Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-061929
Date:2020-12-03
Issuer: PENNANTPARK INVESTMENT CORP (PNNT)
Original Submission Date:

Reporting Person:

KATZ SAMUEL L
C/O PENNANTPARK
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 2020-12-03 J 177,281 d $4.62 11,710 direct
COMMON STOCK 2020-12-03 J 177,281 a $4.62 177,581 indirect
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 on december 3, 2020, a family trust of which the reporting person is trustee acquired 177,281 shares of common stock of pennantpark investment corporation from the reporting person at a price of $4.62 per share, the closing price traded on the nasdaq stock market on such date.
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