0000899243-23-005681.txt : 20230221 0000899243-23-005681.hdr.sgml : 20230221 20230221161025 ACCESSION NUMBER: 0000899243-23-005681 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230216 FILED AS OF DATE: 20230221 DATE AS OF CHANGE: 20230221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Flug Jeffrey CENTRAL INDEX KEY: 0001396917 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00736 FILM NUMBER: 23648199 MAIL ADDRESS: STREET 1: C/O PENNANTPARK INVESTMENT CORPORATION STREET 2: 445 PARK AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PENNANTPARK INVESTMENT CORP CENTRAL INDEX KEY: 0001383414 IRS NUMBER: 208250744 FISCAL YEAR END: 0930 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2023-02-16 0 0001383414 PENNANTPARK INVESTMENT CORP PNNT 0001396917 Flug Jeffrey C/O PENNANTPARK 1691 MICHIGAN AVENUE MIAMI BEACH FL 33139 1 0 0 0 Common Stock 2023-02-16 4 J 0 137887 5.70 D 9891 D Common Stock 2023-02-16 4 J 0 137887 5.70 A 289669 I Held by various related trusts and an LLC Reflects transfer of shares for estate planning purposes to a family trust for cash and cash equivalents pursuant to a substitution of assets, using the average high/low trading price on the transfer date of $5.70. The reporting person disclaims beneficial ownership of the securities held by the trust and by a LLC named Gulf Five LLC except in each case to the extent of his respective pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose. /s/ Jeffrey Flug 2023-02-21