|
(d)(449)
|
|
Four Hundred Thirty-Third Supplemental Indenture dated as of July 21, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(194)
|
(d)(450)
|
|
Form of 6.250% Notes due 2024, Note 18, of an aggregate principal amount of $1,746,400.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(195)
|
(d)(451)
|
|
Form of 6.250% Notes due 2024, Note 19, of an aggregate principal amount of $826,325.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(195)
|
(d)(452)
|
|
Form of 6.250% Notes due 2024, Note 20, of an aggregate principal amount of $838,525.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(195)
|
(d)(453)
|
|
Form of 6.250% Notes due 2024, Note 21, of an aggregate principal amount of $1,027,325.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(195)
|
(d)(454)
|
|
Form of 6.250% Notes due 2024, Note 22, of an aggregate principal amount of $1,329,050.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(195)
|
(d)(455)
|
|
Four Hundred Thirty-Fourth Supplemental Indenture dated as of July 28, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(195)
|
(d)(456)
|
|
Form of 6.250% Notes due 2024, Note 23, of an aggregate principal amount of $1,232,075.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(196)
|
(d)(457)
|
|
Form of 6.250% Notes due 2024, Note 24, of an aggregate principal amount of $1,273,150.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(196)
|
(d)(458)
|
|
Form of 6.250% Notes due 2024, Note 25, of an aggregate principal amount of $1,825,850.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(196)
|
(d)(459)
|
|
Form of 6.250% Notes due 2024, Note 26, of an aggregate principal amount of $902,650.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(196)
|
(d)(460)
|
|
Form of 6.250% Notes due 2024, Note 27, of an aggregate principal amount of $866,500.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(196)
|
(d)(461)
|
|
Four Hundred Thirty-Fifth Supplemental Indenture dated as of August 4, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(196)
|
(d)(462)
|
|
Form of 6.250% Notes due 2024, Note 28, of an aggregate principal amount of $1,284,800.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(197)
|
(d)(463)
|
|
Form of 6.250% Notes due 2024, Note 29, of an aggregate principal amount of $1,423,275.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(197)
|
(d)(464)
|
|
Form of 6.250% Notes due 2024, Note 30, of an aggregate principal amount of $1,424,750.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(197)
|
Exhibit No.
|
|
Description
|
(d)(465)
|
|
Form of 6.250% Notes due 2024, Note 31, of an aggregate principal amount of $1,525,475.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(197)
|
(d)(466)
|
|
Form of 6.250% Notes due 2024, Note 32, of an aggregate principal amount of $1,335,200.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(197)
|
(d)(467)
|
|
Four Hundred Thirty-Sixth Supplemental Indenture dated as of August 11, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(197)
|
(d)(468)
|
|
Form of 6.250% Notes due 2024, Note 33, of an aggregate principal amount of $746,950.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(198)
|
(d)(469)
|
|
Form of 6.250% Notes due 2024, Note 34, of an aggregate principal amount of $1,254,725.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(198)
|
(d)(470)
|
|
Form of 6.250% Notes due 2024, Note 35, of an aggregate principal amount of $790,900.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(198)
|
(d)(471)
|
|
Form of 6.250% Notes due 2024, Note 36, of an aggregate principal amount of $1,477,725.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(198)
|
(d)(472)
|
|
Form of 6.250% Notes due 2024, Note 37, of an aggregate principal amount of $2,147,375.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(198)
|
(d)(473)
|
|
Four Hundred Thirty-Seventh Supplemental Indenture dated as of August 18, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(198)
|
(d)(474)
|
|
Form of 6.250% Notes due 2024, Note 38, of an aggregate principal amount of $1,502,000.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(199)
|
(d)(475)
|
|
Form of 6.250% Notes due 2024, Note 39, of an aggregate principal amount of $1,098,150.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(199)
|
(d)(476)
|
|
Form of 6.250% Notes due 2024, Note 40, of an aggregate principal amount of $719,375.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(199)
|
(d)(477)
|
|
Form of 6.250% Notes due 2024, Note 41, of an aggregate principal amount of $979,025.00, pursuant to the Supplemental Indenture dated as of June 22, 2016, to the U.S. Bank Indenture(199)
|
(d)(478)
|
|
Four Hundred Thirty-Eighth Supplemental Indenture dated as of August 25, 2016, to the U.S. Bank Indenture and Form of 5.500% Prospect Capital InterNote® due 2021(199)
|
(d)(479)
|
|
Four Hundred Thirty-Ninth Supplemental Indenture dated as of September 15, 2016, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(202)
|
(d)(480)
|
|
Four Hundred Fortieth Supplemental Indenture dated as of September 22, 2016, to the U.S. Bank Indenture and Form of 5.250% Prospect Capital InterNote® due 2021(203)
|
(d)(481)
|
|
Four Hundred Forty-First Supplemental Indenture dated as of September 29, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(204)
|
(d)(482)
|
|
Four Hundred Forty-Second Supplemental Indenture dated as of October 6, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(205)
|
(d)(483)
|
|
Four Hundred Forty-Third Supplemental Indenture dated as of October 14, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(206)
|
(d)(484)
|
|
Four Hundred Forty-Fourth Supplemental Indenture dated as of October 20, 2016, to the U.S. Bank Indenture and Form of 4.750% Prospect Capital InterNote® due 2021(208)
|
(d)(485)
|
|
Four Hundred Forty-Fifth Supplemental Indenture dated as of October 27, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(209)
|
(d)(486)
|
|
Four Hundred Forty-Sixth Supplemental Indenture dated as of November 3, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(210)
|
(d)(487)
|
|
Four Hundred Forty-Seventh Supplemental Indenture dated as of November 25, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(211)
|
(d)(488)
|
|
Four Hundred Forty-Eighth Supplemental Indenture dated as of December 1, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(212)
|
(d)(489)
|
|
Four Hundred Forty-Ninth Supplemental Indenture dated as of December 8, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(213)
|
(d)(490)
|
|
Four Hundred Fiftieth Supplemental Indenture dated as of December 15, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(214)
|
(d)(491)
|
|
Four Hundred Fifty-First Supplemental Indenture dated as of December 22, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(215)
|
Exhibit No.
|
|
Description
|
(d)(492)
|
|
Four Hundred Fifty-Second Supplemental Indenture dated as of December 30, 2016, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2021(216)
|
(d)(493)
|
|
Four Hundred Fifty-Third Supplemental Indenture dated as of January 6, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(217)
|
(d)(494)
|
|
Four Hundred Fifty-Fourth Supplemental Indenture dated as of January 12, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(218)
|
(d)(495)
|
|
Four Hundred Fifty-Fifth Supplemental Indenture dated as of January 20, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(219)
|
(d)(496)
|
|
Four Hundred Fifty-Sixth Supplemental Indenture dated as of January 26, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(220)
|
(d)(497)
|
|
Four Hundred Fifty-Seventh Supplemental Indenture dated as of February 2, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(221)
|
(d)(498)
|
|
Four Hundred Fifty-Eighth Supplemental Indenture dated as of February 9, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(222)
|
(d)(499)
|
|
Four Hundred Fifty-Ninth Supplemental Indenture dated as of February 24, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(223)
|
(d)(500)
|
|
Four Hundred Sixtieth Supplemental Indenture dated as of March 2, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(224)
|
(d)(501)
|
|
Four Hundred Sixty-First Supplemental Indenture dated as of March 9, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(225)
|
(d)(502)
|
|
Four Hundred Sixty-Second Supplemental Indenture dated as of March 16, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(226)
|
(d)(503)
|
|
Four Hundred Sixty-Third Supplemental Indenture dated as of March 23, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(227)
|
(d)(504)
|
|
Four Hundred Sixty-Fourth Supplemental Indenture dated as of March 30, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(228)
|
(d)(505)
|
|
Four Hundred Sixty-Fifth Supplemental Indenture dated as of April 6, 2017, to the U.S. Bank Indenture and Form of 5.000% Prospect Capital InterNote® due 2022(229)
|
(d)(506)
|
|
Supplemental Indenture dated as of April 11, 2017, to the U.S. Bank Indenture, and Form of 4.950% Convertible Note due 2022(230)
|
(d)(507)
|
|
Four Hundred Sixty-Sixth Supplemental Indenture dated as of April 20, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(234)
|
(d)(508)
|
|
Four Hundred Sixty-Seventh Supplemental Indenture dated as of April 27, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(235)
|
(d)(509)
|
|
Four Hundred Sixty-Eighth Supplemental Indenture dated as of May 4, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(236)
|
(d)(510)
|
|
Four Hundred Sixty-Ninth Supplemental Indenture dated as of May 11, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(237)
|
(d)(511)
|
|
Four Hundred Seventieth Supplemental Indenture dated as of May 25, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(238)
|
(d)(512)
|
|
Four Hundred Seventy-First Supplemental Indenture dated as of June 2, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(239)
|
(d)(513)
|
|
Four Hundred Seventy-Second Supplemental Indenture dated as of June 8, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(240)
|
(d)(514)
|
|
Four Hundred Seventy-Third Supplemental Indenture dated as of June 15, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(241)
|
(d)(515)
|
|
Four Hundred Seventy-Fourth Supplemental Indenture dated as of June 22, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(242)
|
(d)(516)
|
|
Four Hundred Seventy-Fifth Supplemental Indenture dated as of June 29, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(243)
|
(d)(517)
|
|
Four Hundred Seventy-Sixth Supplemental Indenture dated as of July 7, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2022(244)
|
(d)(518)
|
|
Four Hundred Seventy-Seventh Supplemental Indenture dated as of July 7, 2017, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2024(244)
|
Exhibit No.
|
|
Description
|
(d)(519)
|
|
Four Hundred Seventy-Eighth Supplemental Indenture dated as of July 13, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2022(245)
|
(d)(520)
|
|
Four Hundred Seventy-Ninth Supplemental Indenture dated as of July 13, 2017, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2024(245)
|
(d)(521)
|
|
Four Hundred Eightieth Supplemental Indenture dated as of July 20, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2022(246)
|
(d)(522)
|
|
Four Hundred Eighty-First Supplemental Indenture dated as of July 20, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2024(246)
|
(d)(523)
|
|
Four Hundred Eighty-Second Supplemental Indenture dated as of July 27, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2022(247)
|
(d)(524)
|
|
Four Hundred Eighty-Third Supplemental Indenture dated as of July 27, 2017, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2024(247)
|
(d)(525)
|
|
Four Hundred Eighty-Fourth Supplemental Indenture dated as of August 3, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2022(248)
|
(d)(526)
|
|
Four Hundred Eighty-Fifth Supplemental Indenture dated as of August 3, 2017, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2025(248)
|
(d)(527)
|
|
Four Hundred Eighty-Sixth Supplemental Indenture dated as of August 10, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2022(249)
|
(d)(528)
|
|
Four Hundred Eighty-Seventh Supplemental Indenture dated as of August 10, 2017, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2025(249)
|
(d)(529)
|
|
Four Hundred Eighty-Eighth Supplemental Indenture dated as of August 17, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2022(250)
|
(d)(530)
|
|
Four Hundred Eighty-Ninth Supplemental Indenture dated as of August 17, 2017, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2025(250)
|
(d)(531)
|
|
Four Hundred Ninetieth Supplemental Indenture dated as of August 24, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2022(251)
|
(d)(532)
|
|
Four Hundred Ninety-First Supplemental Indenture dated as of August 24, 2017, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2025(251)
|
(d)(533)
|
|
Four Hundred Ninety-Second Supplemental Indenture dated as of August 31, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2022(253)
|
(d)(534)
|
|
Four Hundred Ninety-Third Supplemental Indenture dated as of August 31, 2017, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2025(253)
|
(d)(535)
|
|
Four Hundred Ninety-Fourth Supplemental Indenture dated as of September 14, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(255)
|
(d)(536)
|
|
Four Hundred Ninety-Fifth Supplemental Indenture dated as of September 14, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(255)
|
(d)(537)
|
|
Four Hundred Ninety-Sixth Supplemental Indenture dated as of September 21, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(256)
|
(d)(538)
|
|
Four Hundred Ninety-Seventh Supplemental Indenture dated as of September 21, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(256)
|
(d)(539)
|
|
Four Hundred Ninety-Eighth Supplemental Indenture dated as of September 28, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(257)
|
(d)(540)
|
|
Four Hundred Ninety-Ninth Supplemental Indenture dated as of September 28, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(257)
|
(d)(541)
|
|
Five Hundredth Supplemental Indenture dated as of October 5, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(258)
|
(d)(542)
|
|
Five Hundred First Supplemental Indenture dated as of October 5, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(258)
|
(d)(543)
|
|
Five Hundred Second Supplemental Indenture dated as of October 13, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(259)
|
(d)(544)
|
|
Five Hundred Third Supplemental Indenture dated as of October 13, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(259)
|
(d)(545)
|
|
Five Hundred Fourth Supplemental Indenture dated as of October 19, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(260)
|
Exhibit No.
|
|
Description
|
(d)(546)
|
|
Five Hundred Fifth Supplemental Indenture dated as of October 19, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(260)
|
(d)(547)
|
|
Five Hundred Sixth Supplemental Indenture dated as of October 26, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(262)
|
(d)(548)
|
|
Five Hundred Seventh Supplemental Indenture dated as of October 26, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(262)
|
(d)(549)
|
|
Five Hundred Eighth Supplemental Indenture dated as of November 2, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(263)
|
(d)(550)
|
|
Five Hundred Ninth Supplemental Indenture dated as of November 2, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(263)
|
(d)(551)
|
|
Five Hundred Tenth Supplemental Indenture dated as of November 24, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(264)
|
(d)(552)
|
|
Five Hundred Eleventh Supplemental Indenture dated as of November 24, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(264)
|
(d)(553)
|
|
Five Hundred Twelfth Supplemental Indenture dated as of November 30, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(265)
|
(d)(554)
|
|
Five Hundred Thirteenth Supplemental Indenture dated as of November 30, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(265)
|
(d)(555)
|
|
Five Hundred Fourteenth Supplemental Indenture dated as of December 7, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(266)
|
(d)(556)
|
|
Five Hundred Fifteenth Supplemental Indenture dated as of December 7, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(266)
|
(d)(557)
|
|
Five Hundred Sixteenth Supplemental Indenture dated as of December 14, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(267)
|
(d)(558)
|
|
Five Hundred Seventeenth Supplemental Indenture dated as of December 14, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(267)
|
(d)(559)
|
|
Five Hundred Eighteenth Supplemental Indenture dated as of December 21, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(268)
|
(d)(560)
|
|
Five Hundred Nineteenth Supplemental Indenture dated as of December 21, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(268)
|
(d)(561)
|
|
Five Hundred Twentieth Supplemental Indenture dated as of December 29, 2017, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2022(269)
|
(d)(562)
|
|
Five Hundred Twenty-First Supplemental Indenture dated as of December 29, 2017, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2025(269)
|
(d)(563)
|
|
Five Hundred Twenty-Second Supplemental Indenture dated as of January 5, 2018, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2023(270)
|
(d)(564)
|
|
Five Hundred Twenty-Third Supplemental Indenture dated as of January 5, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2026(270)
|
(d)(565)
|
|
Five Hundred Twenty-Fourth Supplemental Indenture dated as of January 11, 2018, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2023(271)
|
(d)(566)
|
|
Five Hundred Twenty-Fifth Supplemental Indenture dated as of January 11, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2026(271)
|
(d)(567)
|
|
Five Hundred Twenty-Sixth Supplemental Indenture dated as of January 19, 2018, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2023(272)
|
(d)(568)
|
|
Five Hundred Twenty-Seventh Supplemental Indenture dated as of January 19, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2026(272)
|
(d)(569)
|
|
Five Hundred Twenty-Eighth Supplemental Indenture dated as of January 25, 2018, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2023(273)
|
(d)(570)
|
|
Five Hundred Twenty-Ninth Supplemental Indenture dated as of January 25, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2026(273)
|
(d)(571)
|
|
Five Hundred Thirtieth Supplemental Indenture dated as of February 1, 2018, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2023(274)
|
(d)(572)
|
|
Five Hundred Thirty-First Supplemental Indenture dated as of February 1, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2026(274)
|
Exhibit No.
