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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Prospect Capital Corporaton | NYSE:PBY | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 25.00 | 0 | 01:00:00 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. __)*
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1(b)
þ Rule 13d-1(c)
o Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No.
|
713278109
|
1 |
NAMES OF REPORTING PERSONS
North Run Capital, LP |
||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 3,660,288** | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
3,660,288** | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,660,288** | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
6.9%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
2
CUSIP No.
|
713278109
|
1 |
NAMES OF REPORTING PERSONS
|
||||
North Run GP, LP | |||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 3,660,288** | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
3,660,288** | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,660,288** | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
6.9%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
3
CUSIP No.
|
713278109
|
1 |
NAMES OF REPORTING PERSONS
North Run Advisors, LLC |
||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 3,660,288** | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
3,660,288** | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,660,288** | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
6.9%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO |
4
CUSIP No.
|
713278109
|
1 |
NAMES OF REPORTING PERSONS
Todd B. Hammer |
||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 3,660,288** | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
3,660,288** | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,660,288** | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
6.9%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
5
CUSIP No.
|
713278109
|
1 |
NAMES OF REPORTING PERSONS
Thomas B. Ellis |
||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 3,660,288** | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
3,660,288** | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,660,288** | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
6.9%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
6
(1) |
North Run Capital, LP
|
||
(2) |
North Run GP, LP
|
||
(3) |
North Run Advisors, LLC
|
||
(4) |
Todd B. Hammer
|
||
(5) |
Thomas B. Ellis
|
(1) |
North Run Capital, LP is a Delaware limited partnership.
|
||
(2) |
North Run GP, LP is a Delaware limited partnership
|
||
(3) |
North Run Advisors, LLC is a Delaware limited liability company.
|
||
(4) |
Todd B. Hammer is a U.S. citizen.
|
||
(5) |
Thomas B. Ellis is a U.S. citizen.
|
7
(a) |
North Run, the GP, the Investment Manager, Todd B. Hammer, and
Thomas B. Ellis may be deemed the beneficial owners of 3,660,288 shares of
Common Stock.
|
||
(b) |
North Run, the GP, the Investment Manager, Todd B. Hammer and
Thomas B. Ellis may be deemed the beneficial owners of 6.9% of the outstanding
shares of Common Stock. This percentage was determined by dividing 3,660,288
by 52,673,823, which is the number of shares of Common Stock outstanding as of
May 27, 2011, according to the Issuers Form 10-Q filed on June 7, 2011 with
the Securities and Exchange Commission.
|
||
(c) |
North Run, the GP, the Investment Manager, Todd B. Hammer and
Thomas B. Ellis have the shared power to vote and dispose of the 3,660,288
shares of Common Stock beneficially owned.
|
8
9
NORTH RUN CAPITAL, LP | ||||||||
|
||||||||
By: | North Run Advisors, LLC | |||||||
its general partner | ||||||||
|
||||||||
|
By: | * | ||||||
|
||||||||
|
Name: Thomas B. Ellis | |||||||
|
Title: Member | |||||||
|
||||||||
|
and | |||||||
|
||||||||
|
By: | * | ||||||
|
||||||||
|
Name: Todd B. Hammer | |||||||
|
Title: Member | |||||||
|
||||||||
NORTH RUN GP, LP | ||||||||
|
||||||||
By: | North Run Advisors, LLC | |||||||
its general partner | ||||||||
|
||||||||
|
By: | * | ||||||
|
||||||||
|
Name: Thomas B. Ellis | |||||||
|
Title: Member | |||||||
|
||||||||
|
and | |||||||
|
||||||||
|
By: | * | ||||||
|
||||||||
|
Name: Todd B. Hammer | |||||||
|
Title: Member |
10
NORTH RUN ADVISORS, LLC | ||||||
|
||||||
|
By: | * | ||||
|
||||||
|
Name: Thomas B. Ellis | |||||
|
Title: Member | |||||
|
||||||
|
and | |||||
|
||||||
|
By: | * | ||||
|
||||||
|
Name: Todd B. Hammer | |||||
|
Title: Member | |||||
|
||||||
|
* | |||||
Thomas B. Ellis | ||||||
|
||||||
|
* | |||||
Todd B. Hammer | ||||||
|
||||||
|
* By | /s/ SARAH L. FILION | ||||
|
||||||
|
Sarah L. Filion, Attorney-in-Fact | |||||
|
Pursuant to Powers of Attorney filed as exhibits hereto |
11
1 Year Prospect Capital Corpora... Chart |
1 Month Prospect Capital Corpora... Chart |
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