PHD

Pioneer Floating Rate Fund, Inc. PHD

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 254057 254057 2.05 % 31/01/2024
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 254057 254057 2.05 % 31/01/2024
Ft Trust Portfolios L.P.: Ft Trust Advisors L.P.: The Charger Corporation: Illinois USA 0 0 0 765873 765873 6.19 % 09/05/2023
Ft Trust Portfolios L.P.: Ft Trust Advisors L.P.: The Charger Corporation: Illinois USA 0 0 0 765873 765873 6.19 % 09/05/2023
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 1425986 1425986 11.52 % 27/01/2023
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 1425986 1425986 11.52 % 27/01/2023
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 1877849 1877849 15.17 % 06/07/2022
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 1877849 1877849 15.17 % 06/07/2022
Saba Capital Management GP, LLC Delaware 0 0 0 0 0 0 % 14/02/2022
Saba Capital Management GP, LLC Delaware 0 0 0 0 0 0 % 14/02/2022
Saba Capital Management, L.P. Delaware 0 0 0 0 0 0 % 14/02/2022
Boaz R. Weinstein United States 0 0 0 0 0 0 % 14/02/2022
Boaz R. Weinstein United States 0 0 0 0 0 0 % 14/02/2022
Saba Capital Management, L.P. Delaware 0 0 0 0 0 0 % 14/02/2022
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2638520 2638520 21.32 % 20/01/2022
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2638520 2638520 21.32 % 20/01/2022
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2584612 2584612 20.89 % 10/12/2021
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2584612 2584612 20.89 % 10/12/2021
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2534374 2534374 10.24 % 07/04/2021
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2534374 2534374 10.24 % 07/04/2021
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2342504 2342504 9.47 % 27/01/2021
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2342504 2342504 9.47 % 27/01/2021
Saba Capital Management, L.P. Delaware 0 7760261 0 776026 776026 6.3 % 31/12/2020
Saba Capital Management GP, LLC Delaware 0 7760263 0 776026 776026 6.3 % 31/12/2020
Saba Capital Management, L.P. Delaware 0 7760261 0 776026 776026 6.3 % 31/12/2020
Boaz R. Weinstein United States 0 7760262 0 776026 776026 6.3 % 31/12/2020
Saba Capital Management GP, LLC Delaware 0 7760263 0 776026 776026 6.3 % 31/12/2020
Boaz R. Weinstein United States 0 7760262 0 776026 776026 6.3 % 31/12/2020
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2602134 2602134 10.52 % 09/11/2020
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2602134 2602134 10.52 % 09/11/2020
Saba Capital Management, L.P. Delaware 0 28232851 0 2823285 2823285 11.4 % 14/02/2020
Saba Capital Management GP, LLC Delaware 0 28232853 0 2823285 2823285 11.4 % 14/02/2020
Boaz R. Weinstein United States 0 28232852 0 2823285 2823285 11.4 % 14/02/2020
Saba Capital Management, L.P. Delaware 0 28232851 0 2823285 2823285 11.4 % 14/02/2020
Boaz R. Weinstein United States 0 28232852 0 2823285 2823285 11.4 % 14/02/2020
Saba Capital Management GP, LLC Delaware 0 28232853 0 2823285 2823285 11.4 % 14/02/2020
RELATIVE VALUE PARTNERS GROUP, LLC TIN DELAWARE 1355537 0 1355537 0 1355537 5.47 % 13/02/2020
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3923602 3923602 15.86 % 10/02/2020
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3923602 3923602 15.86 % 10/02/2020
Boaz R. Weinstein United States 0 2588058 0 2588058 2588058 10.46 % 25/10/2019
Boaz R. Weinstein United States 0 2588058 0 2588058 2588058 10.46 % 25/10/2019
Saba Capital Management, L.P. Delaware 0 2588058 0 2588058 2588058 10.46 % 25/10/2019
Saba Capital Management, L.P. Delaware 0 2588058 0 2588058 2588058 10.46 % 25/10/2019
Boaz R. Weinstein United States 0 1380425 0 1380425 1380425 5.58 % 12/04/2019
Saba Capital Management, L.P. Delaware 0 1380425 0 1380425 1380425 5.58 % 12/04/2019
Boaz R. Weinstein United States 0 1380425 0 1380425 1380425 5.58 % 12/04/2019
Saba Capital Management, L.P. Delaware 0 1380425 0 1380425 1380425 5.58 % 12/04/2019
RELATIVE VALUE PARTNERS GROUP, LLC TIN DELAWARE 1405797 0 1405797 0 1405797 5.68 % 11/02/2019
Ft Trust Portfolios L.P.: Ft Trust Advisors L.P.: The Charger Corporation: Illinois USA 0 0 0 5055109 5055109 20.43 % 11/02/2019
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4702471 4702471 19.01 % 12/01/2018
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4702471 4702471 19.01 % 12/01/2018
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4611623 4611623 18.64 % 09/11/2017
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4611623 4611623 18.64 % 09/11/2017