|
|
Description
|
(d)(573)
|
|
Five Hundred Thirty-Second Supplemental Indenture dated as of February 8, 2018, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2023(275)
|
(d)(574)
|
|
Five Hundred Thirty-Third Supplemental Indenture dated as of February 8, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2026(275)
|
(d)(575)
|
|
Five Hundred Thirty-Fourth Supplemental Indenture dated as of February 23, 2018, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2023(276)
|
(d)(576)
|
|
Five Hundred Thirty-Fifth Supplemental Indenture dated as of February 23, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2026(276)
|
(d)(577)
|
|
Five Hundred Thirty-Sixth Supplemental Indenture dated as of March 1, 2018, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2023(277)
|
(d)(578)
|
|
Five Hundred Thirty-Seventh Supplemental Indenture dated as of March 1, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2026(277)
|
(d)(579)
|
|
Five Hundred Thirty-Eighth Supplemental Indenture dated as of March 8, 2018, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2023(278)
|
(d)(580)
|
|
Five Hundred Thirty-Ninth Supplemental Indenture dated as of March 8, 2018, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2026(278)
|
(d)(581)
|
|
Five Hundred Fortieth Supplemental Indenture dated as of March 15, 2018, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2023(279)
|
(d)(582)
|
|
Five Hundred Forty-First Supplemental Indenture dated as of March 15, 2018, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2026(279)
|
(d)(583)
|
|
Five Hundred Forty-Second Supplemental Indenture dated as of March 22, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2023(280)
|
(d)(584)
|
|
Five Hundred Forty-Third Supplemental Indenture dated as of March 22, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2026(280)
|
(d)(585)
|
|
Five Hundred Forty-Fourth Supplemental Indenture dated as of March 29, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2023(281)
|
(d)(586)
|
|
Five Hundred Forty-Fifth Supplemental Indenture dated as of March 29, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2026(281)
|
(d)(587)
|
|
Five Hundred Forty-Sixth Supplemental Indenture dated as of April 5, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2023(282)
|
(d)(588)
|
|
Five Hundred Forty-Seventh Supplemental Indenture dated as of April 5, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2026(282)
|
(d)(589)
|
|
Five Hundred Forty-Eighth Supplemental Indenture dated as of April 12, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2023(283)
|
(d)(590)
|
|
Five Hundred Forty-Ninth Supplemental Indenture dated as of April 12, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2026(283)
|
(d)(591)
|
|
Five Hundred Fiftieth Supplemental Indenture dated as of April 19, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2023(284)
|
(d)(592)
|
|
Five Hundred Fifty-First Supplemental Indenture dated as of April 19, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2026(284)
|
(d)(593)
|
|
Five Hundred Fifty-Second Supplemental Indenture dated as of April 26, 2018, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2023(285)
|
(d)(594)
|
|
Five Hundred Fifty-Third Supplemental Indenture dated as of April 26, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2026(285)
|
(d)(595)
|
|
Five Hundred Fifty-Fourth Supplemental Indenture dated as of May 3, 2018, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2023(286)
|
(d)(596)
|
|
Five Hundred Fifty-Fifth Supplemental Indenture dated as of May 3, 2018, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2026(286)
|
(d)(597)
|
|
Five Hundred Fifty-Sixth Supplemental Indenture dated as of May 10, 2018, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2023(287)
|
(d)(598)
|
|
Five Hundred Fifty-Seventh Supplemental Indenture dated as of May 10, 2018, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2025(287)
|
(d)(599)
|
|
Form of Global Note of 4.95% Convertible Notes due 2022(289)
|
Exhibit No.
|
|
Description
|
(d)(600)
|
|
Five Hundred Fifty-Eighth Supplemental Indenture dated as of May 24, 2018, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2023(293)
|
(d)(601)
|
|
Five Hundred Fifty-Ninth Supplemental Indenture dated as of May 24, 2018, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2025(293)
|
(d)(602)
|
|
Five Hundred Sixtieth Supplemental Indenture dated as of June 1, 2018, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2023(294)
|
(d)(603)
|
|
Five Hundred Sixty-First Supplemental Indenture dated as of June 1, 2018, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2025(294)
|
(d)(604)
|
|
Supplemental Indenture dated as of June 7, 2018, to the U.S. Bank Indenture, and Form of 6.250% Note due 2028(295)
|
(d)(605)
|
|
Form of Global Note of 5.875% Senior Notes due 2023(296)
|
(d)(606)
|
|
Five Hundred Sixty-Second Supplemental Indenture dated as of June 21, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(297)
|
(d)(607)
|
|
Five Hundred Sixty-Third Supplemental Indenture dated as of June 21, 2018, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2025(297)
|
(d)(608)
|
|
Five Hundred Sixty-Fourth Supplemental Indenture dated as of June 28, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(298)
|
(d)(609)
|
|
Five Hundred Sixty-Fifth Supplemental Indenture dated as of June 28, 2018, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2025(298)
|
(d)(610)
|
|
Supplemental Indenture dated as of July 2, 2018, to the U.S. Bank Indenture, and Form of 6.250% Note due 2024(299)
|
(d)(611)
|
|
Supplemental Indenture dated as of July 2, 2018, to the U.S. Bank Indenture, and Form of 6.250% Note due 2028(299)
|
(d)(612)
|
|
Five Hundred Sixty-Sixth Supplemental Indenture dated as of July 6, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(300)
|
(d)(613)
|
|
Five Hundred Sixty-Seventh Supplemental Indenture dated as of July 6, 2018, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2025(300)
|
(d)(614)
|
|
Five Hundred Sixty-Eighth Supplemental Indenture dated as of July 12, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(301)
|
(d)(615)
|
|
Five Hundred Sixty-Ninth Supplemental Indenture dated as of July 12, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2026(301)
|
(d)(616)
|
|
Five Hundred Seventieth Supplemental Indenture dated as of July 12, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(301)
|
(d)(617)
|
|
Five Hundred Seventy-First Supplemental Indenture dated as of July 19, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(302)
|
(d)(618)
|
|
Five Hundred Seventy-Second Supplemental Indenture dated as of July 19, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2026(302)
|
(d)(619)
|
|
Five Hundred Seventy-Third Supplemental Indenture dated as of July 19, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(302)
|
(d)(620)
|
|
Five Hundred Seventy-Fourth Supplemental Indenture dated as of July 26, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(303)
|
(d)(621)
|
|
Five Hundred Seventy-Fifth Supplemental Indenture dated as of July 26, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2025(303)
|
(d)(622)
|
|
Five Hundred Seventy-Sixth Supplemental Indenture dated as of July 26, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(303)
|
(d)(623)
|
|
Five Hundred Seventy-Seventh Supplemental Indenture dated as of August 2, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(304)
|
(d)(624)
|
|
Five Hundred Seventy-Eighth Supplemental Indenture dated as of August 2, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2025(304)
|
(d)(625)
|
|
Five Hundred Seventy-Ninth Supplemental Indenture dated as of August 2, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(304)
|
(d)(626)
|
|
Five Hundred Eightieth Supplemental Indenture dated as of August 9, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(306)
|
Exhibit No.
|
|
Description
|
(d)(627)
|
|
Five Hundred Eighty-First Supplemental Indenture dated as of August 9, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2025(306)
|
(d)(628)
|
|
Five Hundred Eighty-Second Supplemental Indenture dated as of August 9, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(306)
|
(d)(629)
|
|
Five Hundred Eighty-Third Supplemental Indenture dated as of August 16, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(307)
|
(d)(630)
|
|
Five Hundred Eighty-Fourth Supplemental Indenture dated as of August 16, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2025(307)
|
(d)(631)
|
|
Five Hundred Eighty-Fifth Supplemental Indenture dated as of August 16, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(307)
|
(d)(632)
|
|
Five Hundred Eighty-Sixth Supplemental Indenture dated as of August 23, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(308)
|
(d)(633)
|
|
Five Hundred Eighty-Seventh Supplemental Indenture dated as of August 23, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2025(308)
|
(d)(634)
|
|
Five Hundred Eighty-Eighth Supplemental Indenture dated as of August 23, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(308)
|
(d)(635)
|
|
Five Hundred Eighty-Ninth Supplemental Indenture dated as of August 30, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(309)
|
(d)(636)
|
|
Five Hundred Ninetieth Supplemental Indenture dated as of August 30, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2025(309)
|
(d)(637)
|
|
Five Hundred Ninety-First Supplemental Indenture dated as of August 30, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(309)
|
(d)(638)
|
|
Five Hundred Ninety-Second Supplemental Indenture dated as of September 13, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(311)
|
(d)(639)
|
|
Five Hundred Ninety-Third Supplemental Indenture dated as of September 13, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2025(311)
|
(d)(640)
|
|
Five Hundred Ninety-Fourth Supplemental Indenture dated as of September 13, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(311)
|
(d)(641)
|
|
Five Hundred Ninety-Fifth Supplemental Indenture dated as of September 20, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(312)
|
(d)(642)
|
|
Five Hundred Ninety-Sixth Supplemental Indenture dated as of September 20, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2025(312)
|
(d)(643)
|
|
Five Hundred Ninety-Seventh Supplemental Indenture dated as of September 20, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(312)
|
(d)(644)
|
|
Five Hundred Ninety-Eighth Supplemental Indenture dated as of September 27, 2018, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2023(313)
|
(d)(645)
|
|
Five Hundred Ninety-Ninth Supplemental Indenture dated as of September 27, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2025(313)
|
(d)(646)
|
|
Six Hundredth Supplemental Indenture dated as of September 27, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(313)
|
(d)(647)
|
|
Supplemental Indenture dated as of October 1, 2018, to the U.S. Bank Indenture(314)
|
(d)(648)
|
|
Form of 6.375% Senior Note due 2024(314)
|
(d)(649)
|
|
Six Hundred First Supplemental Indenture dated as of October 4, 2018, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2023(315)
|
(d)(650)
|
|
Six Hundred Second Supplemental Indenture dated as of October 4, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2025(315)
|
(d)(651)
|
|
Six Hundred Third Supplemental Indenture dated as of October 4, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2028(315)
|
(d)(652)
|
|
Six Hundred Fourth Supplemental Indenture dated as of October 12, 2018, to the U.S. Bank Indenture, and Form of 5.625% Prospect Capital InterNote® due 2023(316)
|
(d)(653)
|
|
Six Hundred Fifth Supplemental Indenture dated as of October 12, 2018, to the U.S. Bank Indenture, and Form of 5.875% Prospect Capital InterNote® due 2025(316)
|
(d)(654)
|
|
Six Hundred Sixth Supplemental Indenture dated as of October 12, 2018, to the U.S. Bank Indenture, and Form of 6.125% Prospect Capital InterNote® due 2028(316)
|
Exhibit No.
|
|
Description
|
(d)(655)
|
|
Six Hundred Seventh Supplemental Indenture dated as of October 18, 2018, to the U.S. Bank Indenture, and Form of 5.625% Prospect Capital InterNote® due 2023(317)
|
(d)(656)
|
|
Six Hundred Eighth Supplemental Indenture dated as of October 18, 2018, to the U.S. Bank Indenture, and Form of 5.875% Prospect Capital InterNote® due 2025(317)
|
(d)(657)
|
|
Six Hundred Ninth Supplemental Indenture dated as of October 18, 2018, to the U.S. Bank Indenture, and Form of 6.125% Prospect Capital InterNote® due 2028(317)
|
(d)(658)
|
|
Six Hundred Tenth Supplemental Indenture dated as of October 25, 2018, to the U.S. Bank Indenture, and Form of 5.625% Prospect Capital InterNote® due 2023(320)
|
(d)(659)
|
|
Six Hundred Eleventh Supplemental Indenture dated as of October 25, 2018, to the U.S. Bank Indenture, and Form of 5.875% Prospect Capital InterNote® due 2025(320)
|
(d)(660)
|
|
Six Hundred Twelfth Supplemental Indenture dated as of October 25, 2018, to the U.S. Bank Indenture, and Form of 6.125% Prospect Capital InterNote® due 2028(320)
|
(d)(661)
|
|
Six Hundred Thirteenth Supplemental Indenture dated as of November 1, 2018, to the U.S. Bank Indenture, and Form of 5.625% Prospect Capital InterNote® due 2023(321)
|
(d)(662)
|
|
Six Hundred Fourteenth Supplemental Indenture dated as of November 1, 2018, to the U.S. Bank Indenture, and Form of 5.875% Prospect Capital InterNote® due 2025(321)
|
(d)(663)
|
|
Six Hundred Fifteenth Supplemental Indenture dated as of November 1, 2018, to the U.S. Bank Indenture, and Form of 6.125% Prospect Capital InterNote® due 2028(321)
|
(d)(664)
|
|
Six Hundred Sixteenth Supplemental Indenture dated as of November 8, 2018, to the U.S. Bank Indenture, and Form of 5.625% Prospect Capital InterNote® due 2023(322)
|
(d)(665)
|
|
Six Hundred Seventeenth Supplemental Indenture dated as of November 8, 2018, to the U.S. Bank Indenture, and Form of 5.875% Prospect Capital InterNote® due 2025(322)
|
(d)(666)
|
|
Six Hundred Eighteenth Supplemental Indenture dated as of November 8, 2018, to the U.S. Bank Indenture, and Form of 6.125% Prospect Capital InterNote® due 2028(322)
|
(d)(667)
|
|
Six Hundred Nineteenth Supplemental Indenture dated as of November 23, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2023(324)
|
(d)(668)
|
|
Six Hundred Twentieth Supplemental Indenture dated as of November 23, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2025(324)
|
(d)(669)
|
|
Six Hundred Twenty-First Supplemental Indenture dated as of November 23, 2018, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2028(324)
|
(d)(670)
|
|
Six Hundred Twenty-Second Supplemental Indenture dated as of November 29, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2023(325)
|
(d)(671)
|
|
Six Hundred Twenty-Third Supplemental Indenture dated as of November 29, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2025(325)
|
(d)(672)
|
|
Six Hundred Twenty-Fourth Supplemental Indenture dated as of November 29, 2018, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2028(325)
|
(d)(673)
|
|
Supplemental Indenture dated as of December 5, 2018, to the U.S. Bank Indenture, and Form of 6.875% Senior Note due 2029(326)
|
(d)(674)
|
|
Six Hundred Twenty-Fifth Supplemental Indenture dated as of December 13, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2023(327)
|
(d)(675)
|
|
Six Hundred Twenty-Sixth Supplemental Indenture dated as of December 13, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2025(327)
|
(d)(676)
|
|
Six Hundred Twenty-Seventh Supplemental Indenture dated as of December 20, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2023(328)
|
(d)(677)
|
|
Six Hundred Twenty-Eighth Supplemental Indenture dated as of December 20, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2025(328)
|
(d)(678)
|
|
Six Hundred Twenty-Ninth Supplemental Indenture dated as of December 28, 2018, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2023(329)
|
(d)(679)
|
|
Six Hundred Thirtieth Supplemental Indenture dated as of December 28, 2018, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2025(329)
|
(d)(680)
|
|
Six Hundred Thirty-First Supplemental Indenture dated as of January 4, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(330)
|
(d)(681)
|
|
Six Hundred Thirty-Second Supplemental Indenture dated as of January 4, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(330)
|
Exhibit No.
