-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GB+tT2reYI0Y7j/VVTvexQzLkun2AGiyqV2l4XFZo3fFMKfhOg9B1qoBPBuFRqzB qODRHTUA1SzA/eJzVOqzhg== 0001144204-08-012824.txt : 20080303 0001144204-08-012824.hdr.sgml : 20080303 20080303113029 ACCESSION NUMBER: 0001144204-08-012824 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080303 DATE AS OF CHANGE: 20080303 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PENNANTPARK INVESTMENT CORP CENTRAL INDEX KEY: 0001383414 IRS NUMBER: 208250744 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-83172 FILM NUMBER: 08658401 BUSINESS ADDRESS: STREET 1: 590 MADISON AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-905-1000 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Pennant Investment CORP DATE OF NAME CHANGE: 20061229 FORMER COMPANY: FORMER CONFORMED NAME: Peninsula Private Capital CORP DATE OF NAME CHANGE: 20061212 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALPINE TOTAL DYNAMIC DIVIDEND FUND CENTRAL INDEX KEY: 0001379400 IRS NUMBER: 205785181 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 2500 WESTCHESTER AVE., SUITE 215 CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 303-623-2577 MAIL ADDRESS: STREET 1: C/O ALPS MUTUAL FUND SERVICES, INC. STREET 2: 1625 BRAODWAY, SUITE 2200 CITY: DENVER STATE: CO ZIP: 80202 SC 13G 1 v105620_sc13g.txt ------------------------------------ OMB APPROVAL ------------------------------------ OMB Number: ...............3235-0145 Expires: ..........February 28, 2009 Estimated average burden hours per response .............10.4 ------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G SCHEDULE 13G Under the Securities Exchange Act of 1934 PennantPark Investment Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.001 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 708062104 - -------------------------------------------------------------------------------- (CUSIP Number) April 19, 2007 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |X| Rule 13d-1(b) |_| Rule 13d-1(c) |_| Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). PERSONS WHO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. Page 1 of 4 CUSIP No. 708062104 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON (ENTITIES ONLY). Alpine Total Dynamic Dividend Fund 20-5785181 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States-DE - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,400,000 ----------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ----------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 1,400,000 WITH: ----------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,400,000 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IV - -------------------------------------------------------------------------------- Page 2 of 4 Item 1(a). Name of Issuer: PennantPark Investment Corporation (b). Address of Issuer's Principal Executive Offices: 445 Park Avenue, 10th Floor, New York, NY 10022 Item 2(a)-(c). This Statement is filed by: Alpine Total Dynamic Dividend Fund as the "Reporting Person." The principal executive office address of Alpine Total Dynamic Dividend Fund is 2500 Westchester Avenue, Suite 215, Purchase, New York, 10577. Alpine Total Dividend Fund is a Delaware statutory trust. (d). Title of Class of Securities: Common Stock, par value $0.001 per share (e). CUSIP Number: 708062104 Item 3. The Reporting Person is: (d) an investment company registered under section 8 of the Investment Company Act of 1940 Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: See Row 9 for the amount beneficially owned by the Reporting Person (b) Percent of class: See Row 11 for the percentage of class beneficially owned by the Reporting Person. Such percentage is based on 20,000,000 shares of common stock outstanding as of April 26, 2007, as reported in Form 8-K. (c) Number of shares as to which such person has: See Rows 5-8 for the voting and dispositive power for the Reporting Person Item 5. Ownership of Five Percent or Less of a Class. N/A Item 6. Ownership of More Than Five Percent on Behalf of Another Person. N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A Page 3 of 4 Item 10. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 29, 2008 ALPINE TOTAL DYNAMIC DIVIDEND FUND By: /s/ Sheldon R. Flamm ----------------------------------- Sheldon R. Flamm Vice President and Principal Financial and Accounting Officer Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----