| Due Diligence for Asset Managers |
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| PennantPark Floating Rate Capital Ltd | |
|---|---|
| Ticker | PFLT |
| CIK # | 0001504619 |
| CUSIP | 70806A106 |
| Sector | - |
| Address | 590 Madison Avenue 15th Floor, New York, NY 10022 |
| Source | [EDGAR] |
| CIK | Filing | 2011 - 2026 |
|---|---|---|
| [0001504619] | 10-K | |
| [0001504619] | 10-Q | |
| [0001504619] | 3 | |
| [0001504619] | 4 | |
| [0001504619] | 8-K | |
| [0001504619] | SC 13G |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed | % Owned |
|---|---|---|---|
| [2012-05-29] | None |
| Form 3/4/5 Filer | 2011 - 2026 |
|---|---|
| PennantPark Floating Rate Capital Ltd | |
| Briones Jose A | |
| Allorto Richard T JR | |
| Flug Jeffrey | |
| Cheung Richard | |
| Katz Samuel L | |
| Bernstein Adam K | |
| Efrat Aviv | |
| Penn Arthur H |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Allorto Richard T JR
Common Stock
|
2026-03-11 | Buy | 15,000 | $8.15 | 122,250 |
|
Briones Jose A
Common Stock
|
2026-02-19 | Buy | 5,895 | $8.48 | 49,990 |
|
Briones Jose A
Common Stock
|
2025-12-01 | Buy | 5,500 | $9.10 | 50,050 |
|
Briones Jose A
Common Stock
|
2025-05-21 | Buy | 1,480 | $10.13 | 14,992 |
|
Briones Jose A
Common Stock
|
2025-05-14 | Buy | 9,840 | $10.16 | 99,974 |
|
Briones Jose A
Common Stock
|
2024-06-05 | Buy | 1,745 | $11.40 | 19,893 |
|
Allorto Richard T JR
Common Stock
|
2024-05-30 | Buy | 10,000 | $11.30 | 113,000 |
|
Briones Jose A
Common Stock
|
2024-05-28 | Buy | 885 | $11.33 | 10,027 |
|
Briones Jose A
Common Stock
|
2024-05-13 | Buy | 1,740 | $11.48 | 19,975 |
|
Flug Jeffrey
Common Stock
|
2022-02-17 | Other | 4,000 | $0.00 | |
|
Katz Samuel L
Common Stock
|
2020-12-18 | Sell | 8,618 | $10.41 | 89,713 |
|
Katz Samuel L
Common Stock
|
2020-12-17 | Sell | 8,929 | $10.54 | 94,112 |
|
Katz Samuel L
Common Stock
|
2020-12-16 | Sell | 7,453 | $10.65 | 79,374 |
|
Katz Samuel L
Common Stock
|
2020-12-15 | Sell | 17,700 | $10.87 | 192,399 |
|
Katz Samuel L
Common Stock
|
2020-12-14 | Sell | 10,737 | $10.85 | 116,496 |
|
Katz Samuel L
Common Stock
|
2020-12-11 | Sell | 6,563 | $10.84 | 71,143 |
|
Katz Samuel L
Common Stock
|
2020-12-03 | Other | 120,300 | $10.91 | 1,312,473 |
|
Katz Samuel L
Common Stock
|
2020-12-03 | Other | 120,300 | $10.91 | 1,312,473 |
|
Katz Samuel L
Common Stock
|
2020-06-10 | Buy | 15,000 | $8.83 | 132,450 |
|
Bernstein Adam K
Common Stock
|
2020-03-31 | Buy | 4,000 | $4.94 | 19,760 |
| showing 20 of 93 most recent transactions | |||||
| 13F Ownership Over Time | Holders | Shares Held |
|---|---|---|
| 2026-03-31 | 137 | 19,202,161 |
| 2025-12-31 | 138 | 20,391,640 |
| 2025-09-30 | 136 | 19,404,570 |
| 2025-06-30 | 127 | 18,992,626 |
| 2025-03-31 | 133 | 23,657,369 |
| 2024-12-31 | 128 | 16,452,791 |
| 2024-09-30 | 104 | 14,548,159 |
| 2024-06-30 | 111 | 14,242,506 |
| 2024-03-31 | 107 | 13,663,170 |
| 2023-12-31 | 101 | 11,597,283 |
| 2023-09-30 | 112 | 12,304,178 |
| 2023-06-30 | 114 | 15,612,128 |
| Form 13F Holdings | ||||
|---|---|---|---|---|
| Firm | Period | DFND | Voting | Shares |
| Sound Income Strategies LLC | [2026-06-30] | SOLE | 5,222,616 | 5,222,616 |
| First Citizens Bank & Trust Co | [2026-06-30] | SOLE | 27,000 | 27,000 |
| Avior Wealth Management LLC | [2026-06-30] | SOLE | 0 | 14,039 |
| BCO Wealth Management LLC | [2026-06-30] | SOLE | 0 | 12,019 |
| Allied Private Wealth LLC | [2026-06-30] | SOLE | 7,153 | 7,153 |
| Farther Finance Advisors LLC | [2026-06-30] | SOLE | 0 | 6,309 |
| Alaska Retirement Management Board | [2026-06-30] | SOLE | 4,625 | 4,625 |
| Highline Wealth Partners LLC | [2026-06-30] | SOLE | 3,175 | 3,175 |
| FNY Investment Advisers LLC | [2026-06-30] | SOLE | 1,200 | 1,200 |
| Vermillion Wealth Management Inc | [2026-06-30] | SOLE | 0 | 500 |
| Aventura Private Wealth LLC | [2026-06-30] | SOLE | 449 | 449 |
| Wolff Wiese Magana LLC | [2026-06-30] | SOLE | 200 | 200 |
| Hilltop National Bank | [2026-06-30] | DFND | 0 | 191 | Prev | Page 1 | Next |