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PENNANTPARK FLOATING RATE CA
PENNANTPARK FLOATING RATE CA. Institutional holdings reported to the SEC.

Institutional Holders (2015Q4)
Portfolio Summary: 68 Institutional holders with a total value of $76,871,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 KRILOGY FINANCIAL LLC 96 1,000 0.00%
2 ATWOOD & PALMER INC 640 7,000 0.01%
3 KALOS MANAGEMENT, INC. 6,559 7,000 0.01% PRN
4 Focused Wealth Management, Inc 750 8,000 0.01%
5 SPHINX TRADING, LP 1,700 19,000 0.02%
6 BANK OF AMERICA CORP /DE/ 1,704 19,000 0.02%
7 Edge Wealth Management LLC 2,000 23,000 0.03% SH
8 MSI Financial Services Inc 2,000 23,000 0.03%
9 WESTPORT RESOURCES MANAGEMENT INC 2,105 24,000 0.03%
10 AUSDAL FINANCIAL PARTNERS, INC. 2,560 29,000 0.04%
11 PineBridge Investments, L.P. 3,139 35,000 0.05%
12 Tower Research Capital LLC (TRC) 4,217 47,000 0.06%
13 PRELUDE CAPITAL MANAGEMENT, LLC 5,000 56,000 0.07%
14 ENVESTNET ASSET MANAGEMENT INC 6,067 68,000 0.09%
15 JBF Capital, Inc. 6,245 70,000 0.09%
16 Creative Planning 7,520 85,000 0.11%
17 AMERICAN INTERNATIONAL GROUP, INC. 9,452 106,000 0.14%
18 ROYAL BANK OF CANADA 10,517 118,000 0.15%
19 CIBC WORLD MARKET INC. 13,488 152,000 0.20%
20 SHEAFF BROCK INVESTMENT ADVISORS, LLC 15,416 173,000 0.23%
21 SUSQUEHANNA INTERNATIONAL GROUP, LLP 15,600 176,000 0.23%
22 SILVER CAPITAL MANAGEMENT LLC 16,677 188,000 0.24%
23 DEUTSCHE BANK AG\ 16,990 191,000 0.25%
24 TFS CAPITAL LLC 17,086 192,000 0.25%
25 CITIGROUP INC 17,462 196,000 0.25%
26 JPMORGAN CHASE & CO 18,583 209,000 0.27%
27 WELLS FARGO & COMPANY/MN 21,528 242,000 0.31%
28 BBR PARTNERS, LLC 26,200 295,000 0.38%
29 D. E. Shaw & Co., Inc. 29,101 327,000 0.43%
30 VSR Financial Services, Inc. 31,600 356,000 0.46%
31 AllSquare Wealth Management LLC 36,800 414,000 0.54%
32 Greenwich Investment Management, Inc. 37,503 421,000 0.55%
33 STIFEL FINANCIAL CORP 38,456 433,000 0.56%
34 CORRADO ADVISORS, LLC 43,247 487,000 0.63%
35 OPTIMUM INVESTMENT ADVISORS 47,179 531,000 0.69%
36 Yorktown Management & Research Co Inc 58,000 653,000 0.85%
37 Texas Yale Capital Corp. 65,794 740,000 0.96%
38 MCKINLEY CAPITAL MANAGEMENT LLC 71,654 806,000 1.05%
39 PNC FINANCIAL SERVICES GROUP, INC. 76,632 862,000 1.12%
40 KAYNE ANDERSON CAPITAL ADVISORS LP 79,000 888,000 1.16%
41 CONFLUENCE INVESTMENT MANAGEMENT LLC 83,507 939,000 1.22%
42 LPL Financial LLC 81,692 943,000 1.23%
43 MILLENNIUM MANAGEMENT LLC 87,565 985,000 1.28%
44 TWO SIGMA ADVISERS, LP 90,297 1,016,000 1.32%
45 HighTower Advisors, LLC 93,595 1,052,000 1.37%
46 LADENBURG THALMANN FINANCIAL SERVICES INC. 95,510 1,075,000 1.40%
47 TWO SIGMA INVESTMENTS, LP 100,941 1,136,000 1.48%
48 CSS LLC/IL 102,454 1,153,000 1.50%
49 Taylor Frigon Capital Management LLC 106,884 1,198,000 1.56%
50 VAN ECK ASSOCIATES CORP 109,627 1,233,000 1.60%
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From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.