PennantPark Floating Rate Capital Ltd. - COM (PFLT)
CUSIP: 70806A106
Q4 2016 13F Holders as of 31 Dec 2016
- Type / Class
- Equity / COM
- Total 13F shares
- 9,333,163
- Share change
- +142,565
- Total reported value
- $131,667,000
- Price per share
- $14.11
- Number of holders
- 66
- Value change
- +$2,043,777
- Number of buys
- 30
- Number of sells
- 23
Quarterly Holders Quick Answers
What is CUSIP 70806A106?
CUSIP 70806A106 identifies PFLT - PennantPark Floating Rate Capital Ltd. - COM in SEC institutional holdings data.
Need full ownership history?
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Recent filing periods for CUSIP 70806A106:
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 by the holder's primary source 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 |
|---|---|---|---|---|---|---|---|---|
| PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. |
13F
|
Company |
—
class O/S missing
|
926,552
|
$12,258,000 | — | 30 Sep 2016 | |
| Advisors Asset Management, Inc. |
13F
|
Company |
—
class O/S missing
|
731,265
|
$9,675,000 | — | 30 Sep 2016 | |
| ARES MANAGEMENT LLC |
13F
|
Company |
—
class O/S missing
|
550,656
|
$7,285,000 | — | 30 Sep 2016 | |
| UBS Group AG |
13F
|
Company |
—
class O/S missing
|
492,454
|
$6,515,000 | — | 30 Sep 2016 | |
| Polar Capital LLP |
13F
|
Company |
—
class O/S missing
|
472,500
|
$6,251,000 | — | 30 Sep 2016 | |
| MORGAN STANLEY |
13F
|
Company |
—
class O/S missing
|
441,461
|
$5,841,000 | — | 30 Sep 2016 | |
| Muzinich & Co., Inc. |
13F
|
Company |
—
class O/S missing
|
387,150
|
$5,122,000 | — | 30 Sep 2016 | |
| LGT CAPITAL PARTNERS LTD. |
13F
|
Company |
—
class O/S missing
|
378,450
|
$5,007,000 | — | 30 Sep 2016 | |
| West Family Investments, Inc. |
13F
|
Company |
—
class O/S missing
|
348,278
|
$4,608,000 | — | 30 Sep 2016 | |
| Janney Montgomery Scott LLC |
13F
|
Company |
—
class O/S missing
|
305,540
|
$4,042,000 | — | 30 Sep 2016 | |
| Freestone Capital Holdings, LLC |
13F
|
Company |
—
class O/S missing
|
298,234
|
$3,946,000 | — | 30 Sep 2016 | |
| Pacific Ridge Capital Partners, LLC |
13F
|
Company |
—
class O/S missing
|
202,118
|
$2,674,000 | — | 30 Sep 2016 | |
| BRC Group Holdings, Inc. |
13F
|
Company |
—
class O/S missing
|
179,320
|
$2,372,000 | — | 30 Sep 2016 | |
| Relative Value Partners Group, LLC |
13F
|
Company |
—
class O/S missing
|
172,356
|
$2,280,000 | — | 30 Sep 2016 | |
| CUE ADVISORY SERVICES, INC. |
13F
|
Company |
—
class O/S missing
|
157,192
|
$2,080,000 | — | 30 Sep 2016 | |
| CONFLUENCE INVESTMENT MANAGEMENT LLC |
13F
|
Company |
—
class O/S missing
|
154,266
|
$2,041,000 | — | 30 Sep 2016 | |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE |
13F
|
Company |
—
class O/S missing
|
137,496
|
$1,819,000 | — | 30 Sep 2016 | |
| VAN ECK ASSOCIATES CORP |
13F
|
Company |
—
class O/S missing
|
130,277
|
$1,724,000 | — | 30 Sep 2016 | |
| BlackRock Group LTD |
13F
|
Company |
—
class O/S missing
|
126,934
|
$1,679,000 | — | 30 Sep 2016 | |
| Nuveen Fund Advisors, LLC |
13F
|
Company |
—
class O/S missing
|
118,912
|
$1,573,000 | — | 30 Sep 2016 | |
| MCKINLEY CAPITAL MANAGEMENT LLC |
13F
|
Company |
—
class O/S missing
|
115,648
|
$1,530,000 | — | 30 Sep 2016 | |
| HighTower Advisors, LLC |
13F
|
Company |
—
class O/S missing
|
99,914
|
$1,322,000 | — | 30 Sep 2016 | |
| CSS LLC/IL |
13F
|
Company |
—
class O/S missing
|
95,954
|
$1,269,000 | — | 30 Sep 2016 | |
| Greenwich Investment Management, Inc. |
13F
|
Company |
—
class O/S missing
|
78,980
|
$1,044,000 | — | 30 Sep 2016 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
—
class O/S missing
|
76,632
|
$1,014,000 | — | 30 Sep 2016 | |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC |
