Barry John F's Form 4 filing
Prospect Floating Rate & Alternative Income Fund, Inc. · filed Jul 29, 2024
- Accession no.
- 0001521945-24-000112
- Filed
- Jul 29, 2024, 4:40 PM ET
- Trade date
- Jul 26, 2024
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market purchases total $10.0M. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Barry John FCIK 0001294357 | 10% Owner |
| John & Daria Barry FoundationCIK 0002009659 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 26, 2024 | COMMON STOCK | PPurchaseAcquired | +2,096,436.0587 | $4.77 | +$10,000,000 | 2,096,436.0587 | Indirect | |
| Jul 26, 2024 | COMMON STOCK | GGiftDisposed | −2,096,436.0587 | $0.00 | $0 | 0 | Indirect | |
| Jul 26, 2024 | COMMON STOCK | GGiftAcquired | +2,096,436.0587 | $0.00 | $0 | 6,382,194.8283 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.