PROSPECT CAPITAL CORP
For the period ended Sep 30, 2026. Filed Nov 4, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Nov 4, 2026
PSEC$1.51+7.1%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
The following exhibits are filed as part of this report or hereby incorporated by reference to exhibits previously filed with the SEC (according to the number assigned to them in Item 601 of Regulation S-K):
| Exhibit No. | |
|---|---|
| 3.1 | Articles of Amendment and Restatement(1) |
| 3.2 | Amended and Restated Bylaws(2) |
| 3.3 | Articles of Amendment(3) |
| 3.4 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation (4) |
| 3.5 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation (5) |
| 3.6 | Certificate of Correction to the Articles Supplementary of Prospect Capital Corporation(6) |
| 3.7 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(7) |
| 3.8 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(8) |
| 3.9 | Certificate of Correction to Articles Supplementary of Prospect Capital Corporation(9) |
| 3.10 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(10) |
| 3.11 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(11) |
| 3.12 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(12) |
| 3.13 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(13) |
| 3.14 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(14) |
| 3.15 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(15) |
| 3.16 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(16) |
| 3.17 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(17) |
| 3.18 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(18) |
| 3.19 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(19) |
| 3.20 | Articles Supplementary to the Articles of Amendment and Restatement of Prospect Capital Corporation(20) |
| 3.21 | Articles of Amendment(21) |
| 4.1 | One Thousand Six Hundred Seventy-Ninth Supplemental Indenture dated as of July 2, 2026, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(22) |
| 4.2 | One Thousand Six Hundred Eightieth Supplemental Indenture dated as of July 2, 2026, to the U.S. Bank Indenture, and Form of 6.500% Prospect Capital InterNote® due 2031(22) |
| 4.3 | One Thousand Six Hundred Eighty-First Supplemental Indenture dated as of July 2, 2026, to the U.S. Bank Indenture, and Form of 6.750% Prospect Capital InterNote® due 2033(22) |
| 4.4 | One Thousand Six Hundred Eighty-Second Supplemental Indenture dated as of July 9, 2026, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(23) |
| 4.5 | One Thousand Six Hundred Eighty-Third Supplemental Indenture dated as of July 9, 2026, to the U.S. Bank Indenture, and Form of 6.500% Prospect Capital InterNote® due 2031(23) |
| 4.6 | One Thousand Six Hundred Eighty-Fourth Supplemental Indenture dated as of July 9, 2026, to the U.S. Bank Indenture, and Form of 6.750% Prospect Capital InterNote® due 2033(23) |
| 4.7 | One Thousand Six Hundred Eighty-Eighth Supplemental Indenture dated as of July 23, 2026, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2029(24) |
| 4.8 | One Thousand Six Hundred Eighty-Ninth Supplemental Indenture dated as of July 23, 2026, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2031(24) |
| 4.9 | One Thousand Six Hundred Ninetieth Supplemental Indenture dated as of July 23, 2026, to the U.S. Bank Indenture, and Form of 6.500% Prospect Capital InterNote® due 2033(24) |
| 4.10 | One Thousand Six Hundred Ninety-First Supplemental Indenture dated as of July 30, 2026, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2029(25) |
| Exhibit No. | |
|---|---|
| 4.11 | One Thousand Six Hundred Ninety-Second Supplemental Indenture dated as of July 30, 2026, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2031(25) |
| 4.12 | One Thousand Six Hundred Ninety-Third Supplemental Indenture dated as of July 30, 2026, to the U.S. Bank Indenture, and Form of 6.500% Prospect Capital InterNote® due 2033(25) |
| 4.13 | One Thousand Six Hundred Ninety-Fourth Supplemental Indenture dated as of August 6, 2026, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2029(26) |
| 4.14 | One Thousand Six Hundred Ninety-Fifth Supplemental Indenture dated as of August 6, 2026, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2031(26) |
| 4.15 | One Thousand Six Hundred Ninety-Sixth Supplemental Indenture dated as of August 6, 2026, to the U.S. Bank Indenture, and Form of 6.500% Prospect Capital InterNote® due 2033(26) |
| 4.16 | One Thousand Six Hundred Ninety-Seventh Supplemental Indenture dated as of August 13, 2026, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2029(27) |
| 4.17 | One Thousand Six Hundred Ninety-Eighth Supplemental Indenture dated as of August 13, 2026, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2031(27) |
| 4.18 | One Thousand Six Hundred Ninety-Ninth Supplemental Indenture dated as of August 13, 2026, to the U.S. Bank Indenture, and Form of 6.500% Prospect Capital InterNote® due 2033(27) |
| 4.19 | One Thousand Seven Hundredth Supplemental Indenture dated as of August 20, 2026, to the U.S. Bank Indenture, and Form of 6.000% Prospect Capital InterNote® due 2029(28) |