13F
|
Company |
—
class O/S missing
|
70,428
|
$932,000 | — | 30 Sep 2016 | |
| LPL Financial LLC |
13F
|
Company |
—
class O/S missing
|
67,392
|
$910,000 | — | 30 Sep 2016 | |
| Texas Yale Capital Corp. |
13F
|
Company |
—
class O/S missing
|
65,794
|
$870,000 | — | 30 Sep 2016 | |
| TWO SIGMA ADVISERS, LP |
13F
|
Company |
—
class O/S missing
|
62,823
|
$831,000 | — | 30 Sep 2016 | |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP |
13F
|
Company |
—
class O/S missing
|
61,538
|
$814,000 | — | 30 Sep 2016 | |
| D. E. Shaw & Co., Inc. |
13F
|
Company |
—
class O/S missing
|
61,056
|
$808,000 | — | 30 Sep 2016 | |
| Yakira Capital Management, Inc. |
13F
|
Company |
—
class O/S missing
|
56,738
|
$751,000 | — | 30 Sep 2016 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
—
class O/S missing
|
55,242
|
$731,000 | — | 30 Sep 2016 | |
| Boyle Capital Management, L.L.C. |
13F
|
Company |
—
class O/S missing
|
54,542
|
$722,000 | — | 30 Sep 2016 | |
| TWO SIGMA INVESTMENTS, LP |
13F
|
Company |
—
class O/S missing
|
51,148
|
$677,000 | — | 30 Sep 2016 | |
| OPTIMUM INVESTMENT ADVISORS |
13F
|
Company |
—
class O/S missing
|
47,968
|
$635,000 | — | 30 Sep 2016 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
—
class O/S missing
|
32,833
|
$434,000 | — | 30 Sep 2016 | |
| MILLENNIUM MANAGEMENT LLC |
13F
|
Company |
—
class O/S missing
|
31,500
|
$417,000 | — | 30 Sep 2016 | |
| KAYNE ANDERSON CAPITAL ADVISORS LP |
13F
|
Company |
—
class O/S missing
|
31,500
|
$416,000 | — | 30 Sep 2016 | |
| CORRADO ADVISORS, LLC |
13F
|
Company |
—
class O/S missing
|
31,105
|
$412,000 | — | 30 Sep 2016 | |
| AllSquare Wealth Management LLC |
13F
|
Company |
—
class O/S missing
|
26,800
|
$355,000 | — | 30 Sep 2016 | |
| BBR PARTNERS, LLC |
13F
|
Company |
—
class O/S missing
|
26,200
|
$347,000 | — | 30 Sep 2016 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
—
class O/S missing
|
25,631
|
$339,000 | — | 30 Sep 2016 | |
| STIFEL FINANCIAL CORP |
13F
|
Company |
—
class O/S missing
|
24,339
|
$320,000 | — | 30 Sep 2016 | |
| First Allied Advisory Services, Inc. |
13F
|
Company |
—
class O/S missing
|
16,981
|
$225,000 | — | 30 Sep 2016 | |
| SILVER CAPITAL MANAGEMENT LLC |
13F
|
Company |
—
class O/S missing
|
16,677
|
$221,000 | — | 30 Sep 2016 | |
| Sheaff Brock Investment Advisors, LLC |
13F
|
Company |
—
class O/S missing
|
14,833
|
$196,000 | — | 30 Sep 2016 | |
| CITIGROUP INC |
13F
|
Company |
—
class O/S missing
|
14,040
|
$186,000 | — | 30 Sep 2016 | |
| WEDBUSH SECURITIES INC |
13F
|
Company |
—
class O/S missing
|
13,231
|
$175,000 | — | 30 Sep 2016 | |
| GOLDMAN SACHS GROUP INC |
13F
|
Company |
—
class O/S missing
|
12,642
|
$167,000 | — | 30 Sep 2016 |
Institutional Holders of PennantPark Floating Rate Capital Ltd. - COM (PFLT) as of Q4 2016
As of 31 Dec 2016,
PennantPark Floating Rate Capital Ltd. - COM (PFLT) was held by
66 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
9,333,163 shares.
The largest 10 holders included
Ironsides Partners LLC, PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC., Muzinich & Co., Inc., Advisors Asset Management, Inc., UBS Group AG, Polar Capital LLP, LGT CAPITAL PARTNERS LTD., ARES MANAGEMENT LLC, West Family Investments, Inc., and MORGAN STANLEY.
This page lists
66
institutional shareholders reporting positions in this security
for the Q4 2016 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2016 vs Q3 2016 Across Filers
Q3 2016 holders
69
Q4 2016 holders
66
Holder diff
-3
| Investor | Q3 2016 Shares | Q4 2016 Shares | Share Diff | Share Chg % | Q3 2016 Value $ | Q4 2016 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.