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PennantPark Investment Corporation (PNNT)

USD3.42 -0.02 (-0.58%)
US NYSE Financial Services Asset Management
Address 1691 Michigan Avenue 33139
Miami Beach, FL, US
CEO Arthur Howard Penn
IPO 2007-04-19
CIK 1383414 ISIN US7080621045

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Also trades on NASDAQ Global Select · PNNTG (USD) New York Stock Exchange · PNNT (USD)
Description

PennantPark Investment Corporation operates as a Business Development Company (BDC) and a private equity fund. Its primary focus is on providing direct and mezzanine capital to middle-market companies situated across the United States. The firm deploys capital through a diverse range of instruments, including senior secured loans, mezzanine debt, and various equity stakes (such as common and preferred stock, warrants, and options). It also engages in subordinated debt, first-lien debt, distressed debt securities, and participates in private equity co-investments. PennantPark casts a wide net across numerous sectors. Its portfolio spans traditional industries such as manufacturing, distribution, aerospace, and basic materials; service-oriented sectors like IT, financial, business, and environmental services; and growth areas including technology, telecommunications, healthcare, and energy. It also considers opportunities in real estate, consumer products, media, education, and leisure, among others. The fund typically commits between $10 million and $100 million per portfolio company, covering various layers of the capital structure. For its target companies, it generally looks for an EBITDA ranging from $10 million to $50 million. While the overall investment can be up to $100 million, its specific mezzanine loans, senior secured loans, and similar debt instruments usually fall within the $15 million to $50 million range. Furthermore, PennantPark may engage in non-controlling equity and debt positions.

News Sentiment (7d)
79 Positive

Based on only 1 article — low confidence

Market Cap & Enterprise Value
Merger & Acquisition History

No mergers or acquisitions recorded for this company.

Technical Outlook
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Signal Summary Loading…
Indicator 1D1W2W3W1M
Each column is computed on that timeframe's candles (1D = daily, 1W ≈ weekly, 1M ≈ monthly), not on the same last day. ▲ bullish · ▼ bearish · — neutral. The Net row counts signals per column; hover any cell (or the indicator name) to see the exact rule behind it.
Day Score & sub-scores
Statistical fingerprint & regime detail
Conditional historical analysis
Customize analysis (advanced)
Indicative levels generated algorithmically. Not financial advice.
Risk Profile
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Price Chart
Averages
Trend
Price
Levels
Draw
USD3.42 -0.02 (-0.58%)
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Volume Profile
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Liquidity & share structure
Average Volume
802.6K
Beta
0.60
Float Shares
63.17M
Free Float %
96.7%
Price Performance
1D5D1M3M6M YTD1Y3Y5Y10YMax
-9.41% -13.93% -7.17% -20.08% -36.79% -30.54% -37.65% -20.84% -33.23% -36.01% -71.25%
Rolling Volatility
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Drawdown
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Relative Strength
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Monthly Returns Heatmap
From To
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Annual Monthly Returns
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Daily Returns Distribution
vs.
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Revenue flow

Revenue by geography

Revenue by segment

From To

Revenue composition

From To

By product

By geography

Financial Statements

Income Statement

Balance Sheet

Cash Flow Statement

Key Metrics

Financial Ratios

Employees

Financial Growth (CAGR)

