Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PROSPECT CAPITAL CORPPSEC · Entity 4873 | CFO, TREASURER, SECRETARY, CCO | November 12, 2024 | November 14, 2024 |
| Pathway Capital Opportunity Fund, Inc.N/A · Entity 167560 | CFO, TREAS., SEC. AND CCO | April 04, 2018 | April 13, 2018 |
| Priority Income Fund, Inc.N/A · Entity 9813 | CFO, TREAS., SEC. AND CCO | April 04, 2018 | April 13, 2018 |
| Prospect Enhanced Yield FundPAYIX · Entity 39732 | Chief Financial Officer | June 08, 2026 | June 10, 2026 |
| Prospect Floating Rate & Alternative Income Fund, Inc.N/A · Entity 88695 | CFO, TREASURER AND SECRETARY | April 01, 2019 | April 11, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PROSPECT CAPITAL CORP
Report date November 12, 2024 · Filed November 14, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | IndirectBy Spouse | 19,400 |
Reported balance
After 2024-11-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2024-11-12 · Purchase · Acquired 9,400 · Balance 19,400 |
| COMMON STOCKSEC Table I · non-derivative | Direct | 87,245.7685 |
Reported balance
After 2024-11-12 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2024-11-12 · Purchase · Acquired 5,800 · Balance 87,245.7685 F1: Includes 5,800 shares held jointly with the reporting person's spouse. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 5,800 shares held jointly with the reporting person's spouse.
Pathway Capital Opportunity Fund, Inc.
Report date April 04, 2018 · Filed April 13, 2018
This filing explicitly reported no securities owned.
Priority Income Fund, Inc.
Report date April 04, 2018 · Filed April 13, 2018
This filing explicitly reported no securities owned.
Prospect Enhanced Yield Fund
Report date June 08, 2026 · Filed June 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class I Shares of Beneficial InterestSEC Table I · non-derivative | IndirectBy Spouse | 3,003.604 |
Reported balance
After 2026-06-08 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-06-08 · Purchase · Acquired 3,003.604 · Balance 3,003.604 |
| Class I Shares of Beneficial InterestSEC Table I · non-derivative | IndirectBy Spouse | 6,006.006 |
Reported balance
After 2026-06-09 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2026-06-09 · Purchase · Acquired 3,002.402 · Balance 6,006.006 |
Prospect Floating Rate & Alternative Income Fund, Inc.
Report date April 01, 2019 · Filed April 11, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2019-04-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 09, 2026 Filed Jun 10, 2026 20:01 UTC | Prospect Enhanced Yield Fund PAYIX · Entity 39732 | PurchaseClass I Shares of Beneficial Interest | 3,002.402 | $24.98 | $75,000.00 |
DisclosureSEC source: 0002027076-26-000004 · wk-form4_1781121671.xml · nonDerivative · entry 2 Van Dask Kristin Lea · CIK 0001737386 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 6,006.006 Read SEC document |
| June 08, 2026 Filed Jun 10, 2026 20:01 UTC | Prospect Enhanced Yield Fund PAYIX · Entity 39732 | PurchaseClass I Shares of Beneficial Interest | 3,003.604 | $24.97 | $74,999.99 |
DisclosureSEC source: 0002027076-26-000004 · wk-form4_1781121671.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 3,003.604 Read SEC document |
| November 12, 2024 Filed Nov 14, 2024 21:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 5,800 | $4.29 | $24,882.00 |
DisclosureSEC source: 0001287032-24-000415 · wk-form4_1731618063.xml · nonDerivative · entry 2 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 87,245.7685 F1 · ownership.direct: Includes 5,800 shares held jointly with the reporting person's spouse. Read SEC document |
| November 12, 2024 Filed Nov 14, 2024 21:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 9,400 | $4.29 | $40,326.00 |
DisclosureSEC source: 0001287032-24-000415 · wk-form4_1731618063.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 19,400 Read SEC document |
| June 20, 2024 Filed Jun 24, 2024 20:03 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchasePreferred Stock | 3,330 | $22.50 | $74,925.00 |
DisclosureSEC source: 0001287032-24-000200 · wk-form4_1719259418.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,539.4033 F1 · balance_after: Includes 1,000 shares of Preferred Stock which were previously reported when purchased in Table 2 but will be reported in Table 1 going forward. Also includes additional shares of Preferred Stock accrued under the Preferred Stock Dividend Reinvestment Plan of such stock. Read SEC document |
| March 11, 2024 Filed Mar 13, 2024 20:03 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 5,000 | $5.44 | $27,199.50 |
DisclosureSEC source: 0001287032-24-000088 · wk-form4_1710360169.xml · nonDerivative · entry 2 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 10,000 Read SEC document |
| November 10, 2023 Filed Nov 14, 2023 21:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 2,500 | $5.64 | $14,099.75 |
DisclosureSEC source: 0001287032-23-000363 · wk-form4_1699995701.xml · nonDerivative · entry 3 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 5,000 Read SEC document |
| November 10, 2023 Filed Nov 14, 2023 21:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 2,500 | $5.72 | $14,298.00 |
DisclosureSEC source: 0001287032-23-000363 · wk-form4_1699995701.xml · nonDerivative · entry 2 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 2,500 Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 20:18 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 6,000 | $6.87 | $41,220.00 |
DisclosureSEC source: 0001287032-23-000104 · wf-form4_167899787279500.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,491.9675 Read SEC document |
| November 11, 2022 Filed Nov 15, 2022 21:02 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 4,250 | $7.51 | $31,908.58 |
DisclosureSEC source: 0001287032-22-000385 · wf-form4_166854612290386.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,516.8707 Read SEC document |
| September 07, 2022 Filed Sep 9, 2022 20:02 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 2,650 | $7.35 | $19,477.50 |
