Pioneer Floating Rate Fund, Inc. - Common Stock (PHD)
CUSIP: 72369J102
Q3 2014 13F Holders as of 30 Sep 2014
- Type / Class
- Equity / Common Stock
- Shares outstanding
- 12,280,456
- Total 13F shares
- 6,081,743
- Share change
- +249,716
- Total reported value
- $71,579,628
- Price per share
- $11.75
- Number of holders
- 41
- Value change
- +$2,869,223
- Number of buys
- 16
- Number of sells
- 20
Quarterly Holders Quick Answers
What is CUSIP 72369J102?
CUSIP 72369J102 identifies PHD - Pioneer Floating Rate Fund, Inc. - Common Stock in SEC institutional holdings data.
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Recent filing periods for CUSIP 72369J102:
Top shareholders of PHD - Pioneer Floating Rate Fund, Inc. - Common Stock (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 |
|---|---|---|---|---|---|---|---|---|
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
11%
|
1,398,112
|
$17,436,000 | — | 30 Jun 2014 | |
| BAILLIE GIFFORD & CO |
13F
|
Company |
6.9%
|
850,000
|
$10,599,000 | — | 30 Jun 2014 | |
| Advisors Asset Management, Inc. |
13F
|
Company |
4.4%
|
539,544
|
$6,728,000 | — | 30 Jun 2014 | |
| BESSEMER GROUP INC |
13F
|
Company |
4.1%
|
502,726
|
$6,269,000 | — | 30 Jun 2014 | |
| Invesco Ltd. |
13F
|
Company |
2.9%
|
356,635
|
$4,447,000 | — | 30 Jun 2014 | |
| MORGAN STANLEY |
13F
|
Company |
2.8%
|
342,180
|
$4,267,000 | — | 30 Jun 2014 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
1.6%
|
200,397
|
$2,499,000 | — | 30 Jun 2014 | |
| Nuveen Asset Management, LLC |
13F
|
Company |
1.6%
|
199,000
|
$2,482,000 | — | 30 Jun 2014 | |
| Trust Asset Management LLC |
13F
|
Company |
1.4%
|
167,369
|
$2,087,000 | — | 30 Jun 2014 | |
| Round Table Services, LLC |
13F
|
Company |
1.3%
|
164,390
|
$2,050,000 | — | 30 Jun 2014 | |
| COHEN & STEERS, INC. |
13F
|
Company |
1%
|
127,218
|
$1,586,000 | — | 30 Jun 2014 | |
| Horizon Kinetics LLC |
13F
|
Company |
1%
|
125,754
|
$1,568,000 | — | 30 Jun 2014 | |
| LPL Financial LLC |
13F
|
Company |
0.93%
|
114,479
|
$1,428,000 | — | 30 Jun 2014 | |
| Gradient Investments LLC |
13F
|
Company |
0.85%
|
104,266
|
$1,300,000 | — | 30 Jun 2014 | |
| Capital Investment Advisors, LLC |
13F
|
Company |
0.79%
|
96,778
|
$1,207,000 | — | 30 Jun 2014 | |
| NATIONAL PLANNING CORP |
13F
|
Company |
0.68%
|
83,520
|
$1,041,000 | — | 30 Jun 2014 | |
| Kamunting Street Capital Management, L.P. |
13F
|
Company |
0.64%
|
78,184
|
$975,000 | — | 30 Jun 2014 | |
| UBS AG |
13F
|
Company |
0.55%
|
67,100
|
$837,000 | — | 30 Jun 2014 | |
| BNP PARIBAS FINANCIAL MARKETS |
13F
|
Company |
0.42%
|
51,080
|
$636,968 | — | 30 Jun 2014 | |
| AVIANCE CAPITAL MANAGEMENT, LLC |
13F
|
Company |
0.38%
|
46,715
|
$583,000 | — | 30 Jun 2014 | |
| PARAMETRIC PORTFOLIO ASSOCIATES LLC |
13F
|
Company |
0.36%
|
43,955
|
