# PennantPark Floating Rate Capital Ltd.

> Alpha governed public record. Unknown, unavailable, and unpublished values are never inferred as zero.

## Record

| Field | Value |
| --- | --- |
| Representation | alpha-profile-markdown-v4 |
| Protocol | Alpha Governance Facts Protocol 0.1 |
| Schema | alpha.governance.entity.public.v1 |
| Record version | public-1:d751713988987e9331980363e24189ce:ro-d751713988987e9331980363e24189ce |
| Governance record representation | alpha-governance-record-v2 |
| Canonical entity | alpha:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe |
| Entity type | Company |
| Canonical URL | https://registry.alpha.ac/companies/pennantpark-floating-rate-capital-ltd |
| Publication | PUBLISHED |
| Verification | source_reported |
| Verification schema | alpha-verification-states-v1 |
| Ownership | unclaimed |
| Published claims | 14 |
| Claims under review | 1 |
| Evidence records | 4 |
| Conflicts | 0 |
| Conflicts in internal review | 0 |
| Observed | 2026-10-17T04:48:12.342735+00:00 |
| Last reviewed | 2026-10-17T04:48:12.342735+00:00 |

## Identity

- Legal name: PennantPark Floating Rate Capital Ltd.
- Display name: PennantPark Floating Rate Capital Ltd.

## Alpha Governance Record

| Field | Value |
| --- | --- |
| Governance Record schema | alpha-governance-record-v2 |
| Ontology | alpha-governance-ontology-v1 |
| Record version | public-1:d751713988987e9331980363e24189ce:ro-d751713988987e9331980363e24189ce |
| As of | 2026-10-17T09:58:01.266189+00:00 |
| Completeness | 0.364 |
| Record Quality | 0.84 |
| Directors | 7 |
| Committees | 0 |
| Governance events | 9 |
| Entity class | public_company |

## Section coverage

| Section | State |
| --- | --- |
| identity | PUBLISHED |
| corporate_structure | NOT_REVIEWED |
| board | PUBLISHED |
| committees | NOT_REVIEWED |
| leadership | PUBLISHED |
| ownership | NOT_REVIEWED |
| financials | NOT_REVIEWED |
| capital_structure | PUBLISHED |
| compensation | NOT_REVIEWED |
| governance | NOT_REVIEWED |
| shareholder_governance | NOT_REVIEWED |
| audit | NOT_REVIEWED |
| legal | NOT_REVIEWED |
| risk | NOT_REVIEWED |
| cyber | NOT_REVIEWED |
| ai_governance | NOT_REVIEWED |
| agent_governance | RESTRICTED |
| markets_external | NOT_REVIEWED |
| events | PUBLISHED |
| relationships | PUBLISHED |
| assessments | PUBLISHED |
| evidence | PUBLISHED |

## Board

- Adam K. Bernstein: Director. Status: current. Independent: NOT_PUBLISHED. Since: 2007-01-01. claim_id=alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:5
- Arthur H. Penn: Director. Status: current. Independent: NOT_PUBLISHED. Since: 2007-01-01. claim_id=alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:6
- Gerald Cummins: Director. Status: current. Independent: NOT_PUBLISHED. Since: 2025-01-01. claim_id=alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:7
- Jeffrey Flug: Director. Status: current. Independent: NOT_PUBLISHED. Since: 2009-01-01. claim_id=alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:8
- José A. Briones, Jr: Director. Status: current. Independent: NOT_PUBLISHED. Since: 2022-01-01. claim_id=alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:9
- Marshall Brozost: Director. Status: current. Independent: NOT_PUBLISHED. Since: 2023-01-01. claim_id=alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:10
- Samuel L. Katz: Director. Status: current. Independent: NOT_PUBLISHED. Since: 2007-01-01. claim_id=alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:11

## Executive leadership

- Gerald Cummins: Chief Compliance Officer [CCO]. Status: current. claim_id=alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:12
- Richard T. Allorto, Jr.: Chief Financial Officer and Treasurer [CFO]. Status: current. claim_id=alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:13