|
|
Description
|
(d)(682)
|
|
Six Hundred Thirty-Third Supplemental Indenture dated as of January 10, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(331)
|
(d)(683)
|
|
Six Hundred Thirty-Fourth Supplemental Indenture dated as of January 10, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(331)
|
(d)(684)
|
|
Six Hundred Thirty-Fifth Supplemental Indenture dated as of January 17, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(332)
|
(d)(685)
|
|
Six Hundred Thirty-Sixth Supplemental Indenture dated as of January 17, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(332)
|
(d)(686)
|
|
Six Hundred Thirty-Seventh Supplemental Indenture dated as of January 25, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(333)
|
(d)(687)
|
|
Six Hundred Thirty-Eighth Supplemental Indenture dated as of January 25, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(333)
|
(d)(688)
|
|
Six Hundred Thirty-Ninth Supplemental Indenture dated as of January 25, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(333)
|
(d)(689)
|
|
Six Hundred Fortieth Supplemental Indenture dated as of January 31, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(334)
|
(d)(690)
|
|
Six Hundred Forty-First Supplemental Indenture dated as of January 31, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(334)
|
(d)(691)
|
|
Six Hundred Forty-Second Supplemental Indenture dated as of January 31, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(334)
|
(d)(692)
|
|
Six Hundred Forty-Third Supplemental Indenture dated as of February 7, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(335)
|
(d)(693)
|
|
Six Hundred Forty-Fourth Supplemental Indenture dated as of February 7, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(335)
|
(d)(694)
|
|
Six Hundred Forty-Fifth Supplemental Indenture dated as of February 7, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(335)
|
(d)(695)
|
|
Supplemental Indenture dated as of February 7, 2019, to the U.S. Bank Indenture and Form of 6.875% Note due 2029(336)
|
(d)(696)
|
|
Six Hundred Forty-Sixth Supplemental Indenture dated as of February 22, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(337)
|
(d)(697)
|
|
Six Hundred Forty-Seventh Supplemental Indenture dated as of February 22, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(337)
|
(d)(698)
|
|
Six Hundred Forty-Eighth Supplemental Indenture dated as of February 22, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(337)
|
(d)(699)
|
|
Six Hundred Forty-Ninth Supplemental Indenture dated as of February 28, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(338)
|
(d)(700)
|
|
Six Hundred Fiftieth Supplemental Indenture dated as of February 28, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(338)
|
(d)(701)
|
|
Six Hundred Fifty-First Supplemental Indenture dated as of February 28, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(338)
|
(d)(702)
|
|
Supplemental Indenture dated as of March 1, 2019, to the U.S. Bank Indenture, and Form of 6.375% Convertible Note due 2025(339)
|
(d)(703)
|
|
Six Hundred Fifty-Second Supplemental Indenture dated as of March 7, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(340)
|
(d)(704)
|
|
Six Hundred Fifty-Third Supplemental Indenture dated as of March 7, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(340)
|
(d)(705)
|
|
Six Hundred Fifty-Fourth Supplemental Indenture dated as of March 7, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(340)
|
(d)(706)
|
|
Six Hundred Fifty-Fifth Supplemental Indenture dated as of March 14, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(341)
|
(d)(707)
|
|
Six Hundred Fifty-Sixth Supplemental Indenture dated as of March 14, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(341)
|
(d)(708)
|
|
Six Hundred Fifty-Seventh Supplemental Indenture dated as of March 14, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(341)
|
Exhibit No.
|
|
Description
|
(d)(709)
|
|
Six Hundred Fifty-Eighth Supplemental Indenture dated as of March 21, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(342)
|
(d)(710)
|
|
Six Hundred Fifty-Ninth Supplemental Indenture dated as of March 21, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(342)
|
(d)(711)
|
|
Six Hundred Sixtieth Supplemental Indenture dated as of March 21, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(342)
|
(d)(712)
|
|
Six Hundred Sixty-First Supplemental Indenture dated as of March 28, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(343)
|
(d)(713)
|
|
Six Hundred Sixty-Second Supplemental Indenture dated as of March 28, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(343)
|
(d)(714)
|
|
Six Hundred Sixty-Third Supplemental Indenture dated as of March 28, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(343)
|
(d)(715)
|
|
Six Hundred Sixty-Fourth Supplemental Indenture dated as of April 4, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(344)
|
(d)(716)
|
|
Six Hundred Sixty-Fifth Supplemental Indenture dated as of April 4, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(344)
|
(d)(717)
|
|
Six Hundred Sixty-Sixth Supplemental Indenture dated as of April 4, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(344)
|
(d)(718)
|
|
Six Hundred Sixty-Seventh Supplemental Indenture dated as of April 11, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(345)
|
(d)(719)
|
|
Six Hundred Sixty-Eighth Supplemental Indenture dated as of April 11, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(345)
|
(d)(720)
|
|
Six Hundred Sixty-Ninth Supplemental Indenture dated as of April 11, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(345)
|
(d)(721)
|
|
Six Hundred Seventieth Supplemental Indenture dated as of April 18, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2024(346)
|
(d)(722)
|
|
Six Hundred Seventy-First Supplemental Indenture dated as of April 18, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2026(346)
|
(d)(723)
|
|
Six Hundred Seventy-Second Supplemental Indenture dated as of April 18, 2019, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(346)
|
(d)(724)
|
|
Six Hundred Seventy-Third Supplemental Indenture dated as of April 25, 2019, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2024(347)
|
(d)(725)
|
|
Six Hundred Seventy-Fourth Supplemental Indenture dated as of April 25, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2026(347)
|
(d)(726)
|
|
Six Hundred Seventy-Fifth Supplemental Indenture dated as of April 25, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2029(347)
|
(d)(727)
|
|
Six Hundred Seventy-Sixth Supplemental Indenture dated as of May 2, 2019, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2024(348)
|
(d)(728)
|
|
Six Hundred Seventy-Seventh Supplemental Indenture dated as of May 2, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2026(348)
|
(d)(729)
|
|
Six Hundred Seventy-Eighth Supplemental Indenture dated as of May 2, 2019, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2029(348)
|
(d)(730)
|
|
Six Hundred Seventy-Ninth Supplemental Indenture dated as of May 9, 2019, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2024(349)
|
(d)(731)
|
|
Six Hundred Eightieth Supplemental Indenture dated as of May 9, 2019, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2026(349)
|
(d)(732)
|
|
Six Hundred Eighty-First Supplemental Indenture dated as of May 9, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2029(349)
|
(d)(733)
|
|
Six Hundred Eighty-Second Supplemental Indenture dated as of May 23, 2019, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2024(351)
|
(d)(734)
|
|
Six Hundred Eighty-Third Supplemental Indenture dated as of May 23, 2019, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2026(351)
|
(d)(735)
|
|
Six Hundred Eighty-Fourth Supplemental Indenture dated as of May 23, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2029(351)
|
Exhibit No.
|
|
Description
|
(d)(736)
|
|
Six Hundred Eighty-Fifth Supplemental Indenture dated as of May 31, 2019, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2024(352)
|
(d)(737)
|
|
Six Hundred Eighty-Sixth Supplemental Indenture dated as of May 31, 2019, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2026(352)
|
(d)(738)
|
|
Six Hundred Eighty-Seventh Supplemental Indenture dated as of May 31, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2029(352)
|
(d)(739)
|
|
Six Hundred Eighty-Eighth Supplemental Indenture dated as of June 6, 2019, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2024(353)
|
(d)(740)
|
|
Six Hundred Eighty-Ninth Supplemental Indenture dated as of June 6, 2019, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2026(353)
|
(d)(741)
|
|
Six Hundred Ninetieth Supplemental Indenture dated as of June 6, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2029(353)
|
(d)(742)
|
|
Six Hundred Ninety-First Supplemental Indenture dated as of June 13, 2019, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2024(354)
|
(d)(743)
|
|
Six Hundred Ninety-Second Supplemental Indenture dated as of June 13, 2019, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2026(354)
|
(d)(744)
|
|
Six Hundred Ninety-Third Supplemental Indenture dated as of June 13, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2029(354)
|
(d)(745)
|
|
Six Hundred Ninety-Fourth Supplemental Indenture dated as of June 20, 2019, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2024(355)
|
(d)(746)
|
|
Six Hundred Ninety-Fifth Supplemental Indenture dated as of June 20, 2019, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2026(355)
|
(d)(747)
|
|
Six Hundred Ninety-Sixth Supplemental Indenture dated as of June 20, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2029(355)
|
(d)(748)
|
|
Six Hundred Ninety-Seventh Supplemental Indenture dated as of June 27, 2019, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2024(356)
|
(d)(749)
|
|
Six Hundred Ninety-Eighth Supplemental Indenture dated as of June 27, 2019, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2026(356)
|
(d)(750)
|
|
Six Hundred Ninety-Ninth Supplemental Indenture dated as of June 27, 2019, to the U.S. Bank Indenture, and Form of 5.750% Prospect Capital InterNote® due 2029(356)
|
(d)(751)
|
|
Seven Hundredth Supplemental Indenture dated as of July 5, 2019, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2024(357)
|
(d)(752)
|
|
Seven Hundred First Supplemental Indenture dated as of July 5, 2019, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2026(357)
|
(d)(753)
|
|
Seven Hundred Second Supplemental Indenture dated as of July 5, 2019, to the U.S. Bank Indenture, and Form of 5.500% Prospect Capital InterNote® due 2029(357)
|
(d)(754)
|
|
Seven Hundred Third Supplemental Indenture dated as of July 5, 2019, to the U.S. Bank Indenture, and Form of 5.000% to 7.500% Prospect Capital InterNote® due 2029(357)
|
(d)(755)
|
|
Seven Hundred Fourth Supplemental Indenture dated as of July 11, 2019, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2024(358)
|
(d)(756)
|
|
Seven Hundred Fifth Supplemental Indenture dated as of July 11, 2019, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2026(358)
|
(d)(757)
|
|
Seven Hundred Sixth Supplemental Indenture dated as of July 11, 2019, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2029(358)
|
(d)(758)
|
|
Seven Hundred Seventh Supplemental Indenture dated as of July 11, 2019, to the U.S. Bank Indenture, and Form of 4.750% to 7.250% Prospect Capital InterNote® due 2029(358)
|
(d)(759)
|
|
Seven Hundred Eighth Supplemental Indenture dated as of July 18, 2019, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2024(359)
|
(d)(760)
|
|
Seven Hundred Ninth Supplemental Indenture dated as of July 18, 2019, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2026(359)
|
(d)(761)
|
|
Seven Hundred Tenth Supplemental Indenture dated as of July 18, 2019, to the U.S. Bank Indenture, and Form of 5.250% Prospect Capital InterNote® due 2029(359)
|
(d)(762)
|
|
Seven Hundred Eleventh Supplemental Indenture dated as of July 18, 2019, to the U.S. Bank Indenture, and Form of 4.750% to 7.250% Prospect Capital InterNote® due 2029(359)
|
Exhibit No.
|
|
Description
|
(d)(763)
|
|
Seven Hundred Twelfth Supplemental Indenture dated as of July 25, 2019, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2024(360)
|
(d)(764)
|
|
Seven Hundred Thirteenth Supplemental Indenture dated as of July 25, 2019, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2026(360)
|
(d)(765)
|
|
Seven Hundred Fourteenth Supplemental Indenture dated as of July 25, 2019, to the U.S. Bank Indenture, and Form of 5.000% Prospect Capital InterNote® due 2029(360)
|
(d)(766)
|
|
Seven Hundred Fifteenth Supplemental Indenture dated as of July 25, 2019, to the U.S. Bank Indenture, and Form of 4.500% to 7.000% Prospect Capital InterNote® due 2029(360)
|
(d)(767)
|
|
Seven Hundred Sixteenth Supplemental Indenture dated as of August 1, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2024(361)
|
(d)(768)
|
|
Seven Hundred Seventeenth Supplemental Indenture dated as of August 1, 2019, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2026(361)
|
(d)(769)
|
|
Seven Hundred Eighteenth Supplemental Indenture dated as of August 1, 2019, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2029(361)
|
(d)(770)
|
|
Seven Hundred Nineteenth Supplemental Indenture dated as of August 1, 2019, to the U.S. Bank Indenture, and Form of 4.250% to 6.750% Prospect Capital InterNote® due 2029(361)
|
(d)(771)
|
|
Form of Supplemental Indenture (floating rate notes)(366)
|
(d)(772)
|
|
Form of Supplemental Indenture (fixed rate notes)(362)
|
(d)(773)
|
|
Seven Hundred Twentieth Supplemental Indenture dated as of August 8, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2024(363)
|
(d)(774)
|
|
Seven Hundred Twenty-First Supplemental Indenture dated as of August 8, 2019, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2026(363)
|
(d)(775)
|
|
Seven Hundred Twenty-Second Supplemental Indenture dated as of August 8, 2019, to the U.S. Bank Indenture, and Form of 4.750% Prospect Capital InterNote® due 2029(363)
|
(d)(776)
|
|
Seven Hundred Twenty-Third Supplemental Indenture dated as of August 8, 2019, to the U.S. Bank Indenture, and Form of 4.250% to 6.750% Prospect Capital InterNote® due 2029(363)
|
(d)(777)
|
|
Seven Hundred Twenty-Fourth Supplemental Indenture dated as of August 15, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2024(364)
|
(d)(778)
|
|
Seven Hundred Twenty-Fifth Supplemental Indenture dated as of August 15, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2026(364)
|
(d)(779)
|
|
Seven Hundred Twenty-Sixth Supplemental Indenture dated as of August 15, 2019, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2029(364)
|
(d)(780)
|
|
Seven Hundred Twenty-Seventh Supplemental Indenture dated as of August 15, 2019, to the U.S. Bank Indenture, and Form of 4.000% to 6.500% Prospect Capital InterNote® due 2029(364)
|
(d)(781)
|
|
Seven Hundred Twenty-Eighth Supplemental Indenture dated as of August 22, 2019, to the U.S. Bank Indenture, and Form of 3.750% Prospect Capital InterNote® due 2024(365)
|
(d)(782)
|
|
Seven Hundred Twenty-Ninth Supplemental Indenture dated as of August 22, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2026(365)
|
(d)(783)
|
|
Seven Hundred Thirtieth Supplemental Indenture dated as of August 22, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2029(365)
|
(d)(784)
|
|
Seven Hundred Thirty-First Supplemental Indenture dated as of August 22, 2019, to the U.S. Bank Indenture, and Form of 3.750% to 6.250% Prospect Capital InterNote® due 2029(365)
|
(d)(785)
|
|
Seven Hundred Thirty-Second Supplemental Indenture dated as of September 26, 2019, to the U.S. Bank Indenture, and Form of 3.750% Prospect Capital InterNote® due 2024(368)
|
(d)(786)
|
|
Seven Hundred Thirty-Third Supplemental Indenture dated as of September 26, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2026(368)
|
(d)(787)
|
|
Seven Hundred Thirty-Fourth Supplemental Indenture dated as of September 26, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2029(368)
|
(d)(788)
|
|
Seven Hundred Thirty-Fifth Supplemental Indenture dated as of September 26, 2019, to the U.S. Bank Indenture, and Form of 3.750% to 6.250% Prospect Capital InterNote® due 2029(368)
|
(d)(789)
|
|
Seven Hundred Thirty-Sixth Supplemental Indenture dated as of October 3, 2019, to the U.S. Bank Indenture, and Form of 3.750% Prospect Capital InterNote® due 2024(369)
|
(d)(790)
|
|
Seven Hundred Thirty-Seventh Supplemental Indenture dated as of October 3, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2026(369)
|
Exhibit No.
