Pioneer Floating Rate Fund, Inc. - Common Stock (PHD)
CUSIP: 72369J102
Q3 2017 13F Holders as of 30 Sep 2017
- Type / Class
- Equity / Common Stock
- Shares outstanding
- 12,280,456
- Total 13F shares
- 7,742,098
- Share change
- -307,162
- Total reported value
- $92,600,758
- Price per share
- $11.96
- Number of holders
- 53
- Value change
- -$3,670,736
- Number of buys
- 17
- Number of sells
- 28
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 |
|---|---|---|---|---|---|---|---|---|
| Invesco Ltd. |
13F
|
Company |
12%
|
1,502,985
|
$17,885,000 | — | 30 Jun 2017 | |
| BAILLIE GIFFORD & CO |
13F
|
Company |
10%
|
1,236,803
|
$14,718,000 | — | 30 Jun 2017 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
6.8%
|
830,041
|
$9,878,000 | — | 30 Jun 2017 | |
| BESSEMER GROUP INC |
13F
|
Company |
4.8%
|
588,946
|
$7,008,000 | — | 30 Jun 2017 | |
| Relative Value Partners Group, LLC |
13F
|
Company |
4.6%
|
562,914
|
$6,699,000 | — | 30 Jun 2017 | |
| Camarda Financial Advisors, LLC |
13F
|
Company |
4.3%
|
523,151
|
$6,225,000 | — | 30 Jun 2017 | |
| COHEN & STEERS, INC. |
13F
|
Company |
2.6%
|
317,486
|
$3,778,000 | — | 30 Jun 2017 | |
| MORGAN STANLEY |
13F
|
Company |
2.2%
|
268,689
|
$3,198,000 | — | 30 Jun 2017 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
2.1%
|
260,271
|
$3,097,000 | — | 30 Jun 2017 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
1.7%
|
208,162
|
$2,477,000 | — | 30 Jun 2017 | |
| Advisors Asset Management, Inc. |
13F
|
Company |
1.6%
|
201,378
|
$2,396,000 | — | 30 Jun 2017 | |
| COMERICA SECURITIES INC |
13F
|
Company |
1.3%
|
157,241
|
$1,871,000 | — | 30 Jun 2017 | |
| FLAGSHIP HARBOR ADVISORS, LLC |
13F
|
Company |
1.1%
|
136,679
|
$1,638,000 | — | 30 Jun 2017 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.92%
|
112,645
|
$1,340,000 | — | 30 Jun 2017 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
0.81%
|
99,263
|
$1,180,000 | — | 30 Jun 2017 | |
| UBS Group AG |
13F
|
Company |
0.69%
|
84,592
|
$1,007,000 | — | 30 Jun 2017 | |
| BEACON FINANCIAL GROUP |
13F
|
Company |
0.69%
|
85,035
|
$995,000 | — | 30 Jun 2017 | |
| Capital Investment Advisors, LLC |
13F
|
Company |
0.66%
|
81,595
|
$971,000 | — | 30 Jun 2017 | |
| AMERIPRISE FINANCIAL INC |
13F
|
Company |
0.66%
|
81,381
|
$967,000 | — | 30 Jun 2017 | |
| Nuveen Asset Management, LLC |
13F
|
Company |
0.64%
|
78,036
|
$929,000 | — | 30 Jun 2017 | |
| FORT WASHINGTON INVESTMENT ADVISORS INC /OH/ |
13F
|
Company |
0.6%
|
73,335
|
$873,000 | — | 30 Jun 2017 | |
| Raymond James Financial Services Advisors, Inc. |
13F
|
Company |
0.51%
|
62,471
|
$743,000 | — | 30 Jun 2017 | |
| Westbourne Investment Advisors, Inc. |
13F
|
Company |
0.48%
|
58,896
|
$701,000 | — | 30 Jun 2017 | |
| ZAZOVE ASSOCIATES LLC |
13F
|
Company |
0.39%
|
47,798
|
$569,000 | — | 30 Jun 2017 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.39%
|
47,630
|
$567,000 | — | 30 Jun 2017 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.33%
|
40,846
|
$486,000 | — | 30 Jun 2017 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
0.28%
|
34,934
|
$417,000 | — | 30 Jun 2017 | |
