PennantPark Floating Rate Capital Ltd. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Briones Jose A | — | Purchase | 5,500 | $9.10 | $50,050 | 336,418 | Dec 1, 2025 |
| Briones Jose A | — | Purchase | 1,480 | $10.13 | $14,992 | 330,918 | May 21, 2025 |
| Briones Jose A | — | Purchase | 9,840 | $10.16 | $99,974 | 329,438 | May 14, 2025 |
| Briones Jose A | — | Purchase | 1,745 | $11.40 | $19,893 | 319,598 | Jun 5, 2024 |
| Allorto Richard T JR | CFO and Treasurer | Purchase | 10,000 | $11.30 | $113,000 | 10,000 | May 30, 2024 |
| Briones Jose A | — | Purchase | 885 | $11.33 | $10,027 | 317,738 | May 28, 2024 |
| Briones Jose A | — | Purchase | 1,740 | $11.48 | $19,975 | 316,853 | May 13, 2024 |
| Flug Jeffrey | — | Other | 4,000 | — | — | 8,400 | Feb 17, 2022 |
| KATZ SAMUEL L | — | Sale | 8,618 | $10.41 | $89,713 | 26,500 | Dec 17, 2020 |
| KATZ SAMUEL L | — | Sale | 7,453 | $10.65 | $79,374 | 44,047 | Dec 15, 2020 |
| KATZ SAMUEL L | — | Sale | 6,563 | $10.84 | $71,143 | 79,937 | Dec 14, 2020 |
| KATZ SAMUEL L | — | Other | 120,300 | $10.91 | $1,312,473 | 86,500 | Dec 3, 2020 |
| KATZ SAMUEL L | — | Purchase | 15,000 | $8.83 | $132,450 | 206,800 | Jun 10, 2020 |
| Bernstein Adam K | — | Purchase | 4,000 | $4.94 | $19,760 | 9,000 | Mar 31, 2020 |
| Efrat Aviv | Chief Financial Officer | Purchase | 18,050 | $3.90 | $70,395 | 109,000 | Mar 23, 2020 |
| Efrat Aviv | Chief Financial Officer | Purchase | 28,800 | $4.36 | $125,568 | 90,950 | Mar 20, 2020 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 22,000 | $4.32 | $95,040 | 344,009 | Mar 20, 2020 |
| Flug Jeffrey | — | Purchase | 400 | $3.56 | $1,424 | 12,400 | Mar 19, 2020 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 16,300 | $4.17 | $67,971 | 322,009 | Mar 19, 2020 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 20,000 | $4.26 | $85,200 | 305,709 | Mar 18, 2020 |
| Efrat Aviv | Chief Financial Officer | Purchase | 17,000 | $10.81 | $183,770 | 62,150 | Feb 28, 2020 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 7,000 | $11.80 | $82,600 | 285,709 | Feb 26, 2020 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 8,500 | $12.28 | $104,380 | 278,709 | Nov 26, 2019 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 8,000 | $12.03 | $96,240 | 270,209 | Nov 25, 2019 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 9,000 | $11.78 | $106,020 | 262,209 | Nov 22, 2019 |
| KATZ SAMUEL L | — | Purchase | 25,000 | $11.42 | $285,500 | 191,800 | Sep 4, 2019 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 8,000 | $11.55 | $92,400 | 253,209 | Aug 15, 2019 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 10,000 | $11.73 | $117,300 | 245,209 | Aug 13, 2019 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 8,000 | $11.57 | $92,560 | 235,209 | Aug 12, 2019 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 9,000 | $11.66 | $104,940 | 227,209 | Aug 9, 2019 |
| Efrat Aviv | CFO | Purchase | 8,200 | $12.05 | $98,810 | 45,150 | May 17, 2019 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 9,500 | $12.09 | $114,855 | 218,209 | May 15, 2019 |
| Efrat Aviv | CFO | Purchase | 8,200 | $12.05 | $98,810 | 36,950 | May 14, 2019 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 8,000 | $12.08 | $96,640 | 208,709 | May 14, 2019 |
| KATZ SAMUEL L | — | Purchase | 100 | $12.20 | $1,220 | 146,900 | May 13, 2019 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 7,000 | $12.10 | $84,700 | 200,709 | May 13, 2019 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 9,000 | $12.15 | $109,350 | 193,709 | May 10, 2019 |
| KATZ SAMUEL L | — | Purchase | 10,000 | $12.73 | $127,300 | 146,800 | Feb 27, 2018 |
| KATZ SAMUEL L | — | Purchase | 17,000 | $12.64 | $214,880 | 136,800 | Feb 26, 2018 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 8,500 | $12.81 | $108,885 | 184,709 | Feb 15, 2018 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 9,000 | $12.98 | $116,820 | 176,209 | Feb 14, 2018 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 8,000 | $12.81 | $102,480 | 167,209 | Feb 13, 2018 |
| PENN ARTHUR H | Chairman and CEO | Purchase | 10,000 | $12.57 | $125,700 | 159,209 | Feb 12, 2018 |
| KATZ SAMUEL L | — | Purchase | 4,140 | $10.50 | $43,470 | 119,800 | Feb 11, 2016 |
| KATZ SAMUEL L | — | Purchase | 5,860 | $10.52 | $61,647 | 115,660 | Feb 9, 2016 |
| Flug Jeffrey | — | Purchase | 500 | $11.60 | $5,800 | 3,500 | Nov 23, 2015 |
| KATZ SAMUEL L | — | Purchase | 20,000 | $12.23 | $244,600 | 109,800 | Sep 4, 2015 |
| Flug Jeffrey | — | Purchase | 6,000 | $12.10 | $72,600 | 12,000 | Sep 1, 2015 |
| Flug Jeffrey | — | Purchase | 1,500 | $11.58 | $17,370 | 3,000 | Sep 1, 2015 |
| Flug Jeffrey | — | Purchase | 6,000 | $12.11 | $72,660 | 6,000 | Aug 26, 2015 |