Cwm, LLC Pioneer Floating Rate Fund, Inc. Transaction History

Cwm, LLC

$23.3 Billion
Q3 2024

Shares

11 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q2 2023 Aug 03, 2023	BUY	$8.31 - $8.85 $398 - $424	48 Added 3.2%	1,548 $13,000
Q1 2023 Apr 28, 2023	BUY	$8.47 - $9.43 $12,705 - $14,145	1,500 New	1,500 $13,000
Q1 2022 Apr 21, 2022	SELL	$10.15 - $11.97 $50 - $59	-5 Closed	0 $0
Q4 2021 Jan 31, 2022	SELL	$11.45 - $12.16 $125 - $133	-11 Reduced 68.75%	5 $0
Q3 2019 Sep 14, 2021	BUY	$10.28 - $10.67 $164 - $170	16 New	16 $0
Q3 2019 Oct 22, 2019	SELL	$10.28 - $10.67 $164 - $170	-16 Closed	0 $0
Q2 2019 Sep 14, 2021	BUY	$10.31 - $10.84 $164 - $173	16 New	16 $0
Q2 2019 Jul 31, 2019	SELL	$10.31 - $10.84 $164 - $173	-16 Closed	0 $0
Q1 2019 Sep 02, 2021	SELL	$10.04 - $10.73 $50,039 - $53,478	-4,984 Reduced 99.68%	16 $0
Q1 2019 Apr 22, 2019	SELL	$10.04 - $10.73 $245,327 - $262,187	-24,435 Reduced 83.01%	5,000 $52,000
Q4 2018 Jan 25, 2019	BUY	$9.68 - $11.03 $284,930 - $324,668	29,435 New	29,435 $290,000

Others Institutions Holding PHD

# of Institutions

45

Shares Held

3.99M

Call Options Held

0

Put Options Held

0

Lake Street Financial LLC

703K
Shares

$6.86 Million
1.16% of portfolio
Relative Value Partners Group, LLC Northbrook, IL

666K
Shares

$6.5 Million
0.86% of portfolio
Advisors Asset Management, Inc. Monument, CO

348K
Shares

$3.39 Million
0.07% of portfolio
Guggenheim Capital LLC Chicago, IL

335K
Shares

$3.27 Million
0.02% of portfolio
Invesco Ltd. Atlanta, GA

321K
Shares

$3.13 Million
0.0% of portfolio

About Pioneer Floating Rate Fund, Inc.

Ticker PHD
Exchange NYSE
Sector Financial Services
Industry Asset Management
Description
Pioneer Floating Rate Fund, Inc. is closed ended fixed income mutual fund launched and managed by Pioneer Investment Management, Inc. It invests in the fixed income markets of the United States. The fund primarily invests in senior secured floating-rate loans. It benchmarks the performance of its portfolio against the Barclays U.S. High Yield Lo...

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