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PennantPark Floating Rate Capital
PFLT

80 hedge funds and large institutions have $120M invested in PennantPark Floating Rate Capital in 2021 Q3 according to their latest regulatory filings, with 14 funds opening new positions, 25 increasing their positions, 23 reducing their positions, and 12 closing their positions.

New
Increased
Maintained
Reduced
Closed

36% more call options, than puts

Call options by funds: $1.07M | Put options by funds: $792K

17% more first-time investments, than exits

New positions opened: 14 | Existing positions closed: 12

3% more funds holding

Funds holding: 78 → 80 (+2)

9% more repeat investments, than reductions

Existing positions increased: 25 | Existing positions reduced: 23

1.63% less ownership

Funds ownership: 25.58% → 23.95% (-1.6%)

5% less capital invested

Capital invested by funds: $126M → $120M (-$6.92M)

50% less funds holding in top 10

Funds holding in top 10: 2 → 1 (-1)

Holders
80
Holders Change
+2
Holders Change %
+2.56%
% of All Funds
1.4%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.02%
New
14
Increased
25
Reduced
23
Closed
12
Calls
$1.07M
Puts
$792K
Net Calls
+$283K
Net Calls Change
-$736K

Top Buyers

Rank Fund Capital Flow
1
HWAM
Hennion & Walsh Asset Management
New Jersey
+$768K
2
AAM
Advisors Asset Management
Colorado
+$708K
3
BlackRock
BlackRock
New York
+$495K
4
TI
Tidal Investments
Wisconsin
+$356K
5
Mackenzie Financial
Mackenzie Financial
Ontario, Canada
+$176K

Top Sellers

Rank Fund Capital Flow
1
POIA
Pin Oak Investment Advisors
Texas
-$4.35M
2
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
-$3.12M
3
Two Sigma Investments
Two Sigma Investments
New York
-$537K
4
TC
TownSquare Capital
Utah
-$450K
5
D.E. Shaw & Co
D.E. Shaw & Co
New York
-$444K
Name Holding Trade Value Shares
Change 		Change in
Stake
Citadel Advisors
51
Citadel Advisors
Florida
$160K +$162K +12,516 New
Comerica Bank
52
Comerica Bank
Texas
$155K – – –
CANY
53
Caxton Associates (New York)
New York
$143K +$145K +11,196 New
LWA
54
Lineweaver Wealth Advisors
Ohio
$128K +$131K +10,072 New
NFG
55
Next Financial Group
Texas
$91K +$220 +17 +0.2%
Rockefeller Capital Management
56
Rockefeller Capital Management
New York
$87K – – –
Acadian Asset Management
57
Acadian Asset Management
Massachusetts
$81K -$103K -7,916 -55%
Bank of America
58
Bank of America
North Carolina
$56K +$8.15K +629 +17%
Group One Trading
59
Group One Trading
Illinois
$52K +$53.1K +4,100 New
US Bancorp
60
US Bancorp
Minnesota
$51K -$194 -15 -0.4%
TCWM
61
Total Clarity Wealth Management
Illinois
$33K +$33.9K +2,615 New
FIA
62
FNY Investment Advisers
New York
$31K +$32.4K +2,500 New
SAM
63
Strategic Asset Management
Minnesota
$30K +$30.1K +2,325 New
Lazard Asset Management
64
Lazard Asset Management
New York
$23K +$23.6K +1,819 New
COCM
65
Charter Oak Capital Management
New Hampshire
$14K – – –
GWM
66
Geneos Wealth Management
Colorado
$14K +$15K +1,156 New
ST
67
Sphinx Trading
Illinois
$13K +$13K +1,000 New
MSFP
68
Mark Sheptoff Financial Planning
Connecticut
$11K – – –
AWA
69
Arkadios Wealth Advisors
Georgia
$11K +$11.3K +875 New
FWM
70
Focused Wealth Management
New York
$10K – – –
AP
71
Atwood & Palmer
Missouri
$8K – – –
APA
72
American Portfolios Advisors
New York
$7.71K – – –
TAM
73
Tucker Asset Management
Colorado
$7.19K – – –
HI
74
Hudock Inc
Pennsylvania
$7K +$3.24K +250 +71%
SWM
75
Spire Wealth Management
Virginia
$6K – – –
1 2
3
4

PFLT Hedge Fund Activity: Q3 2021 in Review

80 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in PennantPark Floating Rate Capital (PFLT) for Q3 2021, worth a combined $120M — down 5.5% from $126M a quarter earlier.

Buyers outnumbered sellers: 14 funds opened new PFLT positions and 12 closed out — a net gain of 2 holders — while 25 added to existing stakes and 23 trimmed.

The largest buyer was Hennion & Walsh Asset Management, adding an estimated $768K. The largest seller was Pin Oak Investment Advisors, cutting an estimated $4.35M.

  • 80 institutional investors held PennantPark Floating Rate Capital (PFLT) as of Q3 2021, up from 78 in Q2 2021.
  • Funds reported $120M of PennantPark Floating Rate Capital stock for Q3 2021, down 5.5% quarter-over-quarter.
  • 14 funds opened new PennantPark Floating Rate Capital positions in Q3 2021 and 12 closed out, a net change of +2 holders.
  • The largest PennantPark Floating Rate Capital buyer in Q3 2021 was Hennion & Walsh Asset Management, an estimated $768K added.
  • The largest PennantPark Floating Rate Capital seller in Q3 2021 was Pin Oak Investment Advisors, an estimated $4.35M sold.

Based on aggregated 13F filings for Q3 2021.