0001181431-13-003817.txt : 20130117 0001181431-13-003817.hdr.sgml : 20130117 20130117210221 ACCESSION NUMBER: 0001181431-13-003817 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130116 FILED AS OF DATE: 20130117 DATE AS OF CHANGE: 20130117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PENN ARTHUR H CENTRAL INDEX KEY: 0001284937 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00891 FILM NUMBER: 13536093 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PennantPark Floating Rate Capital Ltd. CENTRAL INDEX KEY: 0001504619 IRS NUMBER: 273794690 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: PennantPark Senior Floating Rate Fund Inc. DATE OF NAME CHANGE: 20101029 4 1 rrd367129.xml FORM 4 X0306 4 2013-01-16 0 0001504619 PennantPark Floating Rate Capital Ltd. PFLT 0001284937 PENN ARTHUR H 590 MADISON AVENUE 15TH FLOOR NEW YORK NY 10022 1 1 0 1 Chairman and CEO Investment Adviser Common Stock 2013-01-16 4 P 0 7000 13.4061 D 7667 I By Pennant Park Investment Advisers, LLC Common Stock 2013-01-17 4 P 0 3000 13.4048 D 10667 I By Pennant Park Investment Advisers, LLC Due to his control of and ownership interest in PennantPark Investment Advisers, LLC, which owns directly 10,667 shares of Common Stock of the Issuer as of January 17, 2013, Mr.Penn may be viewed as having voting and dispositive power over all of the share held by such entity. Mr. Penn disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein. /s/ Arthur H. Penn 2013-01-17