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PennantPark Floating Rate Capital
PFLT

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$8.58M -$681K -49,478 -7%
BFA
2
BlackRock Fund Advisors
California
$5.88M +$2.16M +156,783 +58%
Millennium Management
3
Millennium Management
New York
$5.05M +$2.46M +178,448 +95%
Manulife (Manufacturers Life Insurance)
4
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$4.28M +$1.21M +87,965 +40%
CIM
5
Confluence Investment Management
Missouri
$4.14M +$302K +21,962 +8%
YMRC
6
Yorktown Management & Research Company
Virginia
$3.44M +$655K +47,544 +23%
Janney Montgomery Scott
7
Janney Montgomery Scott
Pennsylvania
$3.35M +$2.69M +195,415 +408%
BIT
8
BlackRock Institutional Trust
California
$2.23M +$790K +57,372 +55%
State Street
9
State Street
Massachusetts
$1.88M +$585K +42,474 +45%
Northern Trust
10
Northern Trust
Illinois
$1.84M +$1.34M +96,994 +267%
UBS AM
11
UBS AM
Illinois
$1.48M +$36.2K +2,632 +3%
Vanguard Group
12
Vanguard Group
Pennsylvania
$1.45M +$1.1M +79,901 +313%
AW
13
ACG Wealth
Georgia
$1.4M -$88.4K -6,424 -6%
DCM
14
Dialectic Capital Management
Connecticut
$1.35M +$1.35M +97,788 New
BG
15
BlackRock Group
United Kingdom
$1.1M +$1.1M +80,166 New
FNYS
16
First New York Securities
New York
$938K +$231K +16,760 +33%
LTFS
17
Ladenburg Thalmann Financial Services
Florida
$881K +$74.4K +5,404 +9%
JP Morgan Chase
18
JP Morgan Chase
New York
$868K +$564K +40,936 +186%
TCIM
19
TIAA CREF Investment Management
New York
$859K +$202K +14,706 +31%
WFI
20
West Family Investments
California
$821K – – –
BI
21
Bulldog Investors
New Jersey
$785K +$785K +57,000 New
BIM
22
BlackRock Investment Management
Delaware
$673K +$213K +15,501 +46%
HighTower Advisors
23
HighTower Advisors
Illinois
$597K +$31.7K +2,300 +6%
Bank of New York Mellon
24
Bank of New York Mellon
New York
$553K +$145K +10,559 +36%
VFS
25
VSR Financial Services
Kansas
$533K +$262K +19,000 +96%
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