Security key
70806A106
PennantPark Floating Rate Capital Ltd. - COM (PFLT)
CUSIP: 70806A106
Q4 2014 13F Holders as of 31 Dec 2014
- Type / Class
- Equity / COM
- Total 13F shares
- 3,230,853
- Share change
- -73,045
- Total reported value
- $44,245,202
- Price per share
- $13.73
- Number of holders
- 48
- Value change
- -$1,029,227
- Number of buys
- 20
- Number of sells
- 23
Report period
Q4 2014
Institutions
48
Top holders
10
PFLT full security history
Newer quarter: Q1 2015
Previous quarter: Q3 2014
PennantPark Floating Rate Capital Ltd. SEC filings
PennantPark Floating Rate Capital Ltd. company facts
Broader feeds
Reporting periods
Holder history for CUSIP 70806A106
Recent filing periods:
Top shareholders of PFLT - PennantPark Floating Rate Capital Ltd. - COM (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.
Methodology: rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
| Holder | Source | Role / Reporting | Ownership % | Shares | Holdings Value | 12M Net Δ | As of | Details |
|---|---|---|---|---|---|---|---|---|
| NWQ INVESTMENT MANAGEMENT COMPANY, LLC |
13F
|
Company |
—
class O/S missing
|
454,877
|
$6,268,000 | — | 30 Sep 2014 | |
| Yorktown Management & Research Co Inc |
13F
|
Company |
—
class O/S missing
|
256,058
|
$3,528,000 | — | 30 Sep 2014 | |
| Janney Montgomery Scott LLC |
13F
|
Company |
—
class O/S missing
|
251,095
|
$3,460,088 | — | 30 Sep 2014 | |
| UBS AG |
13F
|
Company |
—
class O/S missing
|
250,212
|
$3,448,000 | — | 30 Sep 2014 | |
| CONFLUENCE INVESTMENT MANAGEMENT LLC |
13F
|
Company |
—
class O/S missing
|
191,716
|
$2,642,000 | — | 30 Sep 2014 | |
| MORGAN STANLEY |
13F
|
Company |
—
class O/S missing
|
166,725
|
$2,297,000 | — | 30 Sep 2014 | |
| STIFEL FINANCIAL CORP |
13F
|
Company |
—
class O/S missing
|
121,824
|
$1,679,000 | — | 30 Sep 2014 | |
| West Family Investments, Inc. |
13F
|
Company |
—
class O/S missing
|
103,024
|
$1,420,000 | — | 30 Sep 2014 | |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC |
13F
|
Company |
—
class O/S missing
|
102,799
|
$1,417,000 | — | 30 Sep 2014 | |
| Allen Investment Management, LLC |
13F
|
Company |
—
class O/S missing
|
82,771
|
$1,141,000 | — | 30 Sep 2014 | |
| HighTower Advisors, LLC |
13F
|
Company |
—
class O/S missing
|
79,149
|
$1,091,000 | — | 30 Sep 2014 | |
| BlackRock Group LTD |
13F
|
Company |
—
class O/S missing
|
74,202
|
$1,023,000 | — | 30 Sep 2014 | |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE |
13F
|
Company |
—
class O/S missing
|
71,084
|
$980,000 | — | 30 Sep 2014 | |
| GOLDMAN SACHS GROUP INC |
13F
|
Company |
—
class O/S missing
|
64,609
|
$890,000 | — | 30 Sep 2014 | |
| OPTIMUM INVESTMENT ADVISORS |
13F
|
Company |
—
class O/S missing
|
59,470
|
$842,000 | — | 30 Sep 2014 | |
| Texas Yale Capital Corp. |
13F
|
Company |
—
class O/S missing
|
57,175
|
$788,000 | — | 30 Sep 2014 | |
| ACG Wealth |
13F
|
Company |
—
class O/S missing
|
54,064
|
$745,000 | — | 30 Sep 2014 | |
| VSR Financial Services, Inc. |
13F
|
Company |
—
class O/S missing
|
47,810
|
$659,000 | — | 30 Sep 2014 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
—
class O/S missing
|
40,320
|
$555,000 | — | 30 Sep 2014 | |
| CORRADO ADVISORS, LLC |
13F
|
Company |
—
class O/S missing
|
39,522
|
$545,000 | — | 30 Sep 2014 | |
| Municipal Employees' Retirement System of Michigan |
13F
|
Company |
—
class O/S missing
|
26,800
|
$372,000 | — | 30 Sep 2014 | |
| BBR PARTNERS, LLC |
13F
|
Company |
—
