PFLT - Pennantpark Floating Rate Capital Ltd. - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	5	34	0	2	2	2	6	16	5
P	%wins				74	85	71	65	74	94	77

Filing Date	T Date	Ticker	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
12/21/20 16:05	12/17/20	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		S.m	-184	10.48	0	-18	-11	147	D
12/17/20 16:41	12/15/20	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		S.m	-272	10.80	0	-25	-13	165	D
12/15/20 16:05	12/11/20	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		S.m	-188	10.85	0	-17	-8	190	D
6/11/20 16:05	6/10/20	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	132	8.83	0	15	8	207	D
4/2/20 16:19	3/31/20	PFLT	Fund	CEF	Closed-End Funds	Bernstein Adam K	NY	D		P	20	4.94	0	4	80	9	D
3/25/20 09:00	3/23/20	PFLT	Fund	CEF	Closed-End Funds	Efrat Aviv	NY	O	CFO	P	70	3.90	0	18	20	109	D
3/24/20 09:00	3/20/20	PFLT	Fund	CEF	Closed-End Funds	Efrat Aviv	NY	O	CFO	P	126	4.36	0	29	46	91	D
3/23/20 09:00	3/20/20	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	95	4.32	0	22	7	344	I
3/19/20 17:00	3/19/20	PFLT	Fund	CEF	Closed-End Funds	Flug Jeffrey	NY	D		P	1	3.56	0	0	3	16	I
3/19/20 17:00	3/19/20	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	68	4.17	0	16	5	322	I
3/18/20 17:40	3/18/20	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	85	4.26	0	20	7	306	I
3/3/20 16:10	2/28/20	PFLT	Fund	CEF	Closed-End Funds	Efrat Aviv	NY	O	CFO	P	184	10.81	0	17	38	62	D
2/27/20 09:00	2/26/20	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	83	11.80	0	7	3	286	I
11/27/19 09:00	11/26/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	104	12.28	0	9	3	279	I
11/26/19 09:09	11/25/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	96	12.03	0	8	3	270	I
11/25/19 09:02	11/22/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	106	11.78	0	9	4	262	I
9/5/19 16:05	9/4/19	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	285	11.42	0	25	15	192	D
8/16/19 08:58	8/15/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	92	11.55	0	8	3	253	I
8/14/19 08:58	8/13/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	117	11.73	0	10	4	245	I
8/13/19 09:00	8/12/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	93	11.57	0	8	4	235	I
8/12/19 09:00	8/9/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	105	11.66	0	9	4	227	I
5/20/19 16:17	5/17/19	PFLT	Fund	CEF	Closed-End Funds	Efrat Aviv	NY	O	CFO	P	99	12.05	0	8	22	45	D
5/16/19 16:24	5/14/19	PFLT	Fund	CEF	Closed-End Funds	Efrat Aviv	NY	O	CFO	P	99	12.05	0	8	29	37	D
5/16/19 09:00	5/15/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	115	12.09	0	10	5	218	I
5/15/19 09:05	5/14/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	97	12.08	0	8	4	209	I
5/14/19 16:43	5/10/19	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P.m	242	12.11	0	20	14	167	D
5/14/19 09:00	5/13/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	85	12.10	0	7	4	201	I
5/13/19 09:01	5/10/19	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	109	12.15	0	9	5	194	I
2/28/18 16:07	2/27/18	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	127	12.73	0	10	7	147	D
2/27/18 16:05	2/26/18	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	215	12.64	0	17	14	137	D
2/16/18 16:05	2/15/18	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	109	12.81	0	9	5	185	I
2/15/18 16:05	2/14/18	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	117	12.98	0	9	5	176	I
2/14/18 16:09	2/13/18	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	102	12.81	0	8	5	167	I
2/13/18 16:21	2/12/18	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	126	12.57	0	10	7	159	I
2/12/16 16:06	2/11/16	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	43	10.50	1	4	4	120	D	-11	-16	-17	-8	-6	-3	-4	-1	1	5	10	16	28	45
2/10/16 10:33	2/9/16	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	62	10.52	1	6	5	116	D	-10	-15	-18	-10	-4	4	-3	-3	1	4	10	16	28	46
11/24/15 16:07	11/23/15	PFLT	Fund	CEF	Closed-End Funds	Flug Jeffrey	NY	D		P	6	11.60	1	1	3	16	D	0	-10	-14	0	-1	-3	2	2	0	1	-2	-2	8	26
11/17/15 16:15	9/1/15	PFLT	Fund	CEF	Closed-End Funds	Flug Jeffrey	NY	D		P	17	11.58	1	2	11	15	D	2	-11	-15	-9	-3	-4	-4	-1	0	2	-4	-1	10	27
