PFLTNYSEFiscal year ends September 30Also trades as PFLA
PennantPark Floating Rate Capital Ltd.
Financials through Q3 FY2026, quarter ended Jun 30, 2026Last filing: 10-Q on Aug 10, 2026
$6.30−0.21 (-3.23%)
Close on Oct 19, 2026
- Market cap
- $625.07M
- P/E (TTM)
- –
- Dividend yield
- –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
22M
Shares held, 13F filers
Institutional holders
125
19 new, 25 sold out
Net institutional buying
1M
In Q2 2026
Insider trades, 12 months
4 buys · 0 sales
Net bought $272.32K
Shares held by institutions
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of PFLT | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Sound Income Strategies, LLC | 5,222,616 | – | $39.07M | +281,807 | 1.75% |
| UBS Group AG | 3,086,895 | – | $23.09M | +1,066,870 | 0.00% |
| Van Eck Associates Corp | 2,473,706 | – | $18.50M | +668,394 | 0.01% |
| Invesco Ltd. | 1,796,252 | – | $13.44M | −10,858 | 0.00% |
| Altshuler Shaham Ltd | 1,029,172 | – | $7.70M | – | 0.10% |
| Diameter Capital Partners LP | 900,000 | – | $6.73M | −755,246 | 0.54% |
| Legal & General Group Plc | 810,824 | – | $6.06M | +45,737 | 0.00% |
| Morgan Stanley | 777,564 | – | $5.82M | +175,904 | 0.00% |
| Franklin Resources Inc | 584,585 | – | $4.37M | New | 0.00% |
| Advisors Asset Management, Inc. | 377,174 | – | $2.82M | +17,838 | 0.04% |
| BlackRock, Inc. | 375,781 | – | $2.81M | −9,240 | 0.00% |
| GraniteShares Advisors LLC | 302,342 | – | $2.26M | +39,575 | 1.45% |
| Independent Advisor Alliance | 271,050 | – | $2.03M | +133,550 | 0.05% |
| Osaic Holdings, Inc. | 245,703 | – | $1.84M | +29,268 | 0.00% |
| Cambridge Investment Research Advisors, Inc. | 201,242 | – | $1.51K | +115,997 | 0.00% |
| Citadel Advisors LLC | 173,041 | – | $1.29M | New | 0.00% |
| Muzinich & Co., Inc. | 172,096 | – | $1.29M | +192 | 0.44% |
| NewEdge Wealth, LLC | 168,559 | – | $1.26M | −9,123 | 0.01% |
| Bank Of America Corp /De/ | 164,131 | – | $1.23M | +109,075 | 0.00% |
| Millennium Management LLC | 156,573 | – | $1.17M | −4,421 | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 125 | 22M | 19 / 43 | 36 / 25 | 4M | 2M |
| Q1 2026 | 134 | 21M | 25 / 48 | 32 / 23 | 3M | 4M |
| Q4 2025 | 136 | 22M | 26 / 36 | 44 / 22 | 4M | 4M |
| Q3 2025 | 135 | 22M | 28 / 58 | 22 / 15 | 3M | 3M |
| Q2 2025 | 124 | 21M | 18 / 53 | 30 / 26 | 3M | 7M |
| Q1 2025 | 132 | 26M | 28 / 55 | 20 / 22 | 9M | 2M |
| Q4 2024 | 127 | 18M | 36 / 41 | 28 / 11 | 4M | 2M |
| Q3 2024 | 103 | 16M | 18 / 32 | 33 / 23 | 3M | 3M |
| Q2 2024 | 111 | 16M | 20 / 47 | 24 / 13 | 5M | 3M |
| Q1 2024 | 105 | 15M | 23 / 36 | 24 / 19 | 3M | 1M |
| Q4 2023 | 101 | 13M | 15 / 25 | 38 / 22 | 1M | 1M |
| Q3 2023 | 110 | 13M | 17 / 29 | 35 / 19 | 1M | 4M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
| Fund | Shares | % of PFLT | Value | % of fund | As of |
|---|---|---|---|---|---|
| VanEck BDC Income ETF | 2,006,576 | – | $15.01M | 0.92% | Jun 30, 2026 |
| Invesco KBW High Dividend Yield Financial ETF | 1,823,643 | – | $14.97M | 3.51% | May 31, 2026 |
| Putnam BDC Income ETF | 761,678 | – | $5.29M | 1.87% | Jul 31, 2026 |