|
|
Description
|
(d)(791)
|
|
Seven Hundred Thirty-Eighth Supplemental Indenture dated as of October 3, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2029(369)
|
(d)(792)
|
|
Seven Hundred Thirty-Ninth Supplemental Indenture dated as of October 3, 2019, to the U.S. Bank Indenture, and Form of 3.750% to 6.250% Prospect Capital InterNote® due 2029(369)
|
(d)(793)
|
|
Seven Hundred Fortieth Supplemental Indenture dated as of October 10, 2019, to the U.S. Bank Indenture, and Form of 3.750% Prospect Capital InterNote® due 2024(370)
|
(d)(794)
|
|
Seven Hundred Forty-First Supplemental Indenture dated as of October 10, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2026(370)
|
(d)(795)
|
|
Seven Hundred Forty-Second Supplemental Indenture dated as of October 10, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2029(370)
|
(d)(796)
|
|
Seven Hundred Forty-Third Supplemental Indenture dated as of October 10, 2019, to the U.S. Bank Indenture, and Form of 3.750% to 6.250% Prospect Capital InterNote® due 2029(370)
|
(d)(797)
|
|
Seven Hundred Forty-Fourth Supplemental Indenture dated as of October 18, 2019, to the U.S. Bank Indenture, and Form of 3.750% Prospect Capital InterNote® due 2024(371)
|
(d)(798)
|
|
Seven Hundred Forty-Fifth Supplemental Indenture dated as of October 18, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2026(371)
|
(d)(799)
|
|
Seven Hundred Forty-Sixth Supplemental Indenture dated as of October 18, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2029(371)
|
(d)(800)
|
|
Seven Hundred Forty-Seventh Supplemental Indenture dated as of October 24, 2019, to the U.S. Bank Indenture, and Form of 3.750% Prospect Capital InterNote® due 2024(372)
|
(d)(801)
|
|
Seven Hundred Forty-Eighth Supplemental Indenture dated as of October 24, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2026(372)
|
(d)(802)
|
|
Seven Hundred Forty-Ninth Supplemental Indenture dated as of October 24, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2029(372)
|
(d)(803)
|
|
Seven Hundred Fiftieth Supplemental Indenture dated as of October 31, 2019, to the U.S. Bank Indenture, and Form of 3.750% Prospect Capital InterNote® due 2024(373)
|
(d)(804)
|
|
Seven Hundred Fifty-First Supplemental Indenture dated as of October 31, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2026(373)
|
(d)(805)
|
|
Seven Hundred Fifty-Second Supplemental Indenture dated as of October 31, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2029(373)
|
(d)(806)
|
|
Seven Hundred Fifty-Third Supplemental Indenture dated as of November 7, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2024(374)
|
(d)(807)
|
|
Seven Hundred Fifty-Fourth Supplemental Indenture dated as of November 7, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2026(374)
|
(d)(808)
|
|
Seven Hundred Fifty-Fifth Supplemental Indenture dated as of November 7, 2019, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2029(374)
|
(d)(809)
|
|
Seven Hundred Fifty-Sixth Supplemental Indenture dated as of November 21, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2024(375)
|
(d)(810)
|
|
Seven Hundred Fifty-Seventh Supplemental Indenture dated as of November 21, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2026(375)
|
(d)(811)
|
|
Seven Hundred Fifty-Eighth Supplemental Indenture dated as of November 21, 2019, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2029(375)
|
(d)(812)
|
|
Seven Hundred Fifty-Ninth Supplemental Indenture dated as of November 29, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2024(376)
|
(d)(813)
|
|
Seven Hundred Sixtieth Supplemental Indenture dated as of November 29, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2026(376)
|
(d)(814)
|
|
Seven Hundred Sixty-First Supplemental Indenture dated as of November 29, 2019, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2029(376)
|
(d)(815)
|
|
Seven Hundred Sixty-Second Supplemental Indenture dated as of December 5, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2024(377)
|
(d)(816)
|
|
Seven Hundred Sixty-Third Supplemental Indenture dated as of December 5, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2026(377)
|
(d)(817)
|
|
Seven Hundred Sixty-Fourth Supplemental Indenture dated as of December 5, 2019, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2029(377)
|
Exhibit No.
|
|
Description
|
(d)(818)
|
|
Seven Hundred Sixty-Fifth Supplemental Indenture dated as of December 12, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2024(378)
|
(d)(819)
|
|
Seven Hundred Sixty-Sixth Supplemental Indenture dated as of December 12, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2026(378)
|
(d)(820)
|
|
Seven Hundred Sixty-Seventh Supplemental Indenture dated as of December 12, 2019, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2029(378)
|
(d)(821)
|
|
Seven Hundred Sixty-Eighth Supplemental Indenture dated as of December 19, 2019, to the U.S. Bank Indenture, and Form of 3.750% Prospect Capital InterNote® due 2024(379)
|
(d)(822)
|
|
Seven Hundred Sixty-Ninth Supplemental Indenture dated as of December 19, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2026(379)
|
(d)(823)
|
|
Seven Hundred Seventieth Supplemental Indenture dated as of December 19, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2029(379)
|
(d)(824)
|
|
Seven Hundred Seventy-First Supplemental Indenture dated as of December 27, 2019, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2024(380)
|
(d)(825)
|
|
Seven Hundred Seventy-Second Supplemental Indenture dated as of December 27, 2019, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2026(380)
|
(d)(826)
|
|
Seven Hundred Seventy-Third Supplemental Indenture dated as of December 27, 2019, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2029(380)
|
(d)(827)
|
|
Seven Hundred Seventy-Fourth Supplemental Indenture dated as of January 3, 2020, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2025(381)
|
(d)(828)
|
|
Seven Hundred Seventy-Fifth Supplemental Indenture dated as of January 3, 2020, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2027(381)
|
(d)(829)
|
|
Seven Hundred Seventy-Sixth Supplemental Indenture dated as of January 3, 2020, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2030(381)
|
(d)(830)
|
|
Seven Hundred Seventy-Seventh Supplemental Indenture dated as of January 9, 2020, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2025(382)
|
(d)(831)
|
|
Seven Hundred Seventy-Eighth Supplemental Indenture dated as of January 9, 2020, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2027(382)
|
(d)(832)
|
|
Seven Hundred Seventy-Ninth Supplemental Indenture dated as of January 9, 2020, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2030(382)
|
(d)(833)
|
|
Seven Hundred Eightieth Supplemental Indenture dated as of January 16, 2020, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2025(383)
|
(d)(834)
|
|
Seven Hundred Eighty-First Supplemental Indenture dated as of January 16, 2020, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2027(383)
|
(d)(835)
|
|
Seven Hundred Eighty-Second Supplemental Indenture dated as of January 16, 2020, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2030(383)
|
(d)(836)
|
|
Seven Hundred Eighty-Third Supplemental Indenture dated as of January 24, 2020, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2025(384)
|
(d)(837)
|
|
Seven Hundred Eighty-Fourth Supplemental Indenture dated as of January 24, 2020, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2027(384)
|
(d)(838)
|
|
Seven Hundred Eighty-Fifth Supplemental Indenture dated as of January 24, 2020, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2030(384)
|
(d)(839)
|
|
Seven Hundred Eighty-Sixth Supplemental Indenture dated as of January 30, 2020, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2025(385)
|
(d)(840)
|
|
Seven Hundred Eighty-Seventh Supplemental Indenture dated as of January 30, 2020, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2027(385)
|
(d)(841)
|
|
Seven Hundred Eighty-Eighth Supplemental Indenture dated as of January 30, 2020, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2030(385)
|
(d)(842)
|
|
Seven Hundred Eighty-Ninth Supplemental Indenture dated as of February 6, 2020, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2025(386)
|
(d)(843)
|
|
Seven Hundred Ninetieth Supplemental Indenture dated as of February 6, 2020, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2027(386)
|
(d)(844)
|
|
Seven Hundred Ninety-First Supplemental Indenture dated as of February 6, 2020, to the U.S. Bank Indenture, and Form of 4.500% Prospect Capital InterNote® due 2030(386)
|
Exhibit No.
|
|
Description
|
(d)(845)
|
|
Seven Hundred Ninety-Second Supplemental Indenture dated as of February 12, 2020, to the U.S. Bank Indenture, and Form of 3.750% Prospect Capital InterNote® due 2025(387)
|
(d)(846)
|
|
Seven Hundred Ninety-Third Supplemental Indenture dated as of February 12, 2020, to the U.S. Bank Indenture, and Form of 4.000% Prospect Capital InterNote® due 2027(387)
|
(d)(847)
|
|
Seven Hundred Ninety-Fourth Supplemental Indenture dated as of February 12, 2020, to the U.S. Bank Indenture, and Form of 4.250% Prospect Capital InterNote® due 2030(387)
|
(e)
|
|
Dividend Reinvestment and Direct Stock Purchase Plan(174)
|
(f)
|
|
Not Applicable
|
(g)
|
|
Form of Investment Advisory Agreement between Registrant and Prospect Capital Management L.P.(2)
|
(h)(1)
|
|
Selling Agent Agreement, dated February 13, 2020, by and among, the Registrant, Prospect Capital Management L.P., Prospect Administration LLC, Incapital LLC and the Agents named therein and added from time to time†
|
(h)(2)
|
|
Form of Equity Distribution Agreement(109)
|
(h)(3)
|
|
Underwriting Agreement, dated December 3, 2015(167)
|
(h)(4)
|
|
Form of Debt Distribution Agreement(201)
|
(h)(5)
|
|
Debt Distribution Agreement, dated July 2, 2018(299)
|
(h)(6)
|
|
Debt Distribution Agreement, dated July 2, 2018(299)
|
(h)(7)
|
|
Underwriting Agreement, dated November 28, 2018(326)
|
(h)(8)
|
|
Debt Distribution Agreement, dated February 7, 2019(336)
|
(h)(9)
|
|
Debt Distribution Agreement, dated February 7, 2019(336)
|
(h)(10)
|
|
Debt Distribution Agreement, dated February 7, 2019(336)
|
(h)(11)
|
|
Underwriting Agreement, dated February 27, 2019(339)
|
(h)(12)
|
|
Form of Selling Agent Agreement(366)
|
(i)
|
|
Not Applicable
|
(j)(1)
|
|
Amended and Restated Custody Agreement, dated as of September 23, 2014, by and between the Registrant and U.S. Bank National Association(106)
|
(j)(2)
|
|
Custody Agreement, dated as of April 24, 2013, by and between the Registrant and Israeli Discount Bank of New York Ltd.(5)
|
(j)(3)
|
|
Custody Agreement, dated as of October 28, 2013, by and between the Registrant and Fifth Third Bank(82)
|
(j)(4)
|
|
Custody Agreement, dated as of May 9, 2014, by and between the Registrant and Customers Bank(104)
|
(j)(5)
|
|
Custody Agreement, dated as of May 9, 2014, by and between the Registrant and Peapack-Gladstone Bank(105)
|
(j)(6)
|
|
Custody Agreement, dated as of October 10, 2014, by and between Prospect Yield Corporation, LLC and U.S. Bank National Association(106)
|
(j)(7)
|
|
Custody Agreement, dated as of August 27, 2014, by and between the Registrant and BankUnited, N.A.(158)
|
(j)(8)
|
|
Third Amended and Restated Custody Agreement, dated as of November 6, 2015, by and between Prospect Small Business Lending, LLC and Deutsche Bank Trust Company Americas(252)
|
(k)(1)
|
|
Form of Administration Agreement between Registrant and Prospect Administration LLC(2)
|
(k)(2)
|
|
Form of Transfer Agency and Registrar Services Agreement(4)
|
(k)(3)
|
|
Form of Trademark License Agreement between the Registrant and Prospect Capital Investment Management, LLC(2)
|
(k)(4)
|
|
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, and KeyBank National Association as Facility Agent, Syndication Agent, Structuring Agent, Sole Lead Arranger and Sole Bookrunner(305)
|
(l)(1)
|
|
Opinion and Consent of Venable LLP, as special Maryland counsel for the Registrant†
|
(l)(2)
|
|
Opinion and Consent of Skadden, Arps, Slate, Meagher & Flom LLP, as special New York counsel for the Registrant†
|
(m)
|
|
Not Applicable
|
(n)(1)
|
|
Power of Attorney†
|
(n)(2)
|
|
Consent of independent registered public accounting firm (BDO USA, LLP)†
|
Exhibit No.
|
|
Description
|
(n)(3)
|
|
Report of independent registered public accounting firm on “Senior Securities” table†
|
(n)(4)
|
|
Consent of independent auditor (RSM US LLP)†
|
(n)(5)
|
|
Consent of independent auditor (BDO USA, LLP)†
|
(o)
|
|
Not Applicable
|
(p)
|
|
Not Applicable
|
(q)
|
|
Not Applicable
|
(r)
|
|
Code of Ethics(203)
|
99.1
|
|
Form of Preliminary Prospectus Supplement For Common Stock Offerings†
|
99.2
|
|
Form of Preliminary Prospectus Supplement For Preferred Stock Offerings†
|
99.3
|
|
Form of Preliminary Prospectus Supplement For Debt Offerings†
|
99.4
|
|
Form of Preliminary Prospectus Supplement For Rights Offerings†
|
99.5
|
|
Form of Preliminary Prospectus Supplement For Warrant Offerings†
|
99.6
|
|
Form of Preliminary Prospectus Supplement For Unit Offerings†
|
(1)
|
Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on May 9, 2014.
|
(2)
|
Incorporated by reference from the Registrant’s Pre-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on July 6, 2004.
|
(3)
|
Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on December 11, 2015.
|
(4)
|
Incorporated by reference from the Registrant’s Pre-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on July 23, 2004.
|
(5)
|
Incorporated by reference to Exhibit 10.258 of the Registrant’s Form 10-K, filed on August 21, 2013.
|
(6)
|
Incorporated by reference to Exhibit 4.2 of the Registrant’s Form 8-K, filed on February 18, 2011.
|
(7)
|
Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on December 21, 2010.
|
(8)
|
Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on February 18, 2011.
|
(9)
|
Incorporated by reference from the Registrant’s Registration Statement on Form N-2, filed on September 1, 2011.
|
(10)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on March 1, 2012.
|
(11)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on March 8, 2012.
|
(12)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on March 14, 2012.
|
(13)
|
Incorporated by reference to Exhibit 10.1 of the Registrant’s Form 8-K, filed on September 4, 2014.
|
(14)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 5 to the Registration Statement on Form N-2, filed on April 5, 2012.
|
(15)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 6 to the Registration Statement on Form N-2, filed on April 12, 2012.
|
(16)
|
Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on April 16, 2012.
|
(17)
|
Incorporated by reference to Exhibit 4.2 of the Registrant’s Form 8-K, filed on April 16, 2012.
|
(18)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 8 to the Registration Statement on Form N-2, filed on April 26, 2012.
|
(19)
|
Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on August 14, 2012.
|
(20)
|
Incorporated by reference to Exhibit 4.2 of the Registrant’s Form 8-K, filed on August 14, 2012.
|
(21)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 26 to the Registration Statement on Form N-2, filed on September 27, 2012.
|
(22)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 27 to the Registration Statement on Form N-2, filed on October 4, 2012.
|
(23)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on November 23, 2012.
|
(24)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on November 29, 2012.
|
(25)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 4 to the Registration Statement on Form N-2, filed on December 6, 2012.
|
(26)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 5 to the Registration Statement on Form N-2, filed on December 13, 2012.
|
(27)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 6 to the Registration Statement on Form N-2, filed on December 20, 2012.
|
(28)
|
Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on December 21, 2012.