Market Data

Analyst Consensus (15 ratings, all time) Hold
Price Targets & DCF
Current price
3.42
Low 5.50 +60.8%
Consensus 6.17 +80.4%
Median 6.00 +75.4%
High 7.00 +104.7%
Ratings Trend (MoM) 13% Bullish
Rating 2026-05 Change
Strong Buy 0 0
Buy 1 0
Hold 6 0
Sell 0 0
Strong Sell 1 0
Price Target Summary
Period # Analysts Avg Target
Last Month
Last Quarter 1
6.00
+75.4%
Last Year 3
6.17
+80.4%
All Time 4
6.13
+79.2%
Quality scores
Altman Z-Score
-0.53
Distress
Piotroski F-Score
7 / 9
Strong
MOAT Score
4 / 10
Developing
Composite Rating
B-
Overall Score
2 / 5
Medium
DCF Score
1 / 5
Low
ROE Score
2 / 5
Medium
ROA Score
5 / 5
High
D/E Score
1 / 5
Low
P/E Score
2 / 5
Medium
P/Book Score
3 / 5
Medium
Operational MOAT
✗ Below peers
  • Revenue growth Asset Management: +17.4%
    -19.9% Q1'26: +10.1% (vs Q1'25)
  • EPS growth Asset Management: +22.7%
    -33.3% Q1'26: -125.5% (vs Q1'25)
  • FCF margin FCF growth · Asset Management: +27.7%
    +25.1% Q1'26: +126.9% (vs Q1'25)
  • EBIT margin Asset Management: +50.6%
    +42.5% Q1'26: +25.4% (vs Q1'25)
  • ROIC Asset Management: +6.5%
    +2.8% Q1'26: +0.0% (vs Q1'25)
  • Share dilution Asset Management: +0.0%
    +0.1% Q1'26: -2.0% (vs Q1'25)
  • Debt / EBITDA Net debt/EBITDA · Asset Management: -0.03×
    20.94× Q1'26: 8,968.81× (vs Q1'25)
Valuation Multiples From To
Price Forecast (3Y) From To
Model
Adjust
P/E
Theoretical Return — If Invested Today

* These projections are based on analyst consensus estimates and user-defined valuation multiples. This table is for informational purposes only and does not constitute a recommendation to buy or sell any security. Past performance is not indicative of future results.

DCF Interactive Model (UFCF)
Projection years:
Market assumptions
WACC components (optional)
Ke (Cost of Equity) = Rf + β (0.65) × ERP
WACC = 30% × Ke + 70% × Kd (5.6%) × (1−t)

Modifying these values recalculates WACC automatically.

Business assumptions
Current price: 3.42
Enterprise Value: Equity Value: Terminal Value: TV as % of EV:

Base values reflect the latest available data for this company and market conditions.

