Form Type: 4

SEC EDGAR Link
Acccession Number:0000899243-19-021695
Date:2019-08-13
Issuer: PENNANTPARK FLOATING RATE CAPITAL LTD. (PFLT)
Original Submission Date:

Reporting Person:

PENN ARTHUR H
590 MADISON AVENUE
15TH FLOOR NEW YORK, NY 10022

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-08-13 P 10,000 a $11.73 245,209 indirect f1
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 mr. penn is the managing member of pennantpark investment advisers, llc and may therefore be deemed to own beneficially all sharesheld by the pennantpark investment advisers, llc.

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