| 4.20 | One Thousand Seven Hundred First Supplemental Indenture dated as of August 20, 2026, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2031(28) |
| 4.21 | One Thousand Seven Hundred Second Supplemental Indenture dated as of August 20, 2026, to the U.S. Bank Indenture, and Form of 6.500% Prospect Capital InterNote® due 2033(28) |
| 4.22 | One Thousand Seven Hundred Sixth Supplemental Indenture dated as of September 11, 2026, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(29) |
| 4.23 | One Thousand Seven Hundred Seventh Supplemental Indenture dated as of September 11, 2026, to the U.S. Bank Indenture, and Form of 6.500% Prospect Capital InterNote® due 2031(29) |
| 4.24 | One Thousand Seven Hundred Eighth Supplemental Indenture dated as of September 11, 2026, to the U.S. Bank Indenture, and Form of 6.750% Prospect Capital InterNote® due 2033(29) |
| 4.25 | One Thousand Seven Hundred Ninth Supplemental Indenture dated as of September 17, 2026, to the U.S. Bank Indenture, and Form of 6.250% Prospect Capital InterNote® due 2029(30) |
| 11 | Computation of Per Share Earnings (included in the notes to the financial statements contained in this report) |
| 12 | Computation of Ratios (included in the notes to the financial statements contained in this report) |
| 31.1 | Certification of Chief Executive Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended* |
| 31.2 | Certification of Chief Financial Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended* |
| 32.1 | Certification of Chief Executive Officer pursuant to Section 906 of The Sarbanes-Oxley Act of 2002 (18 U.S.C. 1350)(furnished herewith) |
| 32.2 | Certification of Chief Financial Officer pursuant to Section 906 of The Sarbanes-Oxley Act of 2002 (18 U.S.C. 1350)(furnished herewith) |
| 101.INS | Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. |
| 104 | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) |
| * | Filed herewith. |
| (1) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on May 9, 2014. |
| (2) | Incorporated by reference to Exhibit 3.2 of the Registrant’s Form 8-K, filed on August 20, 2026. |
| (3) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on August 4, 2020. |
| (4) | Incorporated by reference to Exhibit 3.2 of the Registrant’s Form 8-K, filed on August 4, 2020. |
| (5) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on November 4, 2020. |
| (6) | Incorporated by reference to Exhibit 3.2 of the Registrant’s Form 8-K, filed on November 4, 2020. |
| (7) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 57 to the Registration Statement on Form N-2, filed on May 20, 2021. |
| (8) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 65 to the Registration Statement on Form N-2, filed on July 15, 2021. |
| (9) | Incorporated by reference to Exhibit 3.1 of the Registrant's Form 8-K, filed on July 19, 2021. |
| (10) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on February 23, 2022. |
| (11) | Incorporated by reference to Exhibit 1.1 of the Registrant’s Form 8-K, filed on June 9, 2022. |
| (12) | Incorporated by reference to Exhibit 1.1 of the Registrant’s Form 8-K, filed on October 12, 2022. |
| (13) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on October 12, 2022. |
| (14) | Incorporated by reference to Exhibit 1.1 of the Registrant’s Form 8-K, filed on February 13, 2023. |
| (15) | Incorporated by reference to Exhibit 3.2 of the Registrant’s Form 8-K, filed on December 29, 2023. |
| (16) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on January 25, 2024. |
| (17) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on October 17, 2024. |
| (18) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on December 30, 2024. |
| (19) | Incorporated by reference to Exhibit 3.20 of the Registrant’s Form 10-Q, filed on May 7, 2026. |
| (20) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on May 8, 2026. |
| (22) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 17 to the Registration Statement on Form N-2, filed on July 2, 2026. |
| (23) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 18 to the Registration Statement on Form N-2, filed on July 9, 2026. |
| (24) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 19 to the Registration Statement on Form N-2, filed on July 23, 2026. |
| (25) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 20 to the Registration Statement on Form N-2, filed on July 30, 2026. |
| (26) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 21 to the Registration Statement on Form N-2, filed on August 6, 2026. |
| (27) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 22 to the Registration Statement on Form N-2, filed on August 13, 2026. |
| (28) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 23 to the Registration Statement on Form N-2, filed on August 20, 2026. |
| (29) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 24 to the Registration Statement on Form N-2, filed on September 11, 2026. |
| (30) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 25 to the Registration Statement on Form N-2, filed on September 17, 2026. |
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