## Governance events

- EXECUTIVE_APPOINTED: Gerald Cummins executive of PennantPark Floating Rate Capital Ltd., effective 2025-12-17. Effective: 2025-12-17. Detected: 2026-10-17T04:48:12.342735+00:00. event_id=alpha:event:transition:vwzdfe1lozn38
- CFO_CHANGED: Richard T. Allorto, Jr. executive of PennantPark Floating Rate Capital Ltd., effective 2025-12-17. Effective: 2025-12-17. Detected: 2026-10-17T04:48:12.342735+00:00. event_id=alpha:event:transition:ihg3esdr8umo
- DIRECTOR_APPOINTED: Gerald Cummins seat on PennantPark Floating Rate Capital Ltd., effective 2025-01-01. Effective: 2025-01-01. Detected: 2026-10-17T04:48:12.342735+00:00. event_id=alpha:event:transition:1njdt3t16wcyc9
- DIRECTOR_APPOINTED: Marshall Brozost seat on PennantPark Floating Rate Capital Ltd., effective 2023-01-01. Effective: 2023-01-01. Detected: 2026-10-17T04:48:12.342735+00:00. event_id=alpha:event:transition:1motnzd181f38x
- DIRECTOR_APPOINTED: José A. Briones, Jr seat on PennantPark Floating Rate Capital Ltd., effective 2022-01-01. Effective: 2022-01-01. Detected: 2026-10-17T04:48:12.342735+00:00. event_id=alpha:event:transition:1qe16w61y26xno
- DIRECTOR_APPOINTED: Jeffrey Flug seat on PennantPark Floating Rate Capital Ltd., effective 2009-01-01. Effective: 2009-01-01. Detected: 2026-10-17T04:48:12.342735+00:00. event_id=alpha:event:transition:shu9kmobhgl8
- DIRECTOR_APPOINTED: Adam K. Bernstein seat on PennantPark Floating Rate Capital Ltd., effective 2007-01-01. Effective: 2007-01-01. Detected: 2026-10-17T04:48:12.342735+00:00. event_id=alpha:event:transition:rwhgwv4hwagr
- DIRECTOR_APPOINTED: Arthur H. Penn seat on PennantPark Floating Rate Capital Ltd., effective 2007-01-01. Effective: 2007-01-01. Detected: 2026-10-17T04:48:12.342735+00:00. event_id=alpha:event:transition:13p6g4aiuy9yk
- DIRECTOR_APPOINTED: Samuel L. Katz seat on PennantPark Floating Rate Capital Ltd., effective 2007-01-01. Effective: 2007-01-01. Detected: 2026-10-17T04:48:12.342735+00:00. event_id=alpha:event:transition:169nry4icdshu

## Scoped resources

- `alpha://company/pennantpark-floating-rate-capital-ltd` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record
- `alpha://company/pennantpark-floating-rate-capital-ltd/identity` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=identity
- `alpha://company/pennantpark-floating-rate-capital-ltd/corporate-structure` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=corporate-structure
- `alpha://company/pennantpark-floating-rate-capital-ltd/board` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=board
- `alpha://company/pennantpark-floating-rate-capital-ltd/committees` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=committees
- `alpha://company/pennantpark-floating-rate-capital-ltd/leadership` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=leadership
- `alpha://company/pennantpark-floating-rate-capital-ltd/ownership` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=ownership
- `alpha://company/pennantpark-floating-rate-capital-ltd/financials` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=financials
- `alpha://company/pennantpark-floating-rate-capital-ltd/capital-structure` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=capital-structure
- `alpha://company/pennantpark-floating-rate-capital-ltd/compensation` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=compensation
- `alpha://company/pennantpark-floating-rate-capital-ltd/governance` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=governance
- `alpha://company/pennantpark-floating-rate-capital-ltd/shareholder-governance` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=shareholder-governance
- `alpha://company/pennantpark-floating-rate-capital-ltd/audit` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=audit
- `alpha://company/pennantpark-floating-rate-capital-ltd/legal` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=legal
- `alpha://company/pennantpark-floating-rate-capital-ltd/risk` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=risk
- `alpha://company/pennantpark-floating-rate-capital-ltd/cyber` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=cyber
- `alpha://company/pennantpark-floating-rate-capital-ltd/ai-governance` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=ai-governance
- `alpha://company/pennantpark-floating-rate-capital-ltd/agents` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=agents
- `alpha://company/pennantpark-floating-rate-capital-ltd/ecosystem` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=ecosystem
- `alpha://company/pennantpark-floating-rate-capital-ltd/events` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=events
- `alpha://company/pennantpark-floating-rate-capital-ltd/relationships` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=relationships
- `alpha://company/pennantpark-floating-rate-capital-ltd/assessments` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=assessments
- `alpha://company/pennantpark-floating-rate-capital-ltd/evidence` (contract): https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record&section=evidence