DisclosureSEC source: 0001287032-22-000290 · wf-form4_166275373799619.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,331.4058 Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:02 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | Purchase5.50% Series A1 Preferred Stock · Derivative | 1,000 | $25.00 | $25,000.00 |
DisclosureSEC source: 0001171843-20-008536 · ownership.xml · derivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Common Stock · 4,194.322 shares Expires not disclosed F1 · derivative.exercise_price: Prior to the listing of the Issuer's 5.50% Series A1 Convertible Preferred Stock, par value $0.001 per share (the "Series A1 Preferred Shares") on a national securities exchange, each Series A1 Preferred Share is convertible at the election of the holder thereof into a number of shares of the Issuer's Common Stock, par value $0.001 par share (the "Common Stock") (or, at the option of the Issuer, in whole or in part, into the cash value thereof), based on the conversion rate in effect at the time of conversion. Such conversion rate is defined in the Prospectus Supplement dated August 3, 2020 (the "Prospectus Supplement"), but generally means a number of shares of Common Stock equal to the initial stated value of $25.00 per Series A1 Preferred Share plus any accrued but unpaid dividends, divided by the arithmetic average of the daily volume weighted average price of shares of Common Stock over each of the five consecutive trading days ending on the conversion exercise date. F1 · derivative.exercise_date: Prior to the listing of the Issuer's 5.50% Series A1 Convertible Preferred Stock, par value $0.001 per share (the "Series A1 Preferred Shares") on a national securities exchange, each Series A1 Preferred Share is convertible at the election of the holder thereof into a number of shares of the Issuer's Common Stock, par value $0.001 par share (the "Common Stock") (or, at the option of the Issuer, in whole or in part, into the cash value thereof), based on the conversion rate in effect at the time of conversion. Such conversion rate is defined in the Prospectus Supplement dated August 3, 2020 (the "Prospectus Supplement"), but generally means a number of shares of Common Stock equal to the initial stated value of $25.00 per Series A1 Preferred Share plus any accrued but unpaid dividends, divided by the arithmetic average of the daily volume weighted average price of shares of Common Stock over each of the five consecutive trading days ending on the conversion exercise date. F1 · derivative.expiration_date: Prior to the listing of the Issuer's 5.50% Series A1 Convertible Preferred Stock, par value $0.001 per share (the "Series A1 Preferred Shares") on a national securities exchange, each Series A1 Preferred Share is convertible at the election of the holder thereof into a number of shares of the Issuer's Common Stock, par value $0.001 par share (the "Common Stock") (or, at the option of the Issuer, in whole or in part, into the cash value thereof), based on the conversion rate in effect at the time of conversion. Such conversion rate is defined in the Prospectus Supplement dated August 3, 2020 (the "Prospectus Supplement"), but generally means a number of shares of Common Stock equal to the initial stated value of $25.00 per Series A1 Preferred Share plus any accrued but unpaid dividends, divided by the arithmetic average of the daily volume weighted average price of shares of Common Stock over each of the five consecutive trading days ending on the conversion exercise date. F1 · derivative.underlying_shares: Prior to the listing of the Issuer's 5.50% Series A1 Convertible Preferred Stock, par value $0.001 per share (the "Series A1 Preferred Shares") on a national securities exchange, each Series A1 Preferred Share is convertible at the election of the holder thereof into a number of shares of the Issuer's Common Stock, par value $0.001 par share (the "Common Stock") (or, at the option of the Issuer, in whole or in part, into the cash value thereof), based on the conversion rate in effect at the time of conversion. Such conversion rate is defined in the Prospectus Supplement dated August 3, 2020 (the "Prospectus Supplement"), but generally means a number of shares of Common Stock equal to the initial stated value of $25.00 per Series A1 Preferred Share plus any accrued but unpaid dividends, divided by the arithmetic average of the daily volume weighted average price of shares of Common Stock over each of the five consecutive trading days ending on the conversion exercise date. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 21:01 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 5,000 | $6.18 | $30,899.50 |
DisclosureSEC source: 0001171843-20-001345 · ownership.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,250 Read SEC document |
| December 09, 2019 Filed Dec 11, 2019 21:07 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 3,250 | $6.54 | $21,241.35 |
DisclosureSEC source: 0001287032-19-000413 · wf-form4_157609844091660.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,250 Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 21:03 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 2,000 | $6.44 | $12,872.00 |
DisclosureSEC source: 0001171843-19-000930 · ownership.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,000 Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 21:04 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 1,000 | $5.81 | $5,809.90 |
DisclosureSEC source: 0001171843-18-008563 · ownership.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,000 Read SEC document |
| November 08, 2018 Filed Nov 13, 2018 21:02 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 2,500 | $7.00 | $17,496.25 |
DisclosureSEC source: 0001171843-18-007890 · ownership.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Read SEC document |
| May 18, 2018 Filed May 22, 2018 20:03 UTC | PROSPECT CAPITAL CORP PSEC · Entity 4873 | PurchaseCOMMON STOCK | 3,649 | $6.66 | $24,293.22 |
DisclosureSEC source: 0001171843-18-004144 · formfour.xml · nonDerivative · entry 1 Van Dask Kristin Lea · CIK 0001737386 · CFO, TREASURER, SECRETARY, CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,500 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.