|
(29)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 8 to the Registration Statement on Form N-2, filed on December 28, 2012.
|
(30)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 9 to the Registration Statement on Form N-2, filed on January 4, 2013.
|
(31)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 10 to the Registration Statement on Form N-2, filed on January 10, 2013.
|
(32)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 11 to the Registration Statement on Form N-2, filed on January 17, 2013.
|
(33)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 12 to the Registration Statement on Form N-2, filed on January 25, 2013.
|
(34)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 13 to the Registration Statement on Form N-2, filed on January 31, 2013.
|
(35)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 14 to the Registration Statement on Form N-2, filed on February 7, 2013.
|
(36)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 16 to the Registration Statement on Form N-2, filed on February 22, 2013.
|
(37)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 17 to the Registration Statement on Form N-2, filed on February 28, 2013.
|
(38)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 18 to the Registration Statement on Form N-2, filed on March 7, 2013.
|
(39)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 19 to the Registration Statement on Form N-2, filed on March 14, 2013.
|
(40)
|
Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on March 15, 2013.
|
(41)
|
Incorporated by reference to Exhibit 4.2 of the Registrant’s Form 8-K, filed on March 15, 2013.
|
(42)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 21 to the Registration Statement on Form N-2, filed on March 21, 2013.
|
(43)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 22 to the Registration Statement on Form N-2, filed on March 28, 2013.
|
(44)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 23 to the Registration Statement on Form N-2, filed on April 4, 2013.
|
(45)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 24 to the Registration Statement on Form N-2, filed on April 11, 2013.
|
(46)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 25 to the Registration Statement on Form N-2, filed on April 18, 2013.
|
(47)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 26 to the Registration Statement on Form N-2, filed on April 25, 2013.
|
(48)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 27 to the Registration Statement on Form N-2, filed on May 2, 2013.
|
(49)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 29 to the Registration Statement on Form N-2, filed on May 9, 2013.
|
(50)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 30 to the Registration Statement on Form N-2, filed on May 23, 2013.
|
(51)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 31 to the Registration Statement on Form N-2, filed on May 31, 2013.
|
(52)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 32 to the Registration Statement on Form N-2, filed on June 6, 2013.
|
(53)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 33 to the Registration Statement on Form N-2, filed on June 13, 2013.
|
(54)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 34 to the Registration Statement on Form N-2, filed on June 20, 2013.
|
(55)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 35 to the Registration Statement on Form N-2, filed on June 27, 2013.
|
(56)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 36 to the Registration Statement on Form N-2, filed on July 5, 2013.
|
(57)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 37 to the Registration Statement on Form N-2, filed on July 11, 2013.
|
(58)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 38 to the Registration Statement on Form N-2, filed on July 18, 2013.
|
(59)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 39 to the Registration Statement on Form N-2, filed on July 25, 2013.
|
(60)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 40 to the Registration Statement on Form N-2, filed on August 1, 2013.
|
(61)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 41 to the Registration Statement on Form N-2, filed on August 8, 2013.
|
(62)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 42 to the Registration Statement on Form N-2, filed on August 15, 2013.
|
(63)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 43 to the Registration Statement on Form N-2, filed on August 22, 2013.
|
(64)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 45 to the Registration Statement on Form N-2, filed on September 6, 2013.
|
(65)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 46 to the Registration Statement on Form N-2, filed on September 12, 2013.
|
(66)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 47 to the Registration Statement on Form N-2, filed on September 19, 2013.
|
(67)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 48 to the Registration Statement on Form N-2, filed on September 26, 2013.
|
(68)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 49 to the Registration Statement on Form N-2, filed on October 3, 2013.
|
(69)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 50 to the Registration Statement on Form N-2, filed on October 10, 2013.
|
(70)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 51 to the Registration Statement on Form N-2, filed on October 18, 2013.
|
(71)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on October 24, 2013.
|
(72)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 4 to the Registration Statement on Form N-2, filed on October 31, 2013.
|
(73)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 6 to the Registration Statement on Form N-2, filed on November 7, 2013.
|
(74)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 7 to the Registration Statement on Form N-2, filed on November 15, 2013.
|
(75)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 8 to the Registration Statement on Form N-2, filed on November 21, 2013.
|
(76)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 9 to the Registration Statement on Form N-2, filed on November 29, 2013.
|
(77)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 10 to the Registration Statement on Form N-2, filed on December 5, 2013.
|
(78)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 11 to the Registration Statement on Form N-2, filed on December 12, 2013.
|
(79)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 12 to the Registration Statement on Form N-2, filed on December 19, 2013.
|
(80)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 13 to the Registration Statement on Form N-2, filed on December 27, 2013.
|
(81)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 14 to the Registration Statement on Form N-2, filed on January 3, 2014.
|
(82)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 15 to the Registration Statement on Form N-2, filed on January 9, 2014.
|
(83)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 16 to the Registration Statement on Form N-2, filed on January 16, 2014.
|
(84)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 17 to the Registration Statement on Form N-2, filed on January 24, 2014.
|
(85)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 18 to the Registration Statement on Form N-2, filed on January 30, 2014.
|
(86)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 19 to the Registration Statement on Form N-2, filed on February 6, 2014.
|
(87)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 20 to the Registration Statement on Form N-2, filed on February 13, 2014.
|
(88)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 21 to the Registration Statement on Form N-2, filed on February 19, 2014.
|
(89)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 22 to the Registration Statement on Form N-2, filed on February 21, 2014.
|
(90)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 23 to the Registration Statement on Form N-2, filed on February 27, 2014.
|
(91)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 24 to the Registration Statement on Form N-2, filed on March 6, 2014.
|
(92)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 25 to the Registration Statement on Form N-2, filed on March 11, 2014.
|
(93)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 26 to the Registration Statement on Form N-2, filed on March 13, 2014.
|
(94)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 27 to the Registration Statement on Form N-2, filed on March 20, 2014.
|
(95)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 28 to the Registration Statement on Form N-2, filed on March 27, 2014.
|
(96)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 29 to the Registration Statement on Form N-2, filed on April 3, 2014.
|
(97)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 30 to the Registration Statement on Form N-2, filed on April 7, 2014.
|
(98)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 31 to the Registration Statement on Form N-2, filed on April 10, 2014.
|
(99)
|
Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on April 16, 2014.
|
(100)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 32 to the Registration Statement on Form N-2, filed on April 17, 2014.
|
(101)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 33 to the Registration Statement on Form N-2, filed on April 24, 2014.
|
(102)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 34 to the Registration Statement on Form N-2, filed on May 1, 2014.
|
(103)
|
Incorporated by reference from the Registrant’s Post-Effective Amendment No. 35 to the Registration Statement on Form N-2, filed on May 8, 2014.
|
(104)
|
Incorporated by reference to Exhibit 10.12 of the Registrant’s Form 10-K, filed on August 25, 2014.
|
(105)
|
Incorporated by reference to Exhibit 10.13 of the Registrant’s Form 10-K, filed on August 25, 2014.
|
(106)
|
Incorporated by reference from the Registrant's Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on October 14, 2014.
|
(107)
|
Incorporated by reference to Exhibit 99.1 of the Registrant”s Form 10-K/A, filed on November 3, 2014.
|
(108)
|
Incorporated by reference from the Registrant's Pre-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on November 3, 2014.
|
(109)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on November 3, 2014.
|
(110)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on November 20, 2014.
|
(111)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on November 28, 2014.
|
(112)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 4 to the Registration Statement on Form N-2, filed on December 4, 2014.
|
(113)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 5 to the Registration Statement on Form N-2, filed on December 11, 2014.
|
(114)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 6 to the Registration Statement on Form N-2, filed on December 18, 2014.
|
(115)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 7 to the Registration Statement on Form N-2, filed on December 29, 2014.
|
(116)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 8 to the Registration Statement on Form N-2, filed on January 5, 2015.
|
(117)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 9 to the Registration Statement on Form N-2, filed on January 8, 2015.
|
(118)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 10 to the Registration Statement on Form N-2, filed on January 15, 2015.
|
(119)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 11 to the Registration Statement on Form N-2, filed on January 23, 2015.
|
(120)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 12 to the Registration Statement on Form N-2, filed on January 29, 2015.
|
(121)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 13 to the Registration Statement on Form N-2, filed on February 5, 2015.
|
(122)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 14 to the Registration Statement on Form N-2, filed on February 20, 2015.
|
(123)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 15 to the Registration Statement on Form N-2, filed on February 26, 2015.
|
(124)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 16 to the Registration Statement on Form N-2, filed on March 5, 2015.
|
(125)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 17 to the Registration Statement on Form N-2, filed on March 12, 2015.
|
(126)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 18 to the Registration Statement on Form N-2, filed on March 19, 2015.
|
(127)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 19 to the Registration Statement on Form N-2, filed on March 26, 2015.
|
(128)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 20 to the Registration Statement on Form N-2, filed on April 2, 2015.
|
(129)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 21 to the Registration Statement on Form N-2, filed on April 9, 2015.
|
(130)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 22 to the Registration Statement on Form N-2, filed on April 16, 2015.
|
(131)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 23 to the Registration Statement on Form N-2, filed on April 23, 2015.
|
(132)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 24 to the Registration Statement on Form N-2, filed on April 29, 2015.
|
(133)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 25 to the Registration Statement on Form N-2, filed on May 7, 2015.
|
(134)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 26 to the Registration Statement on Form N-2, filed on May 21, 2015.
|
(135)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 27 to the Registration Statement on Form N-2, filed on May 29, 2015.
|
(136)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 28 to the Registration Statement on Form N-2, filed on June 4, 2015.
|
(137)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 29 to the Registration Statement on Form N-2, filed on June 11, 2015.
|
(138)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 30 to the Registration Statement on Form N-2, filed on June 18, 2015.
|
(139)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 31 to the Registration Statement on Form N-2, filed on June 25, 2015.
|
(140)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 32 to the Registration Statement on Form N-2, filed on July 2, 2015.
|
(141)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 33 to the Registration Statement on Form N-2, filed on July 9, 2015.
|
(142)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 34 to the Registration Statement on Form N-2, filed on July 16, 2015.
|
(143)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 35 to the Registration Statement on Form N-2, filed on July 23, 2015.
|
(144)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 36 to the Registration Statement on Form N-2, filed on July 30, 2015.
|
(145)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 37 to the Registration Statement on Form N-2, filed on August 6, 2015.
|
(146)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 38 to the Registration Statement on Form N-2, filed on August 13, 2015.
|
(147)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 39 to the Registration Statement on Form N-2, filed on August 20, 2015.
|
(148)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 40 to the Registration Statement on Form N-2, filed on August 27, 2015.
|
(149)
|
Incorporated by reference to Exhibit 14 of the Registrant’s Form 10-K, filed on August 26, 2015.
|
(150)
|
Incorporated by reference from the Registrant's Pre-Effective Registration Statement on Form N-2, filed on August 31, 2015.
|
(151)
|
Incorporated by reference to Exhibit 99.1 of the Registrant’s Form 10-K/A, filed on September 11, 2015.
|
(152)
|
Incorporated by reference to Exhibit 99.2 of the Registrant’s Form 10-K/A, filed on September 11, 2015.
|
(153)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 42 to the Registration Statement on Form N-2, filed on September 16, 2015.
|
(154)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 43 to the Registration Statement on Form N-2, filed on September 17, 2015.
|
(155)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 44 to the Registration Statement on Form N-2, filed on September 24, 2015.
|
(156)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 45 to the Registration Statement on Form N-2, filed on October 1, 2015.
|
(157)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 46 to the Registration Statement on Form N-2, filed on October 8, 2015.
|
(158)
|
Incorporated by reference from the Registrant's Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on October 9, 2015.
|
(159)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 47 to the Registration Statement on Form N-2, filed on October 16, 2015.
|
(160)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 48 to the Registration Statement on Form N-2, filed on October 22, 2015.
|
(161)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 49 to the Registration Statement on Form N-2, filed on October 29, 2015.
|
(162)
|
Incorporated by reference from the Registrant's Pre-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on November 2, 2015.
|
(163)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 50 to the Registration Statement on Form N-2, filed on November 4, 2015.
|
(164)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on November 19, 2015.
|
(165)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on November 27, 2015.
|
(166)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on December 3, 2015.
|
(167)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 4 to the Registration Statement on Form N-2, filed on December 10, 2015.
|
(168)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 5 to the Registration Statement on Form N-2, filed on December 17, 2015.
|
(169)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 6 to the Registration Statement on Form N-2, filed on December 24, 2015.
|
(170)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 7 to the Registration Statement on Form N-2, filed on December 31, 2015.
|
(171)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 8 to the Registration Statement on Form N-2, filed on January 7, 2016.
|
(172)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 9 to the Registration Statement on Form N-2, filed on January 14, 2016.
|
(173)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 10 to the Registration Statement on Form N-2, filed on January 22, 2016.
|
(174)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 11 to the Registration Statement on Form N-2, filed on February 12, 2016.
|
(175)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 12 to the Registration Statement on Form N-2, filed on March 3, 2016.
|
(176)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 13 to the Registration Statement on Form N-2, filed on March 10, 2016.
|
(177)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 14 to the Registration Statement on Form N-2, filed on March 17, 2016.
|
(178)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 15 to the Registration Statement on Form N-2, filed on March 24, 2016.
|
(179)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 16 to the Registration Statement on Form N-2, filed on March 31, 2016.
|
(180)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 17 to the Registration Statement on Form N-2, filed on April 7, 2016.
|
(181)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 18 to the Registration Statement on Form N-2, filed on April 14, 2016.
|
(182)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 19 to the Registration Statement on Form N-2, filed on April 21, 2016.
|
(183)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 20 to the Registration Statement on Form N-2, filed on April 28, 2016.
|
(184)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 21 to the Registration Statement on Form N-2, filed on May 5, 2016.
|
(185)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 22 to the Registration Statement on Form N-2, filed on May 12, 2016.
|
(186)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 23 to the Registration Statement on Form N-2, filed on May 26, 2016.
|
(187)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 24 to the Registration Statement on Form N-2, filed on June 3, 2016.
|
(188)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 25 to the Registration Statement on Form N-2, filed on June 9, 2016.
|
(189)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 26 to the Registration Statement on Form N-2, filed on June 16, 2016.
|
(190)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 27 to the Registration Statement on Form N-2, filed on June 23, 2016.
|
(191)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 28 to the Registration Statement on Form N-2, filed on June 30, 2016.
|
(192)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 29 to the Registration Statement on Form N-2, filed on July 8, 2016.
|
(193)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 30 to the Registration Statement on Form N-2, filed on July 14, 2016.
|
(194)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 31 to the Registration Statement on Form N-2, filed on July 21, 2016.
|
(195)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 32 to the Registration Statement on Form N-2, filed on July 28, 2016.
|
(196)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 33 to the Registration Statement on Form N-2, filed on August 4, 2016.
|
(197)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 34 to the Registration Statement on Form N-2, filed on August 11, 2016.
|
(198)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 35 to the Registration Statement on Form N-2, filed on August 18, 2016.
|
(199)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 36 to the Registration Statement on Form N-2, filed on August 25, 2016.
|
(200)
|
Incorporated by reference from the Registrant’s Pre-Effective Registration Statement on Form N-2, filed on August 31, 2016.
|
(201)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 37 to the Registration Statement on Form N-2, filed on September 1, 2016.
|
(202)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 38 to the Registration Statement on Form N-2, filed on September 15, 2016.
|
(203)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 39 to the Registration Statement on Form N-2, filed on September 22, 2016.
|
(204)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 40 to the Registration Statement on Form N-2, filed on September 29, 2016.
|
(205)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 41 to the Registration Statement on Form N-2, filed on October 6, 2016.