| GraniteShares HIPS U.S. High Income ETF | 302,342 | – | $2.26M | 2.06% | Jun 30, 2026 |
| Sound Enhanced Fixed Income ETF | 105,656 | – | $867.44K | 2.17% | May 31, 2026 |
| Virtus Private Credit Strategy ETF | 58,934 | – | $409.00K | 1.35% | Jul 31, 2026 |
| WHITEWOLF Publicly Listed Private Equity ETF | 80 | – | $555 | 0.01% | Jul 31, 2026 |
| Blackstone Alternative Multi-Strategy Fund | -2,300 | – | -$17.20K | -0.00% | Jun 30, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Richard T. Allorto JR | CFO and Treasurer | 25,000 | Mar 12, 2026 |
| Jose A. Briones | Director | 356,084 | May 12, 2026 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Jose A. Briones Director | May 12, 2026 | Buy | +5,770 | $8.67 | $50.03K | 348,083 |
| Richard T. Allorto JR CFO and Treasurer | Mar 11, 2026 | Buy | +15,000 | $8.15 | $122.25K | 25,000 |
| Jose A. Briones Director | Feb 19, 2026 | Buy | +5,895 | $8.48 | $49.99K | 342,313 |
| Jose A. Briones Director | Dec 1, 2025 | Buy | +5,500 | $9.10 | $50.05K | 336,418 |
| Jose A. Briones Director | May 21, 2025 | Buy | +1,480 | $10.13 | $14.99K | 330,918 |
| Jose A. Briones Director | May 14, 2025 | Buy | +9,840 | $10.16 | $99.97K | 329,438 |
| Jose A. Briones Director | Jun 5, 2024 | Buy | +1,745 | $11.40 | $19.89K | 319,598 |
| Richard T. Allorto JR CFO and Treasurer | May 30, 2024 | Buy | +10,000 | $11.30 | $113.00K | 10,000 |
| Jose A. Briones Director | May 28, 2024 | Buy | +885 | $11.33 | $10.03K | 317,738 |
| Jose A. Briones Director | May 13, 2024 | Buy | +1,740 | $11.48 | $19.98K | 316,853 |
| Jeffrey Flug Director | Feb 17, 2022 | Other | −4,000 | – | – | 8,400 |
| Samuel L. Katz Director | Dec 18, 2020 | Sale | −8,618 | $10.41 | $89.71K | 26,500 |
| Samuel L. Katz Director | Dec 17, 2020 | Sale | −8,929 | $10.54 | $94.11K | 35,118 |
| Samuel L. Katz Director | Dec 16, 2020 | Sale | −7,453 | $10.65 | $79.37K | 44,047 |
| Samuel L. Katz Director | Dec 15, 2020 | Sale | −17,700 | $10.87 | $192.40K | 51,500 |
| Samuel L. Katz Director | Dec 14, 2020 | Sale | −10,737 | $10.85 | $116.50K | 69,200 |
| Samuel L. Katz Director | Dec 11, 2020 | Sale | −6,563 | $10.84 | $71.14K | 79,937 |
| Samuel L. Katz Director | Dec 3, 2020 | Other | −120,300 | $10.91 | $1.31M | 86,500 |
| Samuel L. Katz Director | Dec 3, 2020 | Other | +120,300 | $10.91 | $1.31M | 120,600 |
| Samuel L. Katz Director | Jun 10, 2020 | Buy | +15,000 | $8.83 | $132.45K | 206,800 |
| Adam K. Bernstein Director | Mar 31, 2020 | Buy | +4,000 | $4.94 | $19.76K | 9,000 |
| Aviv Efrat Chief Financial Officer | Mar 23, 2020 | Buy | +18,050 | $3.90 | $70.40K | 109,000 |
| Aviv Efrat Chief Financial Officer | Mar 20, 2020 | Buy | +28,800 | $4.36 | $125.57K | 90,950 |
| Arthur H. Penn Chairman and CEO, Director | Mar 20, 2020 | Buy | +22,000 | $4.32 | $95.04K | 344,009 |
| Arthur H. Penn Chairman and CEO, Director | Mar 19, 2020 | Buy | +16,300 | $4.17 | $67.97K | 322,009 |
| Jeffrey Flug Director | Mar 19, 2020 | Buy | +400 | $3.56 | $1.42K | 12,400 |
| Arthur H. Penn Chairman and CEO, Director | Mar 18, 2020 | Buy | +20,000 | $4.26 | $85.20K | 305,709 |
| Aviv Efrat Chief Financial Officer | Feb 28, 2020 | Buy | +17,000 | $10.81 | $183.77K | 62,150 |