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3246970 3246970 13.13 % 13/01/2017
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3246970 3246970 13.13 % 13/01/2017
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3199483 3199483 12.93 % 19/01/2016
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3199483 3199483 12.93 % 19/01/2016
Guggenheim Funds Distributors, LLC Delaware 0 1063402 0 1063402 0 4.3 % 17/02/2015
Guggenheim Partners Investment Management Holdings, LLC Delaware 0 1063402 0 1063402 0 4.3 % 17/02/2015
Guggenheim Funds Services Holdings, LLC Delaware 0 1063402 0 1063402 0 4.3 % 17/02/2015
Guggenheim Funds Services, LLC Delaware 0 1063402 0 1063402 0 4.3 % 17/02/2015
GI Holdco II, LLC Delaware 0 1063402 0 1063402 0 4.3 % 17/02/2015
GI Holdco, LLC Delaware 0 1063402 0 1063402 0 4.3 % 17/02/2015
Guggenheim Capital, LLC Delaware 0 1063402 0 1063402 0 4.3 % 17/02/2015
Guggenheim Partners, LLC Delaware 0 1063402 0 1063402 0 4.3 % 17/02/2015
Ft Trust Portfolios L.P.: Ft Trust Advisors L.P.: The Charger Corporation: Illinois USA 0 0 0 4352239 4352239 17.59 % 09/02/2015
Guggenheim Partners, LLC Delaware 0 1675241 0 1675241 0 6.62 % 13/02/2014
GI Holdco II, LLC Delaware 0 1675241 0 1675241 0 6.62 % 13/02/2014
Guggenheim Funds Services Holdings, LLC Delaware 0 1675241 0 1675241 0 6.62 % 13/02/2014
Guggenheim Partners Investment Management Holdings, LLC Delaware 0 1675241 0 1675241 0 6.62 % 13/02/2014
Guggenheim Funds Distributors, LLC Delaware 0 1675241 0 1675241 0 6.62 % 13/02/2014
Guggenheim Funds Services, LLC Delaware 0 1675241 0 1675241 0 6.62 % 13/02/2014
Guggenheim Capital, LLC Delaware 0 1675241 0 1675241 0 6.62 % 13/02/2014
GI Holdco, LLC Delaware 0 1675241 0 1675241 0 6.62 % 13/02/2014
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4939181 4939181 19.99 % 04/02/2014
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4939181 4939181 19.99 % 04/02/2014
Citigroup Global Markets Holdings Inc. New York 0 0 0 0 0 0 % 10/01/2014
Citigroup Global Markets Inc. New York 0 0 0 0 0 0 % 10/01/2014
Citigroup Financial Products Inc. Delaware 0 0 0 0 0 0 % 10/01/2014
Citigroup Inc. Delaware 0 0 0 0 0 0 % 10/01/2014
Guggenheim Funds Services Holdings, LLC Delaware 0 1945192 0 1945192 0 7.88 % 14/02/2013
GPFT Holdco, LLC Delaware 0 1945192 0 1945192 0 7.88 % 14/02/2013
Claymore Securities Defined Portfolios, Series 487 Illinois 0 1945192 0 1945192 0 7.88 % 14/02/2013
GP Holdco, LLC Delaware 0 1945192 0 1945192 0 7.88 % 14/02/2013
Guggenheim Partners, LLC Delaware 0 1945192 0 1945192 0 7.88 % 14/02/2013
Guggenheim Capital, LLC Delaware 0 1945192 0 1945192 0 7.88 % 14/02/2013
Guggenheim Funds Distributors, LLC Delaware 0 1945192 0 1945192 0 7.88 % 14/02/2013
Guggenheim Funds Services, LLC Delaware 0 1945192 0 1945192 0 7.88 % 14/02/2013
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 5489951 5489951 22.28 % 29/01/2013
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 5489951 5489951 22.28 % 29/01/2013
Ft Trust Portfolios L.P.: Ft Trust Advisors L.P.: The Charger Corporation: Illinois USA 0 0 0 4780449 4780449 19.5 % 13/02/2012
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 5430982 5430982 22.2 % 18/01/2011
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 5430982 5430982 22.2 % 18/01/2011
UBS AG, for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two-wholly owned subsidiaries of UBS AG to which UBS AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients. Switzerland 0 1593 0 1593 1593 21.83 % 14/01/2011
Bank of America, N.A. United States 0 172 0 172 172 2.4 % 12/03/2010
Bank of America Corporation Delaware 0 3920 0 3920 3920 53.7 % 12/03/2010
Merrill Lynch, Pierce, Fenner & Smith, Inc. Delaware 91 0 91 0 91 1.2 % 12/03/2010
Blue Ridge Investments, L.L.C. Delaware 3657 0 3657 0 3657 50.1 % 12/03/2010
Bank of America, N.A. United States 0 0 3829 3829 26.2 % 20/01/2010
Bank of America Corporation Delaware 0 0 7577 7577 51.9 % 20/01/2010
Merrill Lynch, Pierce, Fenner & Smith, Inc. Delaware 0 0 3748 3748 25.7 % 20/01/2010
The Charger Corporation Illinois, U.S.A. 4678508 0 4678508 4678508 19.2 % 08/01/2010
The Charger Corporation Illinois, U.S.A. 4678508 0 4678508 4678508 19.2 % 08/01/2010
First Trust Portfolios L.P. Illinois, U.S.A. 4678508 0 4678508 4678508 19.2 % 08/01/2010
First Trust Advisors L.P. Illinois, U.S.A. 4678508 0 4678508 4678508 19.2 % 08/01/2010
First Trust Portfolios L.P. Illinois, U.S.A. 4678508 0 4678508 4678508 19.2 % 08/01/2010
First Trust Advisors L.P. Illinois, U.S.A. 4678508 0 4678508 4678508 19.2 % 08/01/2010

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District