|
(206)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 42 to the Registration Statement on Form N-2, filed on October 14, 2016.
|
(207)
|
Incorporated by reference from the Registrant’s Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on October 19, 2016.
|
(208)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 43 to the Registration Statement on Form N-2, filed on October 20, 2016.
|
(209)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 44 to the Registration Statement on Form N-2, filed on October 27, 2016.
|
(210)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 45 to the Registration Statement on Form N-2, filed on November 3, 2016.
|
(211)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on November 25, 2016.
|
(212)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on December 1, 2016.
|
(213)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on December 8, 2016.
|
(214)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 4 to the Registration Statement on Form N-2, filed on December 15, 2016.
|
(215)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 5 to the Registration Statement on Form N-2, filed on December 22, 2016.
|
(216)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 6 to the Registration Statement on Form N-2, filed on December 30, 2016.
|
(217)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 7 to the Registration Statement on Form N-2, filed on January 6, 2017.
|
(218)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 8 to the Registration Statement on Form N-2, filed on January 12, 2017.
|
(219)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 9 to the Registration Statement on Form N-2, filed on January 20, 2017.
|
(220)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 10 to the Registration Statement on Form N-2, filed on January 26, 2017.
|
(221)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 11 to the Registration Statement on Form N-2, filed on February 2, 2017.
|
(222)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 12 to the Registration Statement on Form N-2, filed on February 9, 2017.
|
(223)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 13 to the Registration Statement on Form N-2, filed on February 24, 2017.
|
(224)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 14 to the Registration Statement on Form N-2, filed on March 2, 2017.
|
(225)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 15 to the Registration Statement on Form N-2, filed on March 9, 2017.
|
(226)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 16 to the Registration Statement on Form N-2, filed on March 16, 2017.
|
(227)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 17 to the Registration Statement on Form N-2, filed on March 23, 2017.
|
(228)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 18 to the Registration Statement on Form N-2, filed on March 30, 2017.
|
(229)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 19 to the Registration Statement on Form N-2, filed on April 6, 2017.
|
(230)
|
Incorporated by reference to Exhibit 4.1 of the Registrant's Form 8-K, filed on April 11, 2017.
|
(231)
|
Incorporated by reference to Exhibit 1.1 of the Registrant's Form 8-K, filed on April 11, 2017.
|
(232)
|
Incorporated by reference to Exhibit 5.1 of the Registrant's Form 8-K, filed on April 11, 2017.
|
(233)
|
Incorporated by reference to Exhibit 5.2 of the Registrant's Form 8-K, filed on April 11, 2017.
|
(234)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 21 to the Registration Statement on Form N-2, filed on April 20, 2017.
|
(235)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 22 to the Registration Statement on Form N-2, filed on April 27, 2017.
|
(236)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 23 to the Registration Statement on Form N-2, filed on May 4, 2017.
|
(237)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 24 to the Registration Statement on Form N-2, filed on May 11, 2017.
|
(238)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 25 to the Registration Statement on Form N-2, filed on May 25, 2017.
|
(239)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 26 to the Registration Statement on Form N-2, filed on June 2, 2017.
|
(240)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 27 to the Registration Statement on Form N-2, filed on June 8, 2017.
|
(241)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 28 to the Registration Statement on Form N-2, filed on June 15, 2017.
|
(242)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 29 to the Registration Statement on Form N-2, filed on June 22, 2017.
|
(243)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 30 to the Registration Statement on Form N-2, filed on June 29, 2017.
|
(244)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 31 to the Registration Statement on Form N-2, filed on July 7, 2017.
|
(245)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 32 to the Registration Statement on Form N-2, filed on July 13, 2017.
|
(246)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 33 to the Registration Statement on Form N-2, filed on July 20, 2017.
|
(247)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 34 to the Registration Statement on Form N-2, filed on July 27, 2017.
|
(248)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 35 to the Registration Statement on Form N-2, filed on August 3, 2017.
|
(249)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 36 to the Registration Statement on Form N-2, filed on August 10, 2017.
|
(250)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 37 to the Registration Statement on Form N-2, filed on August 17, 2017.
|
(251)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 38 to the Registration Statement on Form N-2, filed on August 24, 2017.
|
(252)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 39 to the Registration Statement on Form N-2, filed on August 30, 2017.
|
(253)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 40 to the Registration Statement on Form N-2, filed on August 31, 2017.
|
(254)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 41 to the Registration Statement on Form N-2, filed on September 1, 2017.
|
(255)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 42 to the Registration Statement on Form N-2, filed on September 14, 2017.
|
(256)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 43 to the Registration Statement on Form N-2, filed on September 21, 2017.
|
(257)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 44 to the Registration Statement on Form N-2, filed on September 28, 2017.
|
(258)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 45 to the Registration Statement on Form N-2, filed on October 5, 2017.
|
(259)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 46 to the Registration Statement on Form N-2, filed on October 13, 2017.
|
(260)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 47 to the Registration Statement on Form N-2, filed on October 19, 2017.
|
(261)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 48 to the Registration Statement on Form N-2, filed on October 20, 2017.
|
(262)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 49 to the Registration Statement on Form N-2, filed on October 26, 2017.
|
(263)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 51 to the Registration Statement on Form N-2, filed on November 2, 2017.
|
(264)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 52 to the Registration Statement on Form N-2, filed on November 24, 2017.
|
(265)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 53 to the Registration Statement on Form N-2, filed on November 30, 2017.
|
(266)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 54 to the Registration Statement on Form N-2, filed on December 7, 2017.
|
(267)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 55 to the Registration Statement on Form N-2, filed on December 14, 2017.
|
(268)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 56 to the Registration Statement on Form N-2, filed on December 21, 2017.
|
(269)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 57 to the Registration Statement on Form N-2, filed on December 29, 2017.
|
(270)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 58 to the Registration Statement on Form N-2, filed on January 5, 2018.
|
(271)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 59 to the Registration Statement on Form N-2, filed on January 11, 2018.
|
(272)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 60 to the Registration Statement on Form N-2, filed on January 19, 2018.
|
(273)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 61 to the Registration Statement on Form N-2, filed on January 25, 2018.
|
(274)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 62 to the Registration Statement on Form N-2, filed on February 1, 2018.
|
(275)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 63 to the Registration Statement on Form N-2, filed on February 8, 2018.
|
(276)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 64 to the Registration Statement on Form N-2, filed on February 23, 2018.
|
(277)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 65 to the Registration Statement on Form N-2, filed on March 1, 2018.
|
(278)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 66 to the Registration Statement on Form N-2, filed on March 8, 2018.
|
(279)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 67 to the Registration Statement on Form N-2, filed on March 15, 2018.
|
(280)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 68 to the Registration Statement on Form N-2, filed on March 22, 2018.
|
(281)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 69 to the Registration Statement on Form N-2, filed on March 29, 2018.
|
(282)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 70 to the Registration Statement on Form N-2, filed on April 5, 2018.
|
(283)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 71 to the Registration Statement on Form N-2, filed on April 12, 2018.
|
(284)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 72 to the Registration Statement on Form N-2, filed on April 19, 2018.
|
(285)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 73 to the Registration Statement on Form N-2, filed on April 26, 2018.
|
(286)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 74 to the Registration Statement on Form N-2, filed on May 3, 2018.
|
(287)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 75 to the Registration Statement on Form N-2, filed on May 10, 2018.
|
(288)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 76 to the Registration Statement on Form N-2, filed on May 11, 2018.
|
(289)
|
Incorporated by reference to Exhibit 4.1 of the Registrant's Form 8-K, filed on May 18, 2018.
|
(290)
|
Incorporated by reference to Exhibit 1.1 of the Registrant's Form 8-K, filed on May 18, 2018.
|
(291)
|
Incorporated by reference to Exhibit 5.1 of the Registrant's Form 8-K, filed on May 18, 2018.
|
(292)
|
Incorporated by reference to Exhibit 5.2 of the Registrant's Form 8-K, filed on May 18, 2018.
|
(293)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 78 to the Registration Statement on Form N-2, filed on May 24, 2018.
|
(294)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 79 to the Registration Statement on Form N-2, filed on June 1, 2018.
|
(295)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 80 to the Registration Statement on Form N-2, filed on June 7, 2018.
|
(296)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 81 to the Registration Statement on Form N-2, filed on June 20, 2018.
|
(297)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 82 to the Registration Statement on Form N-2, filed on June 21, 2018.
|
(298)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 83 to the Registration Statement on Form N-2, filed on June 28, 2018.
|
(299)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 84 to the Registration Statement on Form N-2, filed on July 2, 2018.
|
(300)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 85 to the Registration Statement on Form N-2, filed on July 6, 2018.
|
(301)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 86 to the Registration Statement on Form N-2, filed on July 12, 2018.
|
(302)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 87 to the Registration Statement on Form N-2, filed on July 19, 2018.
|
(303)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 88 to the Registration Statement on Form N-2, filed on July 26, 2018.
|
(304)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 89 to the Registration Statement on Form N-2, filed on August 2, 2018.
|
(305)
|
Incorporated by reference to Exhibit 10.1 of the Registrant's Form 8-K, filed on August 6, 2018.
|
(306)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 90 to the Registration Statement on Form N-2, filed on August 9, 2018.
|
(307)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 91 to the Registration Statement on Form N-2, filed on August 16, 2018.
|
(308)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 92 to the Registration Statement on Form N-2, filed on August 23, 2018.
|
(309)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 93 to the Registration Statement on Form N-2, filed on August 30, 2018.
|
(310)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 94 to the Registration Statement on Form N-2, filed on August 31, 2018.
|
(311)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 95 to the Registration Statement on Form N-2, filed on September 13, 2018.
|
(312)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 96 to the Registration Statement on Form N-2, filed on September 20, 2018.
|
(313)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 97 to the Registration Statement on Form N-2, filed on September 27, 2018.
|
(314)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 98 to the Registration Statement on Form N-2, filed on October 1, 2018.
|
(315)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 99 to the Registration Statement on Form N-2, filed on October 4, 2018.
|
(316)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 100 to the Registration Statement on Form N-2, filed on October 12, 2018.
|
(317)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 101 to the Registration Statement on Form N-2, filed on October 18, 2018.
|
(318)
|
Incorporated by reference from the Registrant's Registration Statement on Form N-2, filed on August 31, 2018.
|
(319)
|
Incorporated by reference from the Registrant's Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on October 23, 2018.
|
(320)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 102 to the Registration Statement on Form N-2, filed on October 25, 2018.
|
(321)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 103 to the Registration Statement on Form N-2, filed on November 1, 2018.
|
(322)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on November 8, 2018.
|
(323)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on November 9, 2018.
|
(324)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on November 23, 2018.
|
(325)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 4 to the Registration Statement on Form N-2, filed on November 29, 2018.
|
(326)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 5 to the Registration Statement on Form N-2, filed on December 6, 2018.
|
(327)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 6 to the Registration Statement on Form N-2, filed on December 13, 2018.
|
(328)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 7 to the Registration Statement on Form N-2, filed on December 20, 2018.
|
(329)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 8 to the Registration Statement on Form N-2, filed on December 28, 2018.
|
(330)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 9 to the Registration Statement on Form N-2, filed on January 4, 2019.
|
(331)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 10 to the Registration Statement on Form N-2, filed on January 10, 2019.
|
(332)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 11 to the Registration Statement on Form N-2, filed on January 17, 2019.
|
(333)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 12 to the Registration Statement on Form N-2, filed on January 25, 2019.
|
(334)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 13 to the Registration Statement on Form N-2, filed on January 31, 2019.
|
(335)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 14 to the Registration Statement on Form N-2, filed on February 7, 2019.
|
(336)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 15 to the Registration Statement on Form N-2, filed on February 20, 2019.
|
(337)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 16 to the Registration Statement on Form N-2, filed on February 22, 2019.
|
(338)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 17 to the Registration Statement on Form N-2, filed on February 28, 2019.
|
(339)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 18 to the Registration Statement on Form N-2, filed on March 1, 2019.
|
(340)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 19 to the Registration Statement on Form N-2, filed on March 7, 2019.
|
(341)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 20 to the Registration Statement on Form N-2, filed on March 14, 2019.
|
(342)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 21 to the Registration Statement on Form N-2, filed on March 21, 2019.
|
(343)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 22 to the Registration Statement on Form N-2, filed on March 28, 2019.
|
(344)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 23 to the Registration Statement on Form N-2, filed on April 4, 2019.
|
(345)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 24 to the Registration Statement on Form N-2, filed on April 11, 2019.
|
(346)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 25 to the Registration Statement on Form N-2, filed on April 18, 2019.
|
(347)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 26 to the Registration Statement on Form N-2, filed on April 25, 2019.
|
(348)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 27 to the Registration Statement on Form N-2, filed on May 2, 2019.
|
(349)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 28 to the Registration Statement on Form N-2, filed on May 9, 2019.
|
(350)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 29 to the Registration Statement on Form N-2, filed on May 17, 2019.
|
(351)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 30 to the Registration Statement on Form N-2, filed on May 23, 2019.
|
(352)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 31 to the Registration Statement on Form N-2, filed on May 31, 2019.
|
(353)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 32 to the Registration Statement on Form N-2, filed on June 6, 2019.
|
(354)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 33 to the Registration Statement on Form N-2, filed on June 13, 2019.
|
(355)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 34 to the Registration Statement on Form N-2, filed on June 20, 2019.
|
(356)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 35 to the Registration Statement on Form N-2, filed on June 27, 2019.
|
(357)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 36 to the Registration Statement on Form N-2, filed on July 5, 2019.
|
(358)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 37 to the Registration Statement on Form N-2, filed on July 11, 2019.
|
(359)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 38 to the Registration Statement on Form N-2, filed on July 18, 2019.
|
(360)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 39 to the Registration Statement on Form N-2, filed on July 25, 2019.
|
(361)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 40 to the Registration Statement on Form N-2, filed on August 1, 2019.
|
(362)
|
Incorporated by reference from the Registrant's Registration Statement on Form N-2, filed on August 2, 2019.
|
(363)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 41 to the Registration Statement on Form N-2, filed on August 8, 2019.
|
(364)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 42 to the Registration Statement on Form N-2, filed on August 15, 2019.
|
(365)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 43 to the Registration Statement on Form N-2, filed on August 22, 2019.
|
(366)
|
Incorporated by reference from the Registrant's Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on September 3, 2019.
|
(367)
|
Incorporated by reference from the Registrant's Pre-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on September 12, 2019.
|
(368)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on September 26, 2019.
|
(369)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on October 3, 2019.
|
(370)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on October 10, 2019.
|
(371)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 4 to the Registration Statement on Form N-2, filed on October 18, 2019.
|
(372)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 5 to the Registration Statement on Form N-2, filed on October 24, 2019.
|
(373)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 6 to the Registration Statement on Form N-2, filed on October 31, 2019.
|
(374)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 7 to the Registration Statement on Form N-2, filed on November 7, 2019.
|
(375)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 8 to the Registration Statement on Form N-2, filed on November 21, 2019.
|
(376)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 9 to the Registration Statement on Form N-2, filed on November 29, 2019.
|
(377)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 10 to the Registration Statement on Form N-2, filed on December 5, 2019.
|
(378)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 11 to the Registration Statement on Form N-2, filed on December 12, 2019.
|
(379)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 12 to the Registration Statement on Form N-2, filed on December 19, 2019.
|
(380)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 13 to the Registration Statement on Form N-2, filed on December 27, 2019.
|
(381)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 14 to the Registration Statement on Form N-2, filed on January 3, 2020.
|
(382)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 15 to the Registration Statement on Form N-2, filed on January 9, 2020.