| Arthur H. Penn Chairman and CEO, Director | Feb 26, 2020 | Buy | +7,000 | $11.80 | $82.60K | 285,709 |
| Arthur H. Penn Chairman and CEO, Director | Nov 26, 2019 | Buy | +8,500 | $12.28 | $104.38K | 278,709 |
| Arthur H. Penn Chairman and CEO, Director | Nov 25, 2019 | Buy | +8,000 | $12.03 | $96.24K | 270,209 |
| Arthur H. Penn Chairman and CEO, Director | Nov 22, 2019 | Buy | +9,000 | $11.78 | $106.02K | 262,209 |
| Samuel L. Katz Director | Sep 4, 2019 | Buy | +25,000 | $11.42 | $285.50K | 191,800 |
| Arthur H. Penn Chairman and CEO, Director | Aug 15, 2019 | Buy | +8,000 | $11.55 | $92.40K | 253,209 |
| Arthur H. Penn Chairman and CEO, Director | Aug 13, 2019 | Buy | +10,000 | $11.73 | $117.30K | 245,209 |
| Arthur H. Penn Chairman and CEO, Director | Aug 12, 2019 | Buy | +8,000 | $11.57 | $92.56K | 235,209 |
| Arthur H. Penn Chairman and CEO, Director | Aug 9, 2019 | Buy | +9,000 | $11.66 | $104.94K | 227,209 |
| Aviv Efrat CFO | May 17, 2019 | Buy | +8,200 | $12.05 | $98.81K | 45,150 |
| Arthur H. Penn Chairman and CEO, Director | May 15, 2019 | Buy | +9,500 | $12.09 | $114.86K | 218,209 |
| Aviv Efrat CFO | May 14, 2019 | Buy | +8,200 | $12.05 | $98.81K | 36,950 |
| Arthur H. Penn Chairman and CEO, Director | May 14, 2019 | Buy | +8,000 | $12.08 | $96.64K | 208,709 |
| Arthur H. Penn Chairman and CEO, Director | May 13, 2019 | Buy | +7,000 | $12.10 | $84.70K | 200,709 |
| Samuel L. Katz Director | May 13, 2019 | Buy | +19,900 | $12.11 | $240.99K | 166,800 |
| Samuel L. Katz Director | May 10, 2019 | Buy | +100 | $12.20 | $1.22K | 146,900 |
| Arthur H. Penn Chairman and CEO, Director | May 10, 2019 | Buy | +9,000 | $12.15 | $109.35K | 193,709 |
| Samuel L. Katz Director | Feb 27, 2018 | Buy | +10,000 | $12.73 | $127.30K | 146,800 |
| Samuel L. Katz Director | Feb 26, 2018 | Buy | +17,000 | $12.64 | $214.88K | 136,800 |
| Arthur H. Penn Chairman and CEO, Director | Feb 15, 2018 | Buy | +8,500 | $12.81 | $108.89K | 184,709 |
| Arthur H. Penn Chairman and CEO, Director | Feb 14, 2018 | Buy | +9,000 | $12.98 | $116.82K | 176,209 |
| Arthur H. Penn Chairman and CEO, Director | Feb 13, 2018 | Buy | +8,000 | $12.81 | $102.48K | 167,209 |
| Arthur H. Penn Chairman and CEO, Director | Feb 12, 2018 | Buy | +10,000 | $12.57 | $125.70K | 159,209 |
| Samuel L. Katz Director | Feb 11, 2016 | Buy | +4,140 | $10.50 | $43.47K | 119,800 |
| Samuel L. Katz Director | Feb 9, 2016 | Buy | +5,860 | $10.52 | $61.65K | 115,660 |
| Jeffrey Flug Director | Nov 23, 2015 | Buy | +500 | $11.60 | $5.80K | 3,500 |
| Samuel L. Katz Director | Sep 4, 2015 | Buy | +20,000 | $12.23 | $244.60K | 109,800 |
| Jeffrey Flug Director | Sep 1, 2015 | Buy | +1,500 | $11.58 | $17.37K | 3,000 |
| Jeffrey Flug Director | Sep 1, 2015 | Buy | +1,500 | $12.14 | $18.21K | 1,500 |
| Jeffrey Flug Director | Aug 31, 2015 | Buy | +6,000 | $12.10 | $72.60K | 12,000 |
| Samuel L. Katz Director | Aug 26, 2015 | Buy | +7,482 | $12.00 | $89.78K | 79,500 |
| Jeffrey Flug Director | Aug 26, 2015 | Buy | +6,000 | $12.11 | $72.66K | 6,000 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.