## Role modules

- NOT_ASSERTED

## Attention

- NO_RECORDS_FOUND

## Committee data

- NO_RECORDS_FOUND

## Leadership

- Adam K. Bernstein: Director. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:5. Valid from: 2007-01-01. Valid to: NOT_ASSERTED. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:document:0791554eebc35a8ae5d41433f0431d5cabfd03010438cb8566639bf8c7efddbe.
- Arthur H. Penn: Director. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:6. Valid from: 2007-01-01. Valid to: NOT_ASSERTED. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:document:0791554eebc35a8ae5d41433f0431d5cabfd03010438cb8566639bf8c7efddbe.
- Gerald Cummins: Director. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:7. Valid from: 2025-01-01. Valid to: NOT_ASSERTED. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:document:0791554eebc35a8ae5d41433f0431d5cabfd03010438cb8566639bf8c7efddbe.
- Jeffrey Flug: Director. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:8. Valid from: 2009-01-01. Valid to: NOT_ASSERTED. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:document:0791554eebc35a8ae5d41433f0431d5cabfd03010438cb8566639bf8c7efddbe.
- José A. Briones, Jr: Director. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:9. Valid from: 2022-01-01. Valid to: NOT_ASSERTED. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:document:0791554eebc35a8ae5d41433f0431d5cabfd03010438cb8566639bf8c7efddbe.
- Marshall Brozost: Director. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:10. Valid from: 2023-01-01. Valid to: NOT_ASSERTED. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:document:0791554eebc35a8ae5d41433f0431d5cabfd03010438cb8566639bf8c7efddbe.
- Samuel L. Katz: Director. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:11. Valid from: 2007-01-01. Valid to: NOT_ASSERTED. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:document:0791554eebc35a8ae5d41433f0431d5cabfd03010438cb8566639bf8c7efddbe.
- Gerald Cummins: Chief Compliance Officer. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:12. Valid from: 2025-12-17. Valid to: NOT_ASSERTED. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:document:03ee58c2a202a9edbb761efa62db74f0591308e6ddc983136d7e903014a04a5a.
- Richard T. Allorto, Jr.: Chief Financial Officer and Treasurer. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:leadership_role:13. Valid from: 2025-12-17. Valid to: NOT_ASSERTED. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:document:7683d4110ac37df75dad2e46e6738b630be34b42727444bcf99f183f5fd3c7e0.

## Roles

- PUBLISHED

## Governance

- NOT_ASSERTED

## Board committees

- PUBLISHED

## Financials

- NOT_ASSERTED

## Workforce

- NOT_ASSERTED

## Market and index context

- PUBLISHED

## Legal Name

- PennantPark Floating Rate Capital Ltd.. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:legal_name:1. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:349d425a327aa52fa1b81456c7bd4510d801c1ecc7740bfd7650b22997da2a55.

## Entity Status

- Public listing published. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:entity_status:3. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:349d425a327aa52fa1b81456c7bd4510d801c1ecc7740bfd7650b22997da2a55.