|
(383)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 16 to the Registration Statement on Form N-2, filed on January 16, 2020.
|
(384)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 17 to the Registration Statement on Form N-2, filed on January 24, 2020.
|
(385)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 18 to the Registration Statement on Form N-2, filed on January 30, 2020.
|
(386)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 19 to the Registration Statement on Form N-2, filed on February 6, 2020.
|
(387)
|
Incorporated by reference from the Registrant's Post-Effective Amendment No. 20 to the Registration Statement on Form N-2, filed on February 12, 2020.
|
*
|
To be filed by amendment.
|
Commission registration fee
|
$
|
519,165
|
|
NASDAQ Global Select Additional Listing Fees
|
100,000
|
|
|
Accounting fees and expenses*
|
500,000
|
|
|
Legal fees and expenses*
|
1,000,000
|
|
|
Printing and engraving*
|
500,000
|
|
|
Miscellaneous fees and expenses*
|
100,000
|
|
|
Total
|
$
|
2,719,165
|
|
Name of Entity and Place of Jurisdiction
|
|
% of Voting Securities Owned
|
|
SB Forging Company, Inc. (Delaware)*
|
|
100.0
|
%
|
Arctic Energy Services, LLC (Delaware)
|
|
100.0
|
%
|
CP Holdings of Delaware LLC (Delaware)*
|
|
99.8
|
%
|
CP Energy Services Inc. (Delaware)
|
|
99.8
|
%
|
CP Well Testing, LLC (Delaware)
|
|
99.8
|
%
|
ProHaul Transports, LLC (Oklahoma)
|
|
99.8
|
%
|
Wright Foster Disposals, LLC (Delaware)
|
|
99.8
|
%
|
Wright Trucking, Inc. (Delaware)
|
|
99.8
|
%
|
Foster Testing Co., Inc. (Delaware)
|
|
99.8
|
%
|
Spartan Energy Holdings, Inc. (Delaware)
|
|
65.3
|
%
|
Spartan Energy Services, LLC (Delaware)
|
|
65.3
|
%
|
Spartan Thru Tubing Services, LLC (Delaware)
|
|
65.3
|
%
|
Spartan Well Testing Services, LLC (Delaware)
|
|
65.3
|
%
|
Spartan Flow Control Services, LLC (Delaware)
|
|
65.3
|
%
|
Echelon Transportation LLC (Delaware)
|
|
100.0
|
%
|
Echelon Aviation II, LLC (Delaware)
|
|
100.0
|
%
|
Echelon Prime Coöperatief U.A. (Netherlands)
|
|
100.0
|
%
|
Echelon Ireland Madison One Limited (Ireland)
|
|
100.0
|
%
|
AerLift Leasing Limited (Isle of Man)
|
|
60.7
|
%
|
AerLift Leasing Jet Limited (Ireland)
|
|
60.7
|
%
|
AerLift Aircraft Leasing Limited (Isle of Man)
|
|
60.7
|
%
|
AerLift Leasing Isle of Man MSN 28415 Limited (Isle of Man)
|
|
60.7
|
%
|
Alpha Fifteenth Waha Lease Limited (Isle of Man)
|
|
60.7
|
%
|
Name of Entity and Place of Jurisdiction
|
|
% of Voting Securities Owned
|
|
Bravo Fifteenth Lease Limited (Isle of Man)
|
|
60.7
|
%
|
Fourteenth Waha Lease Limited (Isle of Man)
|
|
60.7
|
%
|
Wahaflot Leasing 963 (Bermuda) Limited (Bermuda)
|
|
60.7
|
%
|
Wahaflot Leasing 1 Limited (Cyprus)
|
|
60.7
|
%
|
16TH Waha Lease (Labuan) Limited (Malaysia)
|
|
60.7
|
%
|
Waha Lease (Labuan) Limited (Malaysia)
|
|
60.7
|
%
|
AerLift Leasing Netherlands B.V. (Netherlands)
|
|
60.7
|
%
|
AerLift Leasing Isle of Man 1 Limited (Isle of Man)
|
|
60.7
|
%
|
AerLift Leasing France MSN 24698 S.a.r.l. (France)
|
|
60.7
|
%
|
Alpha Ireland Leasing MSN 1149 Limited (Ireland)
|
|
60.7
|
%
|
Bravo Ireland Leasing MSN 1156 Limited (Ireland)
|
|
60.7
|
%
|
Energy Solutions Holdings Inc. (Delaware)*
|
|
100.0
|
%
|
Freedom Marine Solutions, LLC (Delaware)
|
|
100.0
|
%
|
Vessel Company, LLC (Louisiana)
|
|
100.0
|
%
|
Vessel Company II, LLC (Louisiana)
|
|
100.0
|
%
|
MV Gulf Endeavor L.L.C. (Louisiana)
|
|
100.0
|
%
|
MV Clint L.L.C. (Louisiana)
|
|
100.0
|
%
|
MV JF Jett L.L.C. (Louisiana)
|
|
100.0
|
%
|
Vessel Company III, LLC (Louisiana)
|
|
100.0
|
%
|
MV FMS Courage LLC (Louisiana)
|
|
100.0
|
%
|
MV FMS Endurance LLC (Louisiana)
|
|
100.0
|
%
|
Yatesville Coal Company, LLC (Delaware)
|
|
100.0
|
%
|
First Tower Holdings of Delaware LLC (Delaware)*
|
|
100.0
|
%
|
First Tower Finance Company LLC (Mississippi)†
|
|
80.1
|
%
|
First Tower, LLC (Mississippi)†
|
|
80.1
|
%
|
First Tower Loan, LLC (Louisiana)†
|
|
80.1
|
%
|
Gulfco of Louisiana, LLC (Louisiana)†
|
|
80.1
|
%
|
Gulfco of Mississippi, LLC (Mississippi)†
|
|
80.1
|
%
|
Gulfco of Alabama, LLC (Alabama)†
|
|
80.1
|
%
|
Tower Loan of Illinois, LLC (Mississippi)†
|
|
80.1
|
%
|
Tower Loan of Mississippi, LLC (Mississippi)†
|
|
80.1
|
%
|
Tower Loan of Missouri, LLC (Mississippi)†
|
|
80.1
|
%
|
Tower Auto Loan, LLC (Mississippi)†
|
|
80.1
|
%
|
InterDent, Inc. (Delaware)
|
|
99.9
|
%
|
InterDent Service Corporation (Washington)
|
|
99.9
|
%
|
Capitol Dental Care, Inc. (Oregon)
|
|
99.9
|
%
|
Managed Dental Care of Oregon, Inc. (Oregon)
|
|
99.9
|
%
|
Dedicated Dental Systems, Inc. (Washington)
|
|
99.9
|
%
|
Southwest Dental Group, LTD (Arizona)
|
|
99.9
|
%
|
Gentle Dental Smile Plan, LLC
|
|
99.9
|
%
|
American Federated Holding Company (Mississippi)†
|
|
80.1
|
%
|
American Federated Insurance Company, Inc. (Mississippi)†
|
|
80.1
|
%
|
American Federated Life Insurance Company, Inc. (Mississippi)†
|
|
80.1
|
%
|
NMMB Holdings, Inc. (Delaware)*
|
|
100.0
|
%
|
NMMB, Inc. (Delaware)
|
|
92.4
|
%
|
Name of Entity and Place of Jurisdiction
|
|
% of Voting Securities Owned
|
|
Refuel agency, Inc. (Delaware)
|
|
92.4
|
%
|
Armed Forces Communications, Inc. (New York)
|
|
92.4
|
%
|
Prospect Capital Funding LLC (Delaware)*
|
|
100.0
|
%
|
Prospect Small Business Lending LLC (Delaware)*
|
|
100.0
|
%
|
Prospect Yield Corporation, LLC (Delaware)*
|
|
100.0
|
%
|
Pacific World Corporation (California)
|
|
100.0
|
%
|
Woodward Laboratories Incorporated (California)
|
|
100.0
|
%
|
Pacific World Puerto Rico (California)
|
|
100.0
|
%
|
The W.E. Bassett Company (Connecticut)
|
|
100.0
|
%
|
C-Bates, LLC (Connecticut)
|
|
100.0
|
%
|
Trim International Sales Corp. (Connecticut)
|
|
100.0
|
%
|
Pacific World De Mexico, S. De R.L. De C.V. (Mexico)
|
|
100.0
|
%
|
Pacific World Limited (England and Wales)
|
|
100.0
|
%
|
Fing’rs (Europe) AG (Switzerland)
|
|
100.0
|
%
|
Fing’rs (Deutshland) GmbH (Germany)
|
|
100.0
|
%
|
Wolf Energy, LLC (Delaware)
|
|
99.8
|
%
|
Appalachian Energy Holdings, LLC (Delaware)
|
|
99.8
|
%
|
C & S Operating, LLC (Delaware)
|
|
99.8
|
%
|
Wolf Energy Services Company, LLC (Delaware)
|
|
99.8
|
%
|
R-V Industries, Inc. (Pennsylvania)
|
|
88.3
|
%
|
STI Holding, Inc. (Delaware)
|
|
100.0
|
%
|
Arlington Park Marietta, LLC (Delaware)
|
|
93.3
|
%
|
NPH Gulf Coast Holdings, LLC (Delaware)
|
|
99.3
|
%
|
Cordova Regency, LLC (Delaware)
|
|
99.3
|
%
|
Crestview at Oakleigh, LLC (Delaware)
|
|
99.3
|
%
|
Inverness Lakes, LLC (Delaware)
|
|
99.3
|
%
|
Kings Mill Pensacola, LLC (Delaware)
|
|
99.3
|
%
|
Plantations at Pine Lake, LLC (Delaware)
|
|
99.3
|
%
|
Verandas at Rocky Ridge, LLC (Delaware)
|
|
99.3
|
%
|
Crestview at Cordova, LLC (Delaware)
|
|
99.3
|
%
|
NPH Property Holdings, LLC (Delaware)*
|
|
100.0
|
%
|
NPH Property Holdings II, LLC (Delaware)*
|
|
100.0
|
%
|
American Consumer Lending Holdings Limited (Cayman Islands)
|
|
100.0
|
%
|
American Consumer Lending Limited (Cayman Islands)
|
|
100.0
|
%
|
American Consumer Lending V, LLC (Delaware)
|
|
100.0
|
%
|
American Consumer Lending VI, LLC (Delaware)
|
|
100.0
|
%
|
American Consumer Lending Intermediate Limited (Cayman Islands)
|
|
100.0
|
%
|
American Consumer Lending III (Near-Prime), LLC (Delaware)
|
|
100.0
|
%
|
American Consumer Lending IV (Near-Prime), LLC (Delaware)
|
|
100.0
|
%
|
American Consumer Lending Intermediate (Near-Prime), LLC (Delaware)
|
|
100.0
|
%
|
ACL Prime, LLC (Delaware)
|
|
100.0
|
%
|
ACL Near-Prime, LLC (Delaware)
|
|
100.0
|
%
|
ACL Patient Solutions, LLC (Delaware)
|
|
100.0
|
%
|
ACL Patient Solutions Holdings, LLC (Delaware)
|
|
100.0
|
%
|
ACL Intermediate Company, LLC (Delaware)
|
|
100.0
|
%
|
Name of Entity and Place of Jurisdiction
|
|
% of Voting Securities Owned
|
|
ACL Intermediate Company II, LLC (Delaware)
|
|
100.0
|
%
|
National Marketplace Finance, LLC (Delaware)
|
|
100.0
|
%
|
ACL Loan Company VI, LLC (Delaware)
|
|
100.0
|
%
|
ACL Loan Company VII, LLC (Delaware)
|
|
100.0
|
%
|
American Consumer Lending VII, LLC (Delaware)
|
|
100.0
|
%
|
Murray Hill Marketplace Trust 2016-LC1 (Delaware)
|
|
100.0
|
%
|
Murray Hill Grantor Trust 2016-LC1 (Delaware)
|
|
100.0
|
%
|
Murray Hill 2016-LC1 Holdings, LLC (Delaware)
|
|
100.0
|
%
|
Murray Hill Securitization Holdings Limited (Cayman Islands)
|
|
100.0
|
%
|
National Property REIT Corp. (Maryland)
|
|
100.0
|
%
|
NPH Guarantor, LLC (Delaware)
|
|
100.0
|
%
|
ACL Loan Holdings, Inc. (Delaware)
|
|
100.0
|
%
|
ACL Loan Company, Inc. (Delaware)
|
|
100.0
|
%
|
ACL Loan Company III, Inc. (Delaware)
|
|
100.0
|
%
|
ACL Loan Company IV, LLC (Delaware)
|
|
100.0
|
%
|
ACL Consumer Loan Trust (Delaware)
|
|
100.0
|
%
|
ACL Consumer Loan Trust III (Delaware)
|
|
100.0
|
%
|
ACL Consumer Loan Trust IV (Delaware)
|
|
100.0
|
%
|
ACL Consumer Loan Trust V (Delaware)
|
|
100.0
|
%
|
ACL Consumer Loan Trust VI (Delaware)
|
|
100.0
|
%
|
ACL Patient Solutions Trust (Delaware)
|
|
100.0
|
%
|
CLUB Credit Trust 2018-NP1 (Delaware)
|
|
56.4
|
%
|
CLUB Grantor Trust 2018-NP1 (Delaware)
|
|
56.4
|
%
|
LCIT 2016-NP2 (Delaware)
|
|
72.6
|
%
|
LCIT Grantor Trust 2016-NP2 (Delaware)
|
|
72.6
|
%
|
National General Lending Limited
|
|
100.0
|
%
|
NGL Subsidiary, Ltd.
