UBS’s PennantPark Floating Rate Capital PFLT Stock Holding History

UBS’s Portfolio PFLT Stock Details PFLT Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	$3.45M	Buy	250,212 +67	+0%	+$944	﹤0.01%	2385
2014 Q2	$3.58M	Buy	250,145 +243,629	+3,739%	+$3.37M	﹤0.01%	2274
2014 Q1	$90K	Sell	6,516 -57,548	-90%	-$797K	﹤0.01%	6120
2013 Q4	$880K	Buy	64,064 +54,060	+540%	+$732K	﹤0.01%	3685
2013 Q3	$138K	Buy	10,004 +884	+10%	+$12.2K	﹤0.01%	5644
2013 Q2	$129K	Buy	+9,120	New	+$130K	﹤0.01%	5582

Other funds holding PFLT

NIMC

NWQ Investment Management Company Los Angeles, California $2.22B AUM 6.84% 1-Year Est. Return

YMRC

Yorktown Management & Research Company Forest, Virginia $163M AUM 68.53% 1-Year Est. Return

Janney Montgomery Scott Philadelphia, Pennsylvania $40.4B AUM 21.2% 1-Year Est. Return

CIM

Confluence Investment Management St. Louis, Missouri $6.4B AUM 9.79% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Stifel Financial St. Louis, Missouri $109B AUM 21.36% 1-Year Est. Return

WFI

West Family Investments Carlsbad, California $285M AUM 30.42% 1-Year Est. Return

UBS AM Chicago, Illinois $481B AUM 26.39% 1-Year Est. Return

AIM

Allen Investment Management New York $8.09B AUM 16.78% 1-Year Est. Return

HighTower Advisors Chicago, Illinois $94.2B AUM 21.24% 1-Year Est. Return

UBS's PFLT Position: Q3 2014 in Review

UBS increased its PennantPark Floating Rate Capital (PFLT) stake by 0.03% in Q3 2014, buying an estimated $944 and bringing the position to 250,212 shares worth $3.45M. The position accounts for ﹤0.01% of the portfolio, ranked #2385.

UBS first reported a position in PFLT in Q2 2013 and has held it in 6 quarters since. The position peaked at $3.58M in Q2 2014. 44 funds tracked by Wall St. Rank hold PFLT as of Q3 2014.

UBS held 250,212 shares of PennantPark Floating Rate Capital worth $3.45M as of Q3 2014.
UBS bought 67 PennantPark Floating Rate Capital shares in Q3 2014, an estimated $944.
PennantPark Floating Rate Capital made up ﹤0.01% of UBS's portfolio in Q3 2014, its #2385 holding.
UBS first reported a position in PennantPark Floating Rate Capital in Q2 2013 and has held it in 6 quarters since.
UBS's PennantPark Floating Rate Capital position peaked at $3.58M in Q2 2014.
44 funds tracked by Wall St. Rank held PennantPark Floating Rate Capital as of Q3 2014.

Based on UBS's 13F filing for Q3 2014, filed 12 Nov 2014.