As of November 6, 2026, one holder's latest Schedule 13D or 13G filing report owning 5% or more of Prospect Floating Rate & Alternative Income Fund, Inc. The largest reported stake is John & Daria Barry Foundation's, at 80.9%. 3 filings are on record since December 12, 2025 (Schedule 13D/A, September 10, 2026).
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Key facts
- · Reporting person: John & Daria Barry Foundation · Sole voting: 7,936,417 · Shared voting: 0 · Sole dispositive: 7,936,417 · Shared dispositive: 0 · SCHEDULE 13D/A, 2026-09-10
- · Holder: John & Daria Barry Foundation · Percent: 79.7% · SCHEDULE 13D/A
- · Holder: John & Daria Barry Foundation · Percent: 78.7% · SCHEDULE 13D/A
Prospect Floating Rate & Alternative Income Fund, Inc. has 3 Schedule 13D or 13G filings on record since 2025-12-12. 1 holder's latest filing reports 5% or more of common stock, par value $0.001 per share. Each figure below is the holder's own, as filed, with the filing linked.
Holders
| Holder | Percent | Shares | Latest | Event date |
|---|---|---|---|---|
| John & Daria Barry Foundation | 80.9% | 7,936,417 | SCHEDULE 13D/A, 2026-09-10 | 2026-09-08 |
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More on Prospect Floating Rate & Alternative Income Fund, Inc. and the records around it.
Companies that share a holder
- John & Daria Barry Foundation also filed stake reports on 1 other company: PROSPECT CAPITAL CORP (Mar 2026)
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Voting and dispositive power, as filed
| Reporting person | Sole voting | Shared voting | Sole dispositive | Shared dispositive | Filing |
|---|---|---|---|---|---|
| John & Daria Barry Foundation | 7,936,417 | 0 | 7,936,417 | 0 | SCHEDULE 13D/A, 2026-09-10 |
| Barry John F | 7,936,417 | 0 | 7,936,417 | 0 | SCHEDULE 13D/A, 2026-09-10 |
The latest filing identifies Prospect Floating Rate & Alternative Income Fund, Inc. by CUSIP 89678V105 and gives its principal executive office as 10 EAST 40TH STREET, 42ND FLOOR, NEW YORK, NY 10016 (SCHEDULE 13D/A, 2026-09-10).
Source of funds (Item 3)
Item 3 is amended by adding the following: Since the filing of the Amendment No. 7 on Schedule 13D/A on May 1, 2026: the Foundation acquired an aggregate of 363,928.43 shares of Common Stock through the Issuer's distribution reinvestment plan. Item 5 of this Schedule 13D is incorporated herein by reference.John & Daria Barry Foundation, SCHEDULE 13D/A, 2026-09-10
Timeline
| Filed | Holder | Percent | Filing |
|---|---|---|---|
| 2025-12-12 | John & Daria Barry Foundation | 78.7% | SCHEDULE 13D/A |
| 2026-05-01 | John & Daria Barry Foundation | 79.7% | SCHEDULE 13D/A |
| 2026-09-10 | John & Daria Barry Foundation | 80.9% | SCHEDULE 13D/A |
Questions about who owns Prospect Floating Rate & Alternative Income Fund, Inc.
Who owns Prospect Floating Rate & Alternative Income Fund, Inc.?
On this page, one holder's latest ownership filing reports 5% or more of Prospect Floating Rate & Alternative Income Fund, Inc.: John & Daria Barry Foundation (80.9%, Schedule 13D/A, filed 2026-09-10).
When did John & Daria Barry Foundation buy into Prospect Floating Rate & Alternative Income Fund, Inc.?
The filings give report dates, not purchase dates. The earliest filing from John & Daria Barry Foundation on this page is the Schedule 13D/A, filed 2025-12-12, reporting 78.7%; its latest, Schedule 13D/A filed 2026-09-10, reports 80.9%. That earliest filing is itself an amendment, which updates an earlier report.
Is this an audit or a full list?
Neither. The ownership list on this page covers only Schedule 13D and 13G filings, which holders make once they own 5% or more of a class of shares (an amendment can report a stake that has since fallen below 5%); 3 such filings are shown here. It is not an audit and not a full cap table: holders who never reached 5% are not listed, and a stake can change after its latest filing.
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Where this comes from
Anyone who comes to own more than 5% of a class of a listed company's voting shares has to tell the SEC. A holder who may seek to change or influence the company files Schedule 13D, and has to say in Item 4, "Purpose of Transaction", what it intends to do. A holder with no such intent, such as many index and passive funds, may file the shorter Schedule 13G. Both are amended when the stake changes, including when it falls below 5%.
Every row here is one of those filings, linked to the filing itself. Percentages and share counts are exactly as the holder filed them, for the holder the filing names; an amendment showing a lower figure is shown as filed. Item 4 text is quoted word for word. Where a 13D's Item 4 contains a sentence stating a definite intent to influence the company, that sentence is marked and quoted; the page does not describe the holder or its motives beyond the words it filed. Nothing here is investment advice.