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PennantPark Floating Rate Capital
PFLT

Overview Fund Activity

57 hedge funds and large institutions have $55.1M invested in PennantPark Floating Rate Capital in 2013 Q4 according to their latest regulatory filings, with 6 funds opening new positions, 20 increasing their positions, 17 reducing their positions, and 9 closing their positions.

Holders
57
Holders Change
-4
Holders Change %
-6.56%
% of All Funds
1.66%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
6
Increased
20
Reduced
17
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
U
1
UBS
Switzerland
$880K
2
Northern Trust
2
Northern Trust
Illinois
$2.35M
3
WFI
3
West Family Investments
California
$1.28M
4
AR
4
Advisory Research
Illinois
$312K
5
SMDAM
5
Sumitomo Mitsui DS Asset Management
Japan
$311K

Top Sellers

1
BI
1
Bulldog Investors
New Jersey
$0
2
DCM
2
Dialectic Capital Management
Connecticut
$687K
3
BIG
3
Blackthorn Investment Group
Kansas
$0
4
LTFS
4
Ladenburg Thalmann Financial Services
Florida
$582K
5
JPMorgan Chase & Co
5
JPMorgan Chase & Co
New York
$612K
Name Market Value Shares Shares
Change 		Shares
Change %
Morgan Stanley
1
Morgan Stanley
New York
$8.74M 636,904 +14,173 +2%
BFA
2
BlackRock Fund Advisors
California
$5.64M 410,860 -16,205 -4%
Millennium Management
3
Millennium Management
New York
$4.94M 359,495 -6,827 -2%
CIM
4
Confluence Investment Management
Missouri
$4.13M 300,733 – –
YMRC
5
Yorktown Management & Research Company
Virginia
$3.52M 256,058 +6,058 +2%
Janney Montgomery Scott
6
Janney Montgomery Scott
Pennsylvania
$3.12M 227,442 -15,848 -7%
Northern Trust
7
Northern Trust
Illinois
$2.35M 171,180 +37,807 +28%
State Street
8
State Street
Massachusetts
$2.11M 153,966 +17,292 +13%
BIT
9
BlackRock Institutional Trust
California
$2.07M 150,682 -11,288 -7%
Vanguard Group
10
Vanguard Group
Pennsylvania
$1.46M 106,449 +1,028 +1%
UBS AM
11
UBS AM
Illinois
$1.46M 106,028 -1,185 -1%
AW
12
ACG Wealth
Georgia
$1.29M 93,901 -7,841 -8%
WFI
13
West Family Investments
California
$1.28M 93,520 +33,916 +57%
BG
14
BlackRock Group
United Kingdom
$1.13M 82,302 +2,136 +3%
U
15
UBS
Switzerland
$880K 64,064 +54,060 +540%
FNYS
16
First New York Securities
New York
$869K 63,283 -4,800 -7%
TCIM
17
TIAA CREF Investment Management
New York
$856K 62,314 – –
DCM
18
Dialectic Capital Management
Connecticut
$687K 50,000 -47,788 -49%
BIM
19
BlackRock Investment Management
Delaware
$674K 49,109 +265 +0.5%
VFS
20
VSR Financial Services
Kansas
$656K 47,810 +9,100 +24%
Bank of New York Mellon
21
Bank of New York Mellon
New York
$636K 46,377 +6,252 +16%
HighTower Advisors
22
HighTower Advisors
Illinois
$616K 44,830 +1,500 +3%
JPMorgan Chase & Co
23
JPMorgan Chase & Co
New York
$612K 44,584 -18,407 -29%
LTFS
24
Ladenburg Thalmann Financial Services
Florida
$582K 42,400 -21,547 -34%
CA
25
Corrado Advisors
New Jersey
$461K 33,567 +13,999 +72%
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