|
|
100.0
|
%
|
Canterbury Green Apartments Holdings, LLC (Delaware)
|
|
92.5
|
%
|
Canterbury Green Apartments, LLC (Delaware)
|
|
92.5
|
%
|
Canterbury Green Apartments TRS, LLC (Delaware)
|
|
92.5
|
%
|
Columbus OH Apartments HoldCo, LLC (Delaware)
|
|
79.1
|
%
|
Ashwood Ridge Holdings, LLC (Delaware)
|
|
69.2
|
%
|
Crown Pointe Passthrough, LLC (Delaware)
|
|
80.0
|
%
|
Crown Pointe SPE, LLC (Delaware)
|
|
80.0
|
%
|
SSIL I, LLC (Delaware)
|
|
80.0
|
%
|
SSIL Orchard Village, LLC (Delaware)
|
|
80.0
|
%
|
9220 Old Lantern Way Holdings, LLC (Delaware)
|
|
92.5
|
%
|
Baymeadows Holdings, LLC (Delaware)
|
|
92.5
|
%
|
7915 Baymeadows Circle Owner LLC (Delaware)
|
|
92.5
|
%
|
8025 Baymeadows Circle Owner LLC (Delaware)
|
|
92.5
|
%
|
Southfield Holdings, LLC (Delaware)
|
|
92.5
|
%
|
23275 Riverside Drive Owner LLC (Delaware)
|
|
92.5
|
%
|
23741 Pond Road Owner LLC (Delaware)
|
|
92.5
|
%
|
Steeplechase Holdings, LLC (Delaware)
|
|
92.5
|
%
|
150 Steeplechase Way Owner, LLC (Delaware)
|
|
92.5
|
%
|
Name of Entity and Place of Jurisdiction
|
|
% of Voting Securities Owned
|
|
Forest Park Holdings, LLC (Delaware)
|
|
69.2
|
%
|
Laurel Pointe Holdings, LLC (Delaware)
|
|
69.2
|
%
|
Bradford Ridge Holdings, LLC (Delaware)
|
|
69.2
|
%
|
Olentangy Commons Holdings, LLC (Delaware)
|
|
92.5
|
%
|
Olentangy Commons Owner, LLC (Delaware)
|
|
92.5
|
%
|
Villages of Wildwood Holdings, LLC (Delaware)
|
|
92.5
|
%
|
Villages of Wildwood Owner, LLC (Delaware)
|
|
92.5
|
%
|
Falling Creek Holdings LLC (Delaware)
|
|
90.0
|
%
|
Falling Creek BL Owner, LLC (Delaware)
|
|
90.0
|
%
|
Abbie Lakes OH Partners, LLC (Delaware)
|
|
79.1
|
%
|
Kengary Way OH Partners, LLC (Delaware)
|
|
79.1
|
%
|
Jefferson Chase OH Partners, LLC (Delaware)
|
|
79.1
|
%
|
Lakepoint OH Partners, LLC (Delaware)
|
|
79.1
|
%
|
Heatherbridge OH Partners, LLC (Delaware)
|
|
79.1
|
%
|
Sunbury OH Partners, LLC (Delaware)
|
|
79.1
|
%
|
Lakeview Trail OH Partners, LLC (Delaware)
|
|
79.1
|
%
|
Goldenstrand OH Partners, LLC (Delaware)
|
|
79.1
|
%
|
Michigan Storage, LLC (Delaware)
|
|
85.0
|
%
|
Michigan Storage TRS LLC (Delaware)
|
|
85.0
|
%
|
Ford Road Self Storage, LLC (Delaware)
|
|
85.0
|
%
|
Ball Avenue Self Storage, LLC (Delaware)
|
|
85.0
|
%
|
23 Mile Road Self Storage, LLC (Delaware)
|
|
85.0
|
%
|
36th Street Self Storage, LLC (Delaware)
|
|
85.0
|
%
|
Vesper Portfolio JV, LLC (Delaware)
|
|
67.0
|
%
|
Vesper Tuscaloosa LLC (Delaware)
|
|
67.0
|
%
|
Vesper Iowa City LLC (Delaware)
|
|
67.0
|
%
|
Vesper Corpus Christi LLC (Delaware)
|
|
67.0
|
%
|
Vesper Campus Quarters LLC (Delaware)
|
|
67.0
|
%
|
Vesper College Station LLC (Delaware)
|
|
67.0
|
%
|
Vesper Kennesaw LLC (Delaware)
|
|
67.0
|
%
|
Vesper Statesboro LLC (Delaware)
|
|
67.0
|
%
|
Vesper Manhattan KS LLC (Delaware)
|
|
67.0
|
%
|
JSIP Union Place Issuer, LLC (Delaware)
|
|
85.0
|
%
|
9220 Old Lantern Way Owner, LLC (Delaware)
|
|
92.5
|
%
|
Ann Arbor Kalamazoo Self Storage, LLC (Delaware)
|
|
85.0
|
%
|
Waldon Road Self Storage, LLC (Delaware)
|
|
85.0
|
%
|
Jolly Road Self Storage, LLC (Delaware)
|
|
85.0
|
%
|
Haggerty Road Self Storage, LLC (Delaware)
|
|
85.0
|
%
|
Eaton Rapids Road Self Storage, LLC (Delaware)
|
|
85.0
|
%
|
Tyler Road Self Storage, LLC (Delaware)
|
|
85.0
|
%
|
Lorring Owner, LLC (Delaware)
|
|
80.0
|
%
|
Lorring Park Apts, LLC (Delaware)
|
|
80.0
|
%
|
Hamptons Apartments Holdings, LLC (Delaware)
|
|
92.5
|
%
|
Hamptons Apartments Owner, LLC (Delaware)
|
|
92.5
|
%
|
5224 Long Road Holdings, LLC (Delaware)
|
|
92.5
|
%
|
Name of Entity and Place of Jurisdiction
|
|
% of Voting Securities Owned
|
|
5224 Long Road Apartments, LLC (Delaware)
|
|
92.5
|
%
|
Druid Hills Holdings, LLC (Delaware)
|
|
96.3
|
%
|
Druid Hills Apartments, LLC (Delaware)
|
|
96.3
|
%
|
Bel Canto NPRC, LLC
|
|
88.0
|
%
|
Bel Canto NPRC Parcstone, LLC
|
|
88.0
|
%
|
Bel Canto NPRC Stone Ridge, LLC
|
|
88.0
|
%
|
Sterling Place Holdings, LLC
|
|
92.5
|
%
|
Sterling Place Apartment Owner, LLC
|
|
92.5
|
%
|
Credit Central Holdings of Delaware, LLC (Delaware)*
|
|
100.0
|
%
|
Credit Central Loan Company, LLC (South Carolina)
|
|
98.3
|
%
|
Credit Central, LLC (South Carolina)
|
|
98.3
|
%
|
Credit Central Anderson, LLC (South Carolina)
|
|
98.3
|
%
|
Credit Central South, LLC (South Carolina)
|
|
98.3
|
%
|
Credit Central of Tennessee, LLC (South Carolina)
|
|
98.3
|
%
|
Credit Central of Texas, LLC (South Carolina)
|
|
98.3
|
%
|
Mity Holdings of Delaware, Inc.
|
|
100.0
|
%
|
MITY, Inc. (Utah)
|
|
95.5
|
%
|
MITY-LITE, Inc. (Utah)
|
|
95.6
|
%
|
Broda Enterprises ULC (British Columbia, Canada)
|
|
95.6
|
%
|
Broda GP, ULC (Canada)
|
|
95.6
|
%
|
Broda Limited Partnership (Canada)
|
|
95.6
|
%
|
Holsag Canada, Inc. (Canada)
|
|
95.6
|
%
|
Atlas and Lane, LLC (Utah)
|
|
95.6
|
%
|
Mity FSC, Inc. (Utah)
|
|
96.9
|
%
|
Broda USA, Inc. (Utah)
|
|
100.0
|
%
|
Nationwide Acceptance Holdings LLC (Delaware)*
|
|
100.0
|
%
|
Nationwide Loan Company LLC (Delaware)
|
|
94.5
|
%
|
Nationwide Online Lending LLC (Delaware)
|
|
94.5
|
%
|
Pelican Loan Company LLC (Delaware)
|
|
94.5
|
%
|
Nationwide Acceptance LLC (Delaware)
|
|
94.5
|
%
|
Hercules Insurance Agency LLC (Illinois)
|
|
94.5
|
%
|
Nationwide CAC LLC (Illinois)
|
|
94.5
|
%
|
Nationwide Cassel LLC (Illinois)
|
|
94.5
|
%
|
Nationwide Installment Services LLC (Illinois)
|
|
94.5
|
%
|
Nationwide Loans LLC (Illinois)
|
|
94.5
|
%
|
Nationwide Nevada LLC (Illinois)
|
|
94.5
|
%
|
Nationwide Northwest LLC (Illinois)
|
|
94.5
|
%
|
Nationwide Southeast LLC (Illinois)
|
|
94.5
|
%
|
Nationwide West LLC (Illinois)
|
|
94.5
|
%
|
NIKO Credit Services LLC (Illinois)
|
|
94.5
|
%
|
Valley Electric Holdings I, Inc. (Delaware)*
|
|
100.0
|
%
|
Valley Electric Holdings II, Inc. (Delaware)*
|
|
100.0
|
%
|
Valley Electric Company, Inc. (Delaware)
|
|
95.0
|
%
|
VE Company, Inc (Delaware)
|
|
95.0
|
%
|
Valley Electric Co. of Mt. Vernon, Inc. (Washington)
|
|
95.0
|
%
|
Name of Entity and Place of Jurisdiction
|
|
% of Voting Securities Owned
|
|
USES Corp. (Delaware)
|
|
99.9
|
%
|
USES, Inc. (Texas)
|
|
99.9
|
%
|
United States Environmental Services, LLC (Louisiana)
|
|
99.9
|
%
|
UTP Holdings Group, Inc. (Delaware)
|
|
100.0
|
%
|
Universal Turbine Parts, LLC (Delaware)
|
|
100.0
|
%
|
B.V. Aviation, LLC (Delaware)
|
|
100.0
|
%
|
SB Forging Company II, Inc. (Texas)
|
|
100.0
|
%
|
Prospect Realty Income Trust Corp.
|
|
100.0
|
%
|
*
|
Entity is consolidated for purposes of financial reporting.
|
Name
|
|
Jurisdiction of Organization
|
Prospect Street Ventures I, LLC
|
|
Delaware
|
Prospect Management Group LLC
|
|
Delaware
|
Prospect Street Energy LLC
|
|
Delaware
|
Prospect Administration LLC
|
|
Delaware
|
Prospect Capital Fund Management LLC
|
|
Delaware
|
Priority Senior Secured Income Management, LLC
|
|
Delaware
|
Prospect Flexible Income Management, LLC
|
|
Delaware
|
Prospect Capital Investment Management, LLC
|
|
Delaware
|
Title of Class
|
|
Number of Record Holders
|
Common Stock, par value $.001 per share
|
|
141
|
(1)
|
the Registrant, Prospect Capital Corporation, 10 East 40th Street, 42nd Floor, New York, NY 10016;
|
(2)
|
the Transfer Agent, American Stock Transfer & Trust Company;
|
(3)
|
the Custodians, U.S. Bank National Association, Israeli Discount Bank of New York Ltd., Fifth Third Bank, Customers Bank and Peapack-Gladstone Bank; and
|
(4)
|
the Adviser, Prospect Capital Management L.P., 10 East 40th Street, 42nd Floor, New York, NY 10016.
|
1.
|
The Registrant undertakes to suspend the offering of shares until the prospectus is amended if: (1) subsequent to the effective date of its Registration Statement, the net asset value declines more than ten percent from the later of its net asset value as of the effective date of the Registration Statement or the filing of a prospectus supplement pursuant to Rule 424 or 497, under the Securities Act, setting forth the terms of the offering; or (2) the net asset value increases to an amount greater than the net proceeds as stated in the prospectus.
|
2.
|
The Registrant undertakes if the securities being registered are to be offered to existing stockholders pursuant to warrants or rights, and any securities not taken by stockholders are to be reoffered to the public, to supplement the prospectus, after the expiration of the subscription period, to set forth the results of the subscription offer, the transactions by underwriters during the subscription period, the amount of unsubscribed securities to be purchased by underwriters, and the terms of any subsequent reoffering thereof. If any public offering by the underwriters of the securities being registered is to be made on terms differing from those set forth on the cover page of the prospectus, we will file a post-effective amendment to set forth the terms of such offering.
|
3.
|
The Registrant undertakes:
|
a.
|
to file, during any period in which offers or sales are being made, a post-effective amendment to the registration statement:
|
(1)
|
to include any prospectus required by Section 10(a)(3) of the 1933 Act;
|
(2)
|
to reflect in the prospectus any facts or events after the effective date of the registration statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement; and
|
(3)
|
to include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement;
|
b.
|
that, for the purpose of determining any liability under the 1933 Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of those securities at that time shall be deemed to be the initial bona fide offering thereof;
|
c.
|
to remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering;
|
d.
|
that, for the purpose of determining liability under the 1933 Act to any purchaser, each prospectus filed pursuant to Rule 497(b), (c), (d) or (e) under the 1933 Act as part of a registration statement relating to an offering, other than prospectuses filed in reliance on Rule 430A under the 1933 Act, shall be deemed to be part of and included in the registration statement as of the date it is first used after effectiveness. Provided, however, that no statement made in a registration statement or prospectus that is part of the registration statement or made in a document incorporated or deemed incorporated by reference into the registration statement or prospectus that is part of the registration statement will, as to a purchaser with a time of contract of sale prior to such first use, supersede or modify any statement that was made in the registration statement or prospectus that was part of the registration statement or made in any such document immediately prior to such date of first use; and
|
e.
|
that, for the purpose of determining liability of the Registrant under the 1933 Act to any purchaser in the initial distribution of securities: The undersigned Registrant undertakes that in a primary offering of securities of the undersigned Registrant pursuant to this registration statement, regardless of the underwriting method used to sell the securities to the purchaser, if the securities are offered or sold to such purchaser by means of any of the following communications, the undersigned Registrant will be a seller to the purchaser and will be considered to offer or sell such securities to the purchaser: (1) any preliminary prospectus or prospectus of the undersigned Registrant relating to the offering required to be filed pursuant to Rule 497 under the 1933 Act; (2) the portion of any advertisement pursuant to Rule 482 under the 1933 Act relating to the offering containing material information about the undersigned Registrant or its securities provided by or on behalf of the undersigned Registrant; and (3) any other communication that is an offer in the offering made by the undersigned Registrant to the purchaser.
|
|
PROSPECT CAPITAL CORPORATION
|
|
|
|
|
|
|
|
|
By:
|
/s/ JOHN F. BARRY III
|
|
|
John F. Barry III
Chief Executive Officer and Chairman of the Board of Directors
|
Signature
|
|
Title
|
|
|
|
|
|
|
/s/ JOHN F. BARRY III
|
|
Chief Executive Officer and Chairman of the Board of Directors (Principal Executive Officer)
|
John F. Barry III
|
|
|
|
|
|
|
|
|
/s/ M. GRIER ELIASEK
|
|
Chief Operating Officer and Director
|
M. Grier Eliasek
|
|
|
|
|
|
|
|
|
/s/ KRISTIN L. VAN DASK
|
|
Chief Financial Officer, Treasurer and Secretary (Principal Financial and Accounting Officer)
|
Kristin L. Van Dask
|
|
|
|
|
|
|
|
|
/s/ WILLIAM J. GREMP*
|
|
Director
|
William J. Gremp
|
|
|
|
|
|
|
|
|
/s/ ANDREW C. COOPER*
|
|
Director
|
Andrew C. Cooper
|
|
|
|
|
|
|
|
|
/s/ EUGENE S. STARK*
|
|
Director
|
Eugene S. Stark
|
|
|
*By:
|
/s/ M. GRIER ELIASEK
|
|
|
M. Grier Eliasek,
as Attorney-in-Fact
|
|
Exhibit No.
|
|
Description
|
(d)(6)
|
|
Statement of Eligibility of U.S. Bank National Association on Form T-1
|
(h)(1)
|
|
Selling Agent Agreement, dated February 13, 2020, by and among, the Registrant, Prospect Capital Management L.P., Prospect Administration LLC, Incapital LLC and the Agents named therein and added from time to time
|
(l)(1)
|
|
Opinion and Consent of Venable LLP, as special Maryland counsel for the Registrant
|
(l)(2)
|
|
Opinion and Consent of Skadden, Arps, Slate, Meagher & Flom LLP, as special New York counsel for the Registrant
|
(n)(1)
|
|
Power of Attorney
|
(n)(2)
|
|
Consent of independent registered public accounting firm (BDO USA, LLP)
|
(n)(3)
|
|
Report of independent registered public accounting firm on “Senior Securities” table
|
(n)(4)
|
|
Consent of independent registered public accounting firm (RSM US LLP)
|
(n)(5)
|
|
Consent of certified public accountants (BDO USA, LLP)
|
99.1
|
|
Form of Preliminary Prospectus Supplement For Common Stock Offerings
|
99.2
|
|
Form of Preliminary Prospectus Supplement For Preferred Stock Offerings
|
99.3
|
|
Form of Preliminary Prospectus Supplement For Debt Offerings
|
99.4
|
|
Form of Preliminary Prospectus Supplement For Rights Offerings
|
99.5
|
|
Form of Preliminary Prospectus Supplement For Warrant Offerings
|
99.6
|
|
Form of Preliminary Prospectus Supplement For Unit Offerings
|
1 Year Prospect Capital Chart |
1 Month Prospect Capital Chart |
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.
Support: +44 (0) 203 8794 460 | support@advfn.com
By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions