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

Institutional Holders (2016Q1)
Portfolio Summary: 73 Institutional holders with a total value of $81,959,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 KRILOGY FINANCIAL LLC 96 1,000 0.00%
2 Donald L. Hagan, LLC 128 1,000 0.00%
3 PENSERRA CAPITAL MANAGEMENT LLC 281 3,000 0.00%
4 Plante Moran Financial Advisors, LLC 243 3,000 0.00%
5 WESTPORT RESOURCES MANAGEMENT INC 500 6,000 0.01%
6 ATWOOD & PALMER INC 640 7,000 0.01%
7 Focused Wealth Management, Inc 750 9,000 0.01%
8 DEUTSCHE BANK AG\ 1,409 16,000 0.02%
9 SPHINX TRADING, LP 1,700 20,000 0.02%
10 Edge Wealth Management LLC 2,000 23,000 0.03%
11 MSI Financial Services Inc 2,000 23,000 0.03%
12 PineBridge Investments, L.P. 3,217 38,000 0.05%
13 ENVESTNET ASSET MANAGEMENT INC 5,586 65,000 0.08%
14 Creative Planning 5,939 69,000 0.08%
15 JBF Capital, Inc. 6,245 73,000 0.09%
16 GENEOS WEALTH MANAGEMENT INC. 6,200 73,000 0.09%
17 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 6,601 77,000 0.09%
18 AMERICAN INTERNATIONAL GROUP, INC. 8,742 103,000 0.13%
19 ROYAL BANK OF CANADA 10,561 123,000 0.15%
20 GOLDMAN SACHS GROUP INC 11,241 132,000 0.16%
21 BANK OF AMERICA CORP /DE/ 11,969 140,000 0.17%
22 CIBC WORLD MARKET INC. 12,270 144,000 0.18%
23 CITIGROUP INC 15,923 185,000 0.23%
24 SHEAFF BROCK INVESTMENT ADVISORS, LLC 15,859 186,000 0.23%
25 SILVER CAPITAL MANAGEMENT LLC 16,677 195,000 0.24%
26 Raymond James Financial Services Advisors, Inc. 18,404 215,000 0.26%
27 First Allied Advisory Services, Inc. 21,693 256,000 0.31%
28 WELLS FARGO & COMPANY/MN 23,017 269,000 0.33%
29 BBR PARTNERS, LLC 26,200 307,000 0.37%
30 JPMORGAN CHASE & CO 28,532 334,000 0.41%
31 AllSquare Wealth Management LLC 30,300 355,000 0.43%
32 VSR Financial Services, Inc. 31,600 370,000 0.45%
33 TWO SIGMA INVESTMENTS, LP 33,875 396,000 0.48%
34 Greenwich Investment Management, Inc. 35,328 413,000 0.50%
35 STIFEL FINANCIAL CORP 35,429 415,000 0.51%
36 CORRADO ADVISORS, LLC 37,480 439,000 0.54%
37 Caprock Group, LLC 38,470 450,000 0.55%
38 OPTIMUM INVESTMENT ADVISORS 45,323 530,000 0.65%
39 MILLENNIUM MANAGEMENT LLC 50,200 587,000 0.72%
40 LADENBURG THALMANN FINANCIAL SERVICES INC. 54,356 635,000 0.77%
41 Yorktown Management & Research Co Inc 58,000 679,000 0.83%
42 SUSQUEHANNA INTERNATIONAL GROUP, LLP 61,538 720,000 0.88%
43 TWO SIGMA ADVISERS, LP 64,137 750,000 0.92%
44 Texas Yale Capital Corp. 65,794 770,000 0.94%
45 Freestone Capital Holdings, LLC 70,599 826,000 1.01%
46 D. E. Shaw & Co., Inc. 71,136 832,000 1.02%
47 PNC FINANCIAL SERVICES GROUP, INC. 76,632 896,000 1.09%
48 MCKINLEY CAPITAL MANAGEMENT LLC 89,593 1,048,000 1.28%
49 LPL Financial LLC 92,347 1,092,000 1.33%
50 HighTower Advisors, LLC 95,772 1,121,000 1.37%
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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.