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PIONEER FLOATING RATE TR
PIONEER FLOATING RATE TR. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 55 Institutional holders with a total value of $100,240,870.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 PENSERRA CAPITAL MANAGEMENT LLC 383 4,000 0.00%
2 ENVESTNET ASSET MANAGEMENT INC 441 5,000 0.00%
3 Creative Planning 656 8,000 0.01%
4 Chicago Partners Investment Group LLC 822 10,000 0.01%
5 West Oak Capital, LLC 1,000 11,870 0.01%
6 MSI Financial Services Inc 1,074 13,000 0.01%
7 BANK OF MONTREAL /CAN/ 2,000 24,000 0.02%
8 GENEOS WEALTH MANAGEMENT INC. 4,955 58,000 0.06%
9 IFP ADVISORS, INC 5,254 62,000 0.06%
10 FIFTH THIRD BANCORP 5,869 70,000 0.07%
11 ADVISOR GROUP, INC. 7,210 86,000 0.09%
12 PNC FINANCIAL SERVICES GROUP, INC. 8,110 95,000 0.09%
13 U S GLOBAL INVESTORS INC 8,000 95,000 0.09%
14 CORIENT CAPITAL PARTNERS, LLC 10,585 126,000 0.13%
15 Stratos Wealth Partners, LTD. 11,100 132,000 0.13%
16 Shaker Financial Services, LLC 12,000 142,000 0.14%
17 Greenwich Wealth Management LLC 12,436 148,000 0.15%
18 RAYMOND JAMES & ASSOCIATES 13,093 155,000 0.15%
19 UBS Group AG 14,233 169,000 0.17%
20 WEDBUSH SECURITIES INC 15,178 180,000 0.18%
21 Virtu KCG Holdings LLC 16,188 192,000 0.19%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 19,796 235,000 0.23%
23 Horizon Kinetics LLC 26,588 316,000 0.32%
24 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 27,017 321,000 0.32%
25 Raymond James Financial Services Advisors, Inc. 35,198 418,000 0.42%
26 NATIONAL PLANNING CORP 35,180 430,000 0.43%
27 AMERIPRISE FINANCIAL INC 39,219 466,000 0.46%
28 ZAZOVE ASSOCIATES LLC 47,798 567,000 0.57%
29 CREDIT SUISSE AG/ 49,503 587,000 0.59%
30 ROYAL BANK OF CANADA 60,600 719,000 0.72%
31 FORT WASHINGTON INVESTMENT ADVISORS INC /OH/ 72,835 865,000 0.86%
32 LPL Financial LLC 76,447 914,000 0.91%
33 MARINER INVESTMENT GROUP LLC 92,795 1,101,000 1.10%
34 Capital Investment Advisors, LLC 113,308 1,345,000 1.34%
35 COMERICA SECURITIES INC 116,081 1,378,000 1.37%
36 FLAGSHIP HARBOR ADVISORS, LLC 114,556 1,379,000 1.38%
37 Nuveen Asset Management, LLC 122,036 1,449,000 1.45%
38 Round Table Services, LLC 128,000 1,519,000 1.52%
39 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 138,507 1,644,000 1.64%
40 RIVERNORTH CAPITAL MANAGEMENT, LLC 144,118 1,711,000 1.71%
41 Bain Capital Credit, LP 190,174 2,257,000 2.25%
42 Yorktown Management & Research Co Inc 222,451 2,640,000 2.63%
43 BANK OF AMERICA CORP /DE/ 233,471 2,771,000 2.76%
44 COHEN & STEERS, INC. 317,486 3,769,000 3.76%
45 WELLS FARGO & COMPANY/MN 319,310 3,790,000 3.78%
46 Zuckerman Investment Group, LLC 341,225 4,050,000 4.04%
47 MORGAN STANLEY 358,605 4,256,000 4.25%
48 Gradient Investments LLC 364,923 4,332,000 4.32%
49 RELATIVE VALUE PARTNERS GROUP, LLC 422,702 5,017,000 5.00%
50 Advisors Asset Management, Inc. 434,805 5,161,000 5.15%
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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.