$548,000 | — | 30 Jun 2014 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.26%
|
31,716
|
$395,000 | — | 30 Jun 2014 | |
| AMERIPRISE FINANCIAL INC |
13F
|
Company |
0.23%
|
28,362
|
$354,000 | — | 30 Jun 2014 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
0.21%
|
26,341
|
$328,000 | — | 30 Jun 2014 | |
| WEDBUSH SECURITIES INC |
13F
|
Company |
0.15%
|
18,314
|
$228,000 | — | 30 Jun 2014 | |
| Commonwealth Equity Services, Inc |
13F
|
Company |
0.15%
|
17,939
|
$224,000 | — | 30 Jun 2014 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.11%
|
13,194
|
$165,000 | — | 30 Jun 2014 | |
| KMS FINANCIAL SERVICES, INC |
13F
|
Company |
0.08%
|
10,000
|
$125,000 | — | 30 Jun 2014 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.07%
|
8,021
|
$100,000 | — | 30 Jun 2014 | |
| US BANCORP \DE\ |
13F
|
Company |
0.06%
|
7,000
|
$87,000 | — | 30 Jun 2014 | |
| CITIGROUP INC |
13F
|
Company |
0.05%
|
6,306
|
$79,000 | — | 30 Jun 2014 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.05%
|
5,998
|
$75,000 | — | 30 Jun 2014 | |
| BANK OF MONTREAL /CAN/ |
13F
|
Company |
0.02%
|
2,000
|
$25,000 | — | 30 Jun 2014 | |
| MassMutual Private Wealth & Trust, FSB |
13F
|
Company |
0.02%
|
2,000
|
$24,940 | — | 30 Jun 2014 | |
| NEW ENGLAND SECURITIES CORP /MA/ |
13F
|
Company |
0.01%
|
999
|
$12,000 | — | 30 Jun 2014 | |
| FIFTH THIRD BANCORP |
13F
|
Company |
0.01%
|
969
|
$12,000 | — | 30 Jun 2014 | |
| First City Capital Management, Inc. |
13F
|
Company |
0.01%
|
751
|
$9,365 | — | 30 Jun 2014 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0%
|
400
|
$5,000 | — | 30 Jun 2014 | |
| Regal Investment Advisors LLC |
13F
|
Company |
0%
|
200
|
$2,000 | — | 30 Jun 2014 | |
| MUFG Americas Holdings Corp |
13F
|
Company |
0%
|
71
|
$1,000 | — | 30 Jun 2014 | |
| Carroll Financial Associates, Inc. |
13F
|
Company |
0%
|
43
|
$1,000 | — | 30 Jun 2014 | |
| AMERICAN INTERNATIONAL GROUP, INC. |
13F
|
Company |
0%
|
65
|
$811 | — | 30 Jun 2014 |
Institutional Holders of Pioneer Floating Rate Fund, Inc. - Common Stock (PHD) as of Q3 2014
As of 30 Sep 2014,
Pioneer Floating Rate Fund, Inc. - Common Stock (PHD) was held by
41 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
6,081,743 shares.
The largest 10 holders included
GUGGENHEIM CAPITAL LLC, BAILLIE GIFFORD & CO, BESSEMER GROUP INC, MORGAN STANLEY, Advisors Asset Management, Inc., Invesco Ltd., Sankaty Advisors, LLC, BANK OF AMERICA CORP /DE/, Round Table Services, LLC, and Nuveen Asset Management, LLC.
This page lists
41
institutional shareholders reporting positions in this security
for the Q3 2014 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2014 vs Q2 2014 Across Filers
Q2 2014 holders
41
Q3 2014 holders
41
Holder diff
0
| Investor | Q2 2014 Shares | Q3 2014 Shares | Share Diff | Share Chg % | Q2 2014 Value $ | Q3 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.