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PennantPark Floating Rate Capital
PFLT

Name Holding Trade Value Shares
Change 		Change in
Stake
Nuveen Fund Advisors
26
Nuveen Fund Advisors
Illinois
$1.75M +$105K +7,578 +7%
Manulife (Manufacturers Life Insurance)
27
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$1.72M -$19.2K -1,381 -1%
Millennium Management
28
Millennium Management
New York
$1.71M +$1.11M +80,093 +189%
JP Morgan Chase
29
JP Morgan Chase
New York
$1.48M +$841K +60,588 +132%
HighTower Advisors
30
HighTower Advisors
Illinois
$1.45M +$32.7K +2,356 +2%
CL
31
CSS LLC
Illinois
$1.34M – – –
PNC Financial Services Group
32
PNC Financial Services Group
Pennsylvania
$1.14M +$40.3K +2,900 +4%
TYCC
33
Texas Yale Capital Corp
Florida
$1.02M +$107K +7,700 +12%
LPL Financial
34
LPL Financial
California
$1.02M +$126K +9,060 +14%
Stifel Financial
35
Stifel Financial
Missouri
$910K +$508K +36,617 +128%
CSS
36
Cubist Systematic Strategies
Connecticut
$753K +$750K +54,025 New
Wells Fargo
37
Wells Fargo
California
$699K +$136K +9,821 +24%
Royal Bank of Canada
38
Royal Bank of Canada
Ontario, Canada
$689K +$180K +12,950 +35%
YCM
39
Yakira Capital Management
Connecticut
$670K +$95.6K +6,884 +17%
OIA
40
Optimum Investment Advisors
Illinois
$642K +$34.5K +2,485 +6%
MF
41
Magnetar Financial
Illinois
$641K +$638K +45,975 New
Commonwealth Equity Services
42
Commonwealth Equity Services
Massachusetts
$552K +$549K +39,567 New
Goldman Sachs
43
Goldman Sachs
New York
$550K +$408K +29,410 +292%
SCM
44
Shelton Capital Management
Colorado
$474K +$472K +34,000 New
Citadel Advisors
45
Citadel Advisors
Florida
$422K +$420K +30,278 New
AWM
46
AllSquare Wealth Management
New York
$388K +$13.9K +1,000 +4%
BP
47
BBR Partners
New York
$365K – – –
California Public Employees Retirement System
48
California Public Employees Retirement System
California
$326K -$23.6K -1,700 -7%
TC
49
TFS Capital
Pennsylvania
$325K +$324K +23,349 New
SBIA
50
Sheaff Brock Investment Advisors
Indiana
$277K +$1.99K +143 +0.7%
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