## Published Fact

- US. Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:published_fact:4. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:349d425a327aa52fa1b81456c7bd4510d801c1ecc7740bfd7650b22997da2a55.

## Security Listing

- PFLA (NYSE). Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:security_listing:14. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:349d425a327aa52fa1b81456c7bd4510d801c1ecc7740bfd7650b22997da2a55.
- PFLT (NYSE). Claim: alpha:claim:company:6eca7ef4-0d27-4f8b-8583-51750ddd62fe:security_listing:15. Publication: PUBLISHED. Verification: source_reported. Assertion: source_reported. Evidence: alpha:projection-evidence:349d425a327aa52fa1b81456c7bd4510d801c1ecc7740bfd7650b22997da2a55.

## Coverage states

| Field | Value |
| --- | --- |
| Identity | PUBLISHED |
| Business | PUBLISHED |
| Leadership | PUBLISHED |
| Board and committees | PUBLISHED |
| Governance | NOT_ASSERTED |
| Financials | NOT_ASSERTED |
| Workforce | NOT_ASSERTED |
| Ownership | NOT_ASSERTED |
| Ratings | NOT_PUBLISHED |
| Market and index context | PUBLISHED |

## Public sources

- alpha:projection-evidence:349d425a327aa52fa1b81456c7bd4510d801c1ecc7740bfd7650b22997da2a55: [Alpha canonical company public projection](https://www.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd).
- alpha:projection-evidence:document:0791554eebc35a8ae5d41433f0431d5cabfd03010438cb8566639bf8c7efddbe: [DEF 14A pflt-20251217.htm](https://www.sec.gov/Archives/edgar/data/1504619/000119312525322696/pflt-20251217.htm).
- alpha:projection-evidence:document:03ee58c2a202a9edbb761efa62db74f0591308e6ddc983136d7e903014a04a5a: [PFLT DEF 14A executive officers](https://www.sec.gov/Archives/edgar/data/1504619/000119312525322696/pflt-20251217.htm).
- alpha:projection-evidence:document:7683d4110ac37df75dad2e46e6738b630be34b42727444bcf99f183f5fd3c7e0: [PFLT DEF 14A executive officers](https://www.sec.gov/Archives/edgar/data/1504619/000119312525322696/pflt-20251217.htm).

## Rights

| Field | Value |
| --- | --- |
| public_retrieval | allowed |
| agent_retrieval | allowed |
| redistribution | not_granted |
| model_training | not_granted |
| commercial_use | not_specified |
| relationship_pathfinding | not_granted |
| direct_contact | not_granted |

## Limitations

- Absence of a leadership role, committee, or disclosure is not evidence that it does not exist.
- Only explicitly published canonical company identity and current confirmed public roles are included.
- Absence of a board, committee, executive, listing, or claim is not evidence that it does not exist.
- Public retrieval does not grant redistribution, model-training, direct-contact, or relationship-pathfinding rights.
- This Company Profile is an identity and evidence record, not an Alpha rating.

## Alternate representations

- [Canonical profile](https://registry.alpha.ac/companies/pennantpark-floating-rate-capital-ltd)
- [Public Markdown](https://registry.alpha.ac/companies/pennantpark-floating-rate-capital-ltd.md)
- [Public JSON](https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=record)
- [JSON-LD](https://registry.alpha.ac/api/public/companies/pennantpark-floating-rate-capital-ltd?format=jsonld)
- MCP resource: `alpha://companies/pennantpark-floating-rate-capital-ltd` at https://mcp.alpha.ac/mcp


## Connected governance records

Only explicitly published, rights-cleared records. Missing records do not establish absence, safety, or complete coverage.

## Critical-risk oversight

Snapshot as of 2026-10-17T09:58:00.938094+00:00; recorded 2026-10-17T09:58:00.938094+00:00. Every published assignment for this snapshot is listed.
Only explicitly reviewed, rights-cleared assignments in effect on the as-of date, in the company's own wording.
An assignment shows where oversight is placed, not whether it is effective. Missing records do not establish absence.