class O/S missing
|
26,200
|
$361,000 | — | 30 Sep 2014 | |
| DRIEHAUS CAPITAL MANAGEMENT LLC |
13F
|
Company |
—
class O/S missing
|
26,200
|
$361,000 | — | 30 Sep 2014 | |
| MILLENNIUM MANAGEMENT LLC |
13F
|
Company |
—
class O/S missing
|
25,924
|
$357,000 | — | 30 Sep 2014 | |
| TWO SIGMA ADVISERS, LP |
13F
|
Company |
—
class O/S missing
|
23,700
|
$327,000 | — | 30 Sep 2014 | |
| TWO SIGMA INVESTMENTS, LP |
13F
|
Company |
—
class O/S missing
|
22,700
|
$313,000 | — | 30 Sep 2014 | |
| PDT Partners, LLC |
13F
|
Company |
—
class O/S missing
|
18,529
|
$255,000 | — | 30 Sep 2014 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
—
class O/S missing
|
16,164
|
$223,000 | — | 30 Sep 2014 | |
| AMERICAN INTERNATIONAL GROUP, INC. |
13F
|
Company |
—
class O/S missing
|
16,100
|
$221,864 | — | 30 Sep 2014 | |
| ADAR Investment Management LP |
13F
|
Company |
—
class O/S missing
|
16,000
|
$220,000 | — | 30 Sep 2014 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
—
class O/S missing
|
15,500
|
$214,000 | — | 30 Sep 2014 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
—
class O/S missing
|
12,209
|
$169,000 | — | 30 Sep 2014 | |
| Commonwealth Equity Services, Inc |
13F
|
Company |
—
class O/S missing
|
10,301
|
$142,000 | — | 30 Sep 2014 | |
| MUFG Securities EMEA plc |
13F
|
Company |
—
class O/S missing
|
5,559
|
$77,000 | — | 30 Sep 2014 | |
| WESTPORT RESOURCES MANAGEMENT INC |
13F
|
Company |
—
class O/S missing
|
3,979
|
$55,000 | — | 30 Sep 2014 | |
| BARCLAYS PLC |
13F
|
Company |
—
class O/S missing
|
2,589
|
$34,000 | — | 30 Sep 2014 | |
| Edge Wealth Management LLC |
13F
|
Company |
—
class O/S missing
|
2,000
|
$28,000 | — | 30 Sep 2014 | |
| US BANCORP \DE\ |
13F
|
Company |
—
class O/S missing
|
2,000
|
$28,000 | — | 30 Sep 2014 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
—
class O/S missing
|
1,947
|
$27,000 | — | 30 Sep 2014 | |
| NEXT Financial Group, Inc |
13F
|
Company |
—
class O/S missing
|
1,580
|
$22,000 | — | 30 Sep 2014 | |
| CITIGROUP INC |
13F
|
Company |
—
class O/S missing
|
875
|
$12,000 | — | 30 Sep 2014 | |
| Ground Swell Capital, LLC |
13F
|
Company |
—
class O/S missing
|
468
|
$6,000 | — | 30 Sep 2014 | |
| GLENMEDE TRUST CO NA |
13F
|
Company |
—
class O/S missing
|
458
|
$6,000 | — | 30 Sep 2014 | |
| BNP PARIBAS FINANCIAL MARKETS |
13F
|
Company |
—
class O/S missing
|
291
|
$4,010 | — | 30 Sep 2014 |
Institutional Holders of PennantPark Floating Rate Capital Ltd. - COM (PFLT) as of Q4 2014
As of 31 Dec 2014,
PennantPark Floating Rate Capital Ltd. - COM (PFLT) was held by
48 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
3,230,853 shares.
The largest 10 holders included
NWQ INVESTMENT MANAGEMENT COMPANY, LLC, UBS Group AG, Yorktown Management & Research Co Inc, Janney Montgomery Scott LLC, MORGAN STANLEY, Advisors Asset Management, Inc., CONFLUENCE INVESTMENT MANAGEMENT LLC, Muzinich & Co., Inc., West Family Investments, Inc., and STIFEL FINANCIAL CORP.
This page lists
48
institutional shareholders reporting positions in this security
for the Q4 2014 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2014 vs Q3 2014 Across Filers
Q3 2014 holders
44
Q4 2014 holders
48
Holder diff
4
| Investor | Q3 2014 Shares | Q4 2014 Shares | Share Diff | Share Chg % | Q3 2014 Value $ | Q4 2014 Value $ | Value Diff $ | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
An asterisk sign (*) next to the price indicates that the price is likely invalid.