Pioneer Floating Rate Fund, Inc. - Common Stock (PHD)
CUSIP: 72369J102
Q3 2015 13F Holders as of 30 Sep 2015
- Type / Class
- Equity / Common Stock
- Shares outstanding
- 12,280,456
- Total 13F shares
- 8,015,706
- Share change
- +960,535
- Total reported value
- $90,718,627
- Price per share
- $11.32
- Number of holders
- 50
- Value change
- +$10,876,135
- Number of buys
- 22
- Number of sells
- 21
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 |
|---|---|---|---|---|---|---|---|---|
| BAILLIE GIFFORD & CO |
13F
|
Company |
10%
|
1,230,000
|
$13,997,000 | — | 30 Jun 2015 | |
| MORGAN STANLEY |
13F
|
Company |
6.5%
|
802,098
|
$9,127,000 | — | 30 Jun 2015 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
6.1%
|
746,744
|
$8,497,000 | — | 30 Jun 2015 | |
| BESSEMER GROUP INC |
13F
|
Company |
5.1%
|
627,840
|
$7,145,000 | — | 30 Jun 2015 | |
| MARINER INVESTMENT GROUP LLC |
13F
|
Company |
3.8%
|
468,201
|
$5,328,000 | — | 30 Jun 2015 | |
| Trust Asset Management LLC |
13F
|
Company |
2.9%
|
358,736
|
$4,082,000 | — | 30 Jun 2015 | |
| FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD |
13F
|
Company |
2.7%
|
330,004
|
$3,755,000 | — | 30 Jun 2015 | |
| Invesco Ltd. |
13F
|
Company |
2.5%
|
306,988
|
$3,494,000 | — | 30 Jun 2015 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
2.5%
|
302,871
|
$3,447,000 | — | 30 Jun 2015 | |
| RIVERNORTH CAPITAL MANAGEMENT, LLC |
13F
|
Company |
2.1%
|
262,871
|
$2,991,000 | — | 30 Jun 2015 | |
| Gradient Investments LLC |
13F
|
Company |
2%
|
246,778
|
$2,808,000 | — | 30 Jun 2015 | |
| Yorktown Management & Research Co Inc |
13F
|
Company |
1.6%
|
201,792
|
$2,297,000 | — | 30 Jun 2015 | |
| COHEN & STEERS, INC. |
13F
|
Company |
1.6%
|
197,363
|
$2,246,000 | — | 30 Jun 2015 | |
| Advisors Asset Management, Inc. |
13F
|
Company |
1.4%
|
172,032
|
$1,958,000 | — | 30 Jun 2015 | |
| Nuveen Asset Management, LLC |
13F
|
Company |
1.3%
|
162,000
|
$1,844,000 | — | 30 Jun 2015 | |
| Round Table Services, LLC |
13F
|
Company |
1.2%
|
145,154
|
$1,652,000 | — | 30 Jun 2015 | |
| DRW Securities, LLC |
13F
|
Company |
1.2%
|
144,091
|
$1,640,000 | — | 30 Jun 2015 | |
| Horizon Kinetics LLC |
13F
|
Company |
0.84%
|
103,224
|
$1,175,000 | — | 30 Jun 2015 | |
| Capital Investment Advisors, LLC |
13F
|
Company |
0.76%
|
93,621
|
$1,065,000 | — | 30 Jun 2015 | |
| AQR Arbitrage LLC |
13F
|
Company |
0.68%
|
83,616
|
$952,000 | — | 30 Jun 2015 | |
| Westbourne Investment Advisors, Inc. |
13F
|
Company |
0.56%
|
68,343
|
$778,000 | — | 30 Jun 2015 | |
| LPL Financial LLC |
13F
|
Company |
0.41%
|
50,438
|
$580,000 | — | 30 Jun 2015 | |
| NATIONAL PLANNING CORP |
13F
|
Company |
0.38%
|
46,850
|
$540,000 | — | 30 Jun 2015 | |
| CAXTON CORP |
13F
|
Company |
0.3%
|
36,637
|
$417,000 | — | 30 Jun 2015 | |
| AMERIPRISE FINANCIAL INC |
13F
|
Company |
0.29%
|
35,228
|
$401,000 | — | 30 Jun 2015 | |
| UBS Group AG |
13F
|
Company |
0.2%
|
24,742
|
$282,000 | — | 30 Jun 2015 | |
| Peachtree Investment Advisors, Inc. |
13F
|
Company |
0.17%
|
21,000
|
$239,000 | — | 30 Jun 2015 | |
| WEDBUSH SECURITIES INC |
13F
|
Company |
0.15%
|
17,978
|
$205,000 | — | 30 Jun 2015 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
0.13%
|
16,440
|
$187,000 | — | 30 Jun 2015 | |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. |
13F
|
Company |
0.11%
|
13,078
|
$149,000 | — | 30 Jun 2015 | |
| Stratos Wealth Partners, LTD. |
13F
|
Company |
0.11%
|
12,938
|
$147,000 | — | 30 Jun 2015 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.09%
|
10,699
|
$122,000 | — | 30 Jun 2015 | |
| U S GLOBAL INVESTORS INC |
13F
|
Company |
0.07%
|
8,000
|
$91,000 | — | 30 Jun 2015 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.06%
|
6,914
|
$78,000 | — | 30 Jun 2015 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
0.04%
|
4,628
|
$53,000 | — | 30 Jun 2015 | |
| BANK OF MONTREAL /CAN/ |
13F
|
Company |
0.02%
|
2,000
|
$23,000 | — | 30 Jun 2015 | |
| MSI Financial Services Inc |
13F
|
Company |
0.01%
|
1,049
|
$12,000 | — | 30 Jun 2015 | |
| COUNTRY TRUST BANK |
13F
|
Company |
0.01%
|
1,000
|
$11,000 | — | 30 Jun 2015 | |
| FIFTH THIRD BANCORP |
13F
|
Company |
0.01%
|
969
|
$11,000 | — | 30 Jun 2015 | |
| Regal Investment Advisors LLC |
13F
|
Company |
0%
|
200
|
$2,000 | — | 30 Jun 2015 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0%
|
110
|
$1,000 | — | 30 Jun 2015 | |
| US BANCORP \DE\ |
13F
|
Company |
0%
|
86
|
$1,000 | — | 30 Jun 2015 | |
| AMERICAN INTERNATIONAL GROUP, INC. |
13F
|
Company |
0%
|
65
|
$740 | — | 30 Jun 2015 |
Institutional Holders of Pioneer Floating Rate Fund, Inc. - Common Stock (PHD) as of Q3 2015
As of 30 Sep 2015,
Pioneer Floating Rate Fund, Inc. - Common Stock (PHD) was held by
50 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
8,015,706 shares.
The largest 10 holders included
BAILLIE GIFFORD & CO, Invesco Ltd., MORGAN STANLEY, GUGGENHEIM CAPITAL LLC, BESSEMER GROUP INC, Zuckerman Investment Group, LLC, MARINER INVESTMENT GROUP LLC, FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD, RIVERNORTH CAPITAL MANAGEMENT, LLC, and Advisors Asset Management, Inc..
This page lists
50
institutional shareholders reporting positions in this security
for the Q3 2015 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2015 vs Q2 2015 Across Filers
Q2 2015 holders
43
Q3 2015 holders
50
Holder diff
7
| Investor | Q2 2015 Shares | Q3 2015 Shares | Share Diff | Share Chg % | Q2 2015 Value $ | Q3 2015 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.