Prospect Capital Corporation

12/06/2021 | Press release | Distributed by Public on 12/06/2021 15:31

Submission of Matters to a Vote of Security Holders - Form 8-K

Document


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 8-K

CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): December 6, 2021 (December 3, 2021)

Prospect Capital Corporation
(Exact name of registrant as specified in its charter)

MARYLAND
814-00659 43-2048643
(State or other jurisdiction (Commission File Number) (IRS Employer
of incorporation) Identification No.)

10 East 40th Street, 42nd Floor, New York, New York 10016
(Address of principal executive offices, including zip code)

(212) 448-0702

(Registrant's telephone number, including area code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:
Title of each class Trading symbol Name of each exchange on which registered
Common Stock, $0.001 par value PSEC NASDAQ Global Select Market
6.875% Notes due 2029, par value $25 PBC New York Stock Exchange
5.35% Series A Fixed Rate Cumulative Perpetual Preferred Stock, par value $0.001 PSEC PRA New York Stock Exchange


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company o

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o



Item 5.07.Submission of Matters to a Vote of Security Holders.

On December 3, 2021, Prospect Capital Corporation (the "Company") held its Annual Meeting of Stockholders virtually (the "Annual Meeting"). At the Annual Meeting, the Company's common stockholders voted on one proposal. The proposal is described in detail in the Company's definitive proxy statement for the Annual Meeting as filed with the Securities and Exchange Commission (the "SEC") on September 14, 2021. As of September 13, 2021, the record date, 403,137,412 shares of stock were eligible to vote, which included 108,207,559 shares of stock owned by affiliates. The final voting results from the Annual Meeting were as follows:

Proposal 1. The Company's elected two directors of the Company. Each of M. Grier Eliasek and Andrew C. Cooper serve as as a Class II director until the annual meeting of stockholders of the Company in 2024 and until his successor is duly elected and qualifies or until his earlier resignation, removal from office, death or incapacity. The directors were re-elected pursuant to the voting results set forth below:

Name For Against Abstained Broker Non-Votes
M. Grier Eliasek 223,430,091 9,393,077 4,419,729 -
Andrew C. Cooper 215,232,811 17,641,263 4,368,823 -



3






SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized.

Prospect Capital Corporation


By: /s/ M. Grier Eliasek
Name: M. Grier Eliasek
Title: Chief Operating Officer
Date: December 6, 2021


4