PFLT · PennantPark Floating Rate Capital Ltd. · Insider Trading

$6.23 +0.04 (+0.65%)

Market Cap

$614.16M

99.22M

Volume · Oct 21 865.42K Avg daily vol (3M) 890.09K

Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.

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Date	Insider	Role	Type	Security	Shares	Price	Value	After
2026-05-12	Briones Jose A	Director	Buy↑	Common Stock	5,770	$8.67	$50,020	348,083
2026-03-11	Allorto Richard T JR	CFO and Treasurer	Buy↑	Common Stock	15,000	$8.15	$122,250	25,000
2026-02-19	Briones Jose A	Director	Buy↑	Common Stock	5,895	$8.48	$49,990	342,313
2025-12-01	Briones Jose A	Director	Buy↑	Common Stock	5,500	$9.10	$50,045	336,418
2025-05-21	Briones Jose A	Director	Buy↑	Common Stock	1,480	$10.13	$14,995	330,918
2025-05-14	Briones Jose A	Director	Buy↑	Common Stock	9,840	$10.16	$99,925	329,438
2024-06-05	Briones Jose A	Director	Buy↑ Filing footnotes — Common Stock (Direct) Includes 115 Shares of Common Stock pursuant to a dividend reinvestment plan since the last filing.	Common Stock	1,745	$11.40	$19,892	319,598
2024-05-30	Allorto Richard T JR	CFO and Treasurer	Buy↑	Common Stock	10,000	$11.30	$113,000	10,000
2024-05-28	Briones Jose A	Director	Buy↑	Common Stock	885	$11.33	$10,027	317,738
2024-05-13	Briones Jose A	Director	Buy↑ Filing footnotes — Common Stock (Direct) (1) Includes 5,135 shares of Common Stock pursuant to a dividend reinvestment plan since the last filing.	Common Stock	1,740	$11.48	$19,972	316,853
2022-02-17	Flug Jeffrey	Director	Other↓ Filing footnotes — Common Stock (Indirect) The reporting person is trustee of a family trust, of which a child of his is a beneficiary. On February 17,2022, the reporting person caused the trust to distribute 4,000 shares of common stock of PennantPark Floating Rate Capital Ltd. to beneficiaries of the trust. The reporting person disclaims beneficial ownership of the securities held by the trust except to the extent of his pecuniary interest therein.	Common Stock (I)	4,000	—	—	8,400
2020-12-18	KATZ SAMUEL L	Director	Sell↓	Common Stock	8,618	$10.41	$89,747	26,500
2020-12-17	KATZ SAMUEL L	Director	Sell↓	Common Stock	8,929	$10.54	$94,077	35,118
2020-12-16	KATZ SAMUEL L	Director	Sell↓	Common Stock	7,453	$10.65	$79,399	44,047
2020-12-15	KATZ SAMUEL L	Director	Sell↓	Common Stock	17,700	$10.87	$192,321	51,500
2020-12-14	KATZ SAMUEL L	Director	Sell↓	Common Stock	10,737	$10.85	$116,513	69,200
2020-12-11	KATZ SAMUEL L	Director	Sell↓	Common Stock	6,563	$10.84	$71,143	79,937
2020-12-03	KATZ SAMUEL L	Director	Other↓ Filing footnotes — Common Stock (Direct) On December 3, 2020, a family trust of which the reporting person is trustee acquired 120,300 shares of common stock of PennantPark Floating Rate Capital Ltd from the reporting person at a price of $10.91 per share, the closing price traded on the Nasdaq Stock Market on such date.	Common Stock	120,300	$10.91	$1,312,473	86,500
2020-12-03	KATZ SAMUEL L	Director	Other↑ Filing footnotes — Common Stock (Indirect) On December 3, 2020, a family trust of which the reporting person is trustee acquired 120,300 shares of common stock of PennantPark Floating Rate Capital Ltd from the reporting person at a price of $10.91 per share, the closing price traded on the Nasdaq Stock Market on such date.	Common Stock (I)	120,300	$10.91	$1,312,473	120,600
2020-06-10	KATZ SAMUEL L	Director	Buy↑	Common Stock	15,000	$8.83	$132,450	206,800
2020-03-31	Bernstein Adam K	Director	Buy↑	Common Stock	4,000	$4.94	$19,760	9,000
2020-03-23	Efrat Aviv	Chief Financial Officer	Buy↑	Common Stock	18,050	$3.90	$70,406	109,000
2020-03-20	PENN ARTHUR H	Director, Chairman and CEO	Buy↑ Filing footnotes — Common (Indirect) Mr. Penn is the Managing Member of PennantPark Investment Advisers, LLC and may therefore be deemed to own beneficially all shares held by the PennantPark Investment Advisers, LLC.	Common (I)	22,000	$4.32	$95,082	344,009
2020-03-20	Efrat Aviv	Chief Financial Officer	Buy↑	Common Stock	28,800	$4.36	$125,617	90,950
2020-03-19	Flug Jeffrey	Director	Buy↑	Common (I)	400	$3.56	$1,423	12,400
2020-03-19	PENN ARTHUR H	Director, Chairman and CEO	Buy↑ Filing footnotes — Common (Indirect) Mr. Penn is the Managing Member of PennantPark Investment Advisers, LLC and may therefore be deemed to own beneficially all shares held by the PennantPark Investment Advisers, LLC.	Common (I)	16,300	$4.17	$68,023	322,009
2020-03-18	PENN ARTHUR H	Director, Chairman and CEO	Buy↑ Filing footnotes — Common (Indirect) Mr. Penn is the Managing Member of PennantPark Investment Advisers, LLC and may therefore be deemed to own beneficially all shares held by the PennantPark Investment Advisers, LLC.	Common (I)	20,000	$4.26	$85,250	305,709
2020-02-28	Efrat Aviv	Chief Financial Officer	Buy↑	Common Stock	17,000	$10.81	$183,811	62,150
2020-02-26	PENN ARTHUR H	Director, Chairman and CEO	Buy↑ Filing footnotes — Common (Indirect) Mr. Penn is the Managing Member of PennantPark Investment Advisers, LLC and may therefore be deemed to own beneficially all shares held by the PennantPark Investment Advisers, LLC.	Common (I)	7,000	$11.80	$82,596	285,709

Legend Buy — open-market purchase Sell — open-market sale ↑ Shares acquired ↓ Shares disposed (gift, conversion, tax…)

Showing 1–29 of 29 transactions

Key facts CIK 1504619 CUSIP 70806A106 13F (30d) 14 filings 14 filers Visit website Investor relations