Rivernorth Capital Management, LLC Pioneer Floating Rate Fund, Inc. Transaction History

Rivernorth Capital Management, LLC

$1.8 Billion
Q3 2024

Shares

11 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q3 2022 Nov 14, 2022	BUY	$8.61 - $9.63 $553,881 - $619,497	64,330 New	64,330 $555,000
Q1 2021 May 17, 2021	SELL	$10.16 - $11.46 $665,866 - $751,065	-65,538 Closed	0 $0
Q4 2020 Feb 16, 2021	SELL	$9.96 - $10.88 $14.3 Million - $15.7 Million	-1,440,319 Reduced 95.65%	65,538 $668,000
Q3 2020 Nov 16, 2020	BUY	$9.48 - $10.49 $7.72 Million - $8.55 Million	814,785 Added 117.9%	1,505,857 $15.2 Million
Q2 2020 Aug 14, 2020	SELL	$7.52 - $9.74 $4.68 Million - $6.06 Million	-622,052 Reduced 47.37%	691,072 $6.57 Million
Q1 2020 May 18, 2020	BUY	$6.68 - $11.19 $2.71 Million - $4.54 Million	406,036 Added 44.76%	1,313,124 $10 Million
Q4 2019 Feb 14, 2020	BUY	$10.32 - $10.97 $1.77 Million - $1.88 Million	171,781 Added 23.36%	907,088 $9.95 Million
Q3 2019 Nov 14, 2019	BUY	$10.28 - $10.67 $375,816 - $390,073	36,558 Added 5.23%	735,307 $7.74 Million
Q2 2019 Aug 14, 2019	BUY	$10.31 - $10.84 $2.92 Million - $3.07 Million	283,236 Added 68.17%	698,749 $7.47 Million
Q1 2019 May 15, 2019	BUY	$10.04 - $10.73 $679,145 - $725,820	67,644 Added 19.45%	415,513 $4.32 Million
Q4 2018 Feb 14, 2019	BUY	$9.68 - $11.03 $3.37 Million - $3.84 Million	347,869 New	347,869 $3.45 Million

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

$6.91 Million
1.16% of portfolio
Relative Value Partners Group, LLC Northbrook, IL

666K
Shares

$6.54 Million
0.86% of portfolio
Advisors Asset Management, Inc. Monument, CO

348K
Shares

$3.41 Million
0.07% of portfolio
Guggenheim Capital LLC Chicago, IL

335K
Shares

$3.29 Million
0.02% of portfolio
Invesco Ltd. Atlanta, GA

321K
Shares

$3.15 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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