| NATIONAL PLANNING CORP |
13F
|
Company |
0.27%
|
32,880
|
$391,000 | — | 30 Jun 2017 | |
| West Oak Capital, LLC |
13F
|
Company |
0.24%
|
29,600
|
$352,240 | — | 30 Jun 2017 | |
| Horizon Kinetics LLC |
13F
|
Company |
0.21%
|
26,038
|
$310,000 | — | 30 Jun 2017 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.2%
|
25,085
|
$298,000 | — | 30 Jun 2017 | |
| WEDBUSH SECURITIES INC |
13F
|
Company |
0.19%
|
22,986
|
$274,000 | — | 30 Jun 2017 | |
| NWAM LLC |
13F
|
Company |
0.16%
|
19,401
|
$231,000 | — | 30 Jun 2017 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.13%
|
15,816
|
$188,000 | — | 30 Jun 2017 | |
| ROBINSON CAPITAL MANAGEMENT, LLC |
13F
|
Company |
0.11%
|
14,000
|
$167,000 | — | 30 Jun 2017 | |
| Corient Capital Partners, LLC |
13F
|
Company |
0.1%
|
12,217
|
$145,000 | — | 30 Jun 2017 | |
| Greenwich Wealth Management LLC |
13F
|
Company |
0.1%
|
11,956
|
$142,000 | — | 30 Jun 2017 | |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO |
13F
|
Company |
0.07%
|
8,900
|
$106,000 | — | 30 Jun 2017 | |
| Advisor Group, Inc. |
13F
|
Company |
0.07%
|
8,324
|
$99,000 | — | 30 Jun 2017 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.07%
|
8,110
|
$97,000 | — | 30 Jun 2017 | |
| U S GLOBAL INVESTORS INC |
13F
|
Company |
0.07%
|
8,083
|
$97,000 | — | 30 Jun 2017 | |
| Geneos Wealth Management Inc. |
13F
|
Company |
0.04%
|
4,955
|
$58,000 | — | 30 Jun 2017 | |
| IFP Advisors, Inc |
13F
|
Company |
0.03%
|
3,214
|
$38,000 | — | 30 Jun 2017 | |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE |
13F
|
Company |
0.02%
|
3,019
|
$36,000 | — | 30 Jun 2017 | |
| Gradient Investments LLC |
13F
|
Company |
0.02%
|
2,649
|
$32,000 | — | 30 Jun 2017 | |
| BANK OF MONTREAL /CAN/ |
13F
|
Company |
0.02%
|
2,000
|
$24,000 | — | 30 Jun 2017 | |
| V Wealth Advisors LLC |
13F
|
Company |
0.01%
|
1,662
|
$20,000 | — | 30 Jun 2017 | |
| Watermark Asset Management, Inc. |
13F
|
Company |
0.01%
|
1,390
|
$17,000 | — | 30 Jun 2017 | |
| FIFTH THIRD BANCORP |
13F
|
Company |
0.01%
|
969
|
$12,000 | — | 30 Jun 2017 | |
| Westside Investment Management, Inc. |
13F
|
Company |
0.01%
|
1,000
|
$11,930 | — | 30 Jun 2017 |
Institutional Holders of Pioneer Floating Rate Fund, Inc. - Common Stock (PHD) as of Q3 2017
As of 30 Sep 2017,
Pioneer Floating Rate Fund, Inc. - Common Stock (PHD) was held by
53 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
7,742,098 shares.
The largest 10 holders included
Invesco Ltd., BAILLIE GIFFORD & CO, GUGGENHEIM CAPITAL LLC, Relative Value Partners Group, LLC, Camarda Financial Advisors, LLC, BESSEMER GROUP INC, MORGAN STANLEY, COHEN & STEERS INC, BANK OF AMERICA CORP /DE/, and CITY OF LONDON INVESTMENT MANAGEMENT CO LTD.
This page lists
53
institutional shareholders reporting positions in this security
for the Q3 2017 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2017 vs Q2 2017 Across Filers
Q2 2017 holders
54
Q3 2017 holders
53
Holder diff
-1
| Investor | Q2 2017 Shares | Q3 2017 Shares | Share Diff | Share Chg % | Q2 2017 Value $ | Q3 2017 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.