9/8/15 17:08	9/4/15	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	245	12.23	2	20	22	110	D	8	-6	-8	-11	-9	-4	2	1	1	2	-1	-2	-2	17
9/1/15 16:55	9/1/15	PFLT	Fund	CEF	Closed-End Funds	Flug Jeffrey	NY	D		P.m	91	12.11	2	8	125	14	M	6	-8	-10	-12	-14	-9	-5	0	1	1	-1	1	-1	18
8/28/15 06:04	8/26/15	PFLT	Fund	CEF	Closed-End Funds	Flug Jeffrey	NY	D		P	73	12.11	2	6	New	6	I	8	-6	-8	-11	-13	-8	-5	2	-1	0	-4	-2	-3	17
8/28/15 06:03	8/26/15	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	90	12.00	2	7	10	80	D	8	-6	-8	-11	-13	-8	-5	2	-1	0	-4	-2	-3	17
8/26/15 06:05	8/24/15	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	151	12.08	2	13	21	72	D	4	-8	-10	-13	-15	-11	-6	-5	0	1	1	0	-1	20
8/21/15 06:04	8/20/15	PFLT	Fund	CEF	Closed-End Funds	Efrat Aviv	NY	O	CFO	P	193	12.85	1	15	109	29	D	12	-3	-5	-9	-9	-5	-5	-2	0	-3	-1	-7	-7	14
8/27/14 16:16	8/26/14	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	113	14.16	1	8	13	70	D	34	14	4	5	1	2	1	1	0	0	-1	2	2	-8
8/25/14 15:18	8/21/14	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P.m	28	14.03	1	2	3	62	D	32	13	4	3	1	3	1	1	0	0	1	3	3	-8
5/19/14 18:05	5/15/14	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	4	13.65	1	0	1	60	D	36	5	8	0	2	1	1	1	-1	0	0	3	5	9
5/22/13 17:37	5/22/13	PFLT	Fund	CEF	Closed-End Funds	Efrat Aviv	NY	O	CFO	P	116	14.45	1	8	139	14	D	29	32	19	3	3	2	0	1	0	0	2	-7	-1	3
3/25/13 14:09	3/21/13	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	420	14.00	2	30	102	60	D		28	14	11	2	-1	-1	-1	0	-1	2	3	3	7
2/21/13 16:13	2/20/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P	129	14.21	1	9	6	149	I		29	18	15	10	6	3	2	1	0	-2	4	-3	8
2/19/13 18:13	2/15/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P.m	582	14.05	1	41	42	140	I		28	16	16	7	6	1	1	0	-1	1	3	-2	7
2/14/13 19:06	2/13/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P.m	108	13.95	0	8	8	99	I		28	14	9	7	6	3	0	0	2	2	3	2	8
2/12/13 18:07	2/8/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P.m	236	13.94	0	17	23	91	I		30	14	7	9	4	5	0	1	2	3	5	3	9
2/7/13 20:28	2/6/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P.m	217	13.85	0	16	27	74	I		31	16	8	8	4	4	5	1	1	3	6	6	7
2/5/13 18:28	2/1/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P.m	408	13.74	0	30	103	58	I		28	12	4	5	4	3	1	-1	0	3	4	5	6
1/31/13 17:40	1/30/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P.m	29	13.35	0	2	8	29	I		29	14	6	6	4	1	1	-1	4	8	9	10	13
1/29/13 18:20	1/25/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P.m	118	13.39	0	9	50	27	I		30	13	5	4	2	0	0	0	1	6	8	10	11
1/24/13 19:33	1/23/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P.m	57	13.33	0	4	32	18	I		27	15	4	6	2	1	-1	2	2	9	9	11	12
1/22/13 21:14	1/18/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P.m	37	13.41	0	3	26	13	I		32	14	5	6	5	4	1	-1	-1	7	7	9	11
1/17/13 21:02	1/16/13	PFLT	Fund	CEF	Closed-End Funds	Penn Arthur H	NY	DOH	CB,CEO	P.m	134	13.41	0	10	999%	11	I		36	15	5	4	3	3	2	0	-2	5	6	9	9
12/2/11 11:23	11/30/11	PFLT	Fund	CEF	Closed-End Funds	Efrat Aviv	NY	O	CFO	P	32	10.53	0	3	109	6	D			-15	-10	2	2	3	1	2	2	1	14	14	33
8/22/11 16:15	8/18/11	PFLT	Fund	CEF	Closed-End Funds	Bernstein Adam K	NY	D		P	17	11.23	1	2	43	5	D				-12	-9	-3	7	0	2	6	-4	-6	9	20
8/15/11 09:59	8/12/11	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	21	10.60	1	2	7	30	D				-18	-15	-12	-10	-3	6	7	4	-1	15	28
8/11/11 10:46	8/10/11	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	108	10.80	1	10	57	28	D				-20	-16	-15	-10	-9	1	11	6	2	15	29
8/10/11 17:55	8/9/11	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	141	10.87	1	13	289	18	D				-17	-11	-12	-8	-6	1	7	6	1	13	28
8/10/11 11:57	8/9/11	PFLT	Fund	CEF	Closed-End Funds	Efrat Aviv	NY	O	CFO	P	30	10.86	1	3	New	3	D				-17	-11	-12	-8	-6	-4	4	2	-3	9	25
8/9/11 13:12	8/8/11	PFLT	Fund	CEF	Closed-End Funds	Bernstein Adam K	NY	D		P	39	11.19	0	4	New	4	D				-14	-10	-10	-5	-6	-2	0	2	-4	6	22
8/9/11 12:06	8/8/11	PFLT	Fund	CEF	Closed-End Funds	Katz Samuel L	NY	D		P	49	10.83	0	5	New	5	D				-14	-10	-10	-5	-6	-2	0	2	-4	6	22

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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