Consensus Estimates
Metric Sep 2009
actual
Sep 2010
actual
Sep 2011
actual
Sep 2012
actual
Sep 2013
actual
Sep 2014
actual
Sep 2015
actual
Sep 2016
actual
Sep 2017
actual
Sep 2018
actual
Sep 2019
actual
Sep 2020
actual
Sep 2021
actual
Sep 2022
actual
Sep 2023
actual
Sep 2024
actual
Sep 2025
actual
Sep 2026
6 Rev. Ana.
6 EPS Ana.
Sep 2027
6 Rev. Ana.
7 EPS Ana.
Sep 2028
2 Rev. Ana.
5 EPS Ana.
Revenue
40.17M
est: 46.15M (-13.0%)
21.29M
est: 65.45M (-67.5%)
15.97M
est: 92.47M (-82.7%)
76.26M
est: 132.40M (-42.4%)
115.88M
est: 145.00M (-20.1%)
145.47M
est: 102.33M (+42.2%)
21.87M
est: 162.45M (-86.5%)
49.32M
est: 145.66M (-66.1%)
94.51M
est: 125.95M (-25.0%)
73.70M
est: 107.25M (-31.3%)
60.06M
est: 112.70M (-46.7%)
22.31M
est: 102.35M (-78.2%)
193.82M
est: 79.12M (+145.0%)
23.80M
est: 103.18M (-76.9%)
19.24M
est: 149.37M (-87.1%)
103.70M
est: 143.12M (-27.5%)
83.08M
est: 123.65M (-32.8%)
106.99M
103.09M – 111.01M
-13.5% YoY
104.63M
99.18M – 112.95M
-2.2% YoY
105.00M
98.88M – 111.91M
+0.4% YoY
EBITDA
est: 20.31M (-100.0%)
est: 34.44M (-100.0%)
est: 7.39M (-100.0%)
est: 96.82M (-100.0%)
91.72M
est: 125.56M (-26.9%)
111.06M
est: 77.27M (+43.7%)
-10.25M
est: -2.45M (-318.8%)
21.09M
est: 118.01M (-82.1%)
63.41M
est: 77.44M (-18.1%)
47.71M
est: 65.66M (-27.3%)
17.12M
est: 71.04M (-75.9%)
-14.77M
est: 84.98M (-117.4%)
167.22M
est: 34.82M (+380.2%)
-16.86M
est: 45.41M (-137.1%)
-26.14M
est: 2.39M (-1,193.3%)
51.95M
est: 2.29M (+2,167.9%)
35.29M
est: 1.98M (+1,683.2%)
1.71M
1.65M – 1.78M
-13.5% YoY
1.67M
1.59M – 1.81M
-2.2% YoY
1.68M
1.58M – 1.79M
+0.4% YoY
EBIT
est: 23.92M (-100.0%)
est: 36.50M (-100.0%)
est: 52.63M (-100.0%)
est: 44.86M (-100.0%)
91.72M
est: 85.61M (+7.1%)
111.06M
est: 60.41M (+83.8%)
-10.25M
est: 95.91M (-110.7%)
21.09M
est: 86.00M (-75.5%)
63.41M
est: 74.36M (-14.7%)
47.71M
est: 63.32M (-24.6%)
17.12M
est: 66.54M (-74.3%)
-14.77M
est: 60.43M (-124.4%)
167.22M
est: 34.97M (+378.1%)
-16.86M
est: 41.57M (-140.6%)
-26.14M
est: 2.39M (-1,193.3%)
51.95M
est: 2.29M (+2,167.9%)
35.29M
est: 1.98M (+1,683.2%)
1.71M
1.65M – 1.78M
-13.5% YoY
1.67M
1.59M – 1.81M
-2.2% YoY
1.68M
1.58M – 1.79M
+0.4% YoY
Net Income
35.80M
est: 75.91M (-52.8%)
16.54M
est: 30.51M (-45.8%)
10.26M
est: 1.28M (+704.8%)
63.35M
est: 83.74M (-24.3%)
91.78M
est: 108.16M (-15.1%)
110.98M
est: 53.74M (+106.5%)
-10.25M
est: -30.71M (+66.6%)
18.74M
est: 87.80M (-78.7%)
61.71M
est: 50.34M (+22.6%)
47.71M
est: 42.09M (+13.4%)
15.92M
est: 32.30M (-50.7%)
-15.97M
est: 53.15M (-130.0%)
166.62M
est: 107.67M (+54.8%)
-24.74M
est: 44.40M (-155.7%)
-33.81M
est: 59.95M (-156.4%)
48.85M
est: 59.93M (-18.5%)
32.73M
est: 48.07M (-31.9%)
37.22M
32.81M – 37.85M
-22.6% YoY
36.83M
33.77M – 41.41M
-1.0% YoY
30.69M
28.37M – 33.31M
-16.7% YoY
SGA
4.37M
est: 4.22M (+3.5%)
4.66M
est: 4.75M (-2.0%)
5.48M
est: 7.26M (-24.5%)
7.24M
est: 8.32M (-13.0%)
6.02M
est: 6.13M (-1.8%)
5.81M
est: 6.18M (-5.9%)
5.76M
est: 6.01M (-4.2%)
7.17M
est: 7.26M (-1.2%)
6.24M
est: 5.87M (+6.4%)
4.59M
est: 4.57M (+0.5%)
4.75M
est: 5.31M (-10.5%)
6.83M
est: 7.44M (-8.2%)
4.10M
est: 3.40M (+20.5%)
3.89M
est: 2.44M (+59.2%)
5.68M
est: 16.76M (-66.1%)
6.56M
est: 16.06M (-59.1%)
1.49M
est: 13.88M (-89.2%)
12.01M
11.57M – 12.46M
-13.5% YoY
11.74M
11.13M – 12.68M
-2.2% YoY
11.78M
11.10M – 12.56M
+0.4% YoY
EPS
1.70
est: 1.06 (+60.4%)
0.56
est: 1.10 (-49.1%)
0.24
est: 1.11 (-78.4%)
1.20
est: 1.20 (+0.0%)
1.39
est: 1.11 (+25.2%)
1.66
est: 1.19 (+39.5%)
-0.14
est: 1.10 (-112.7%)
0.26
est: 1.04 (-74.9%)
0.87
est: 0.83 (+4.6%)
0.68
est: 0.74 (-8.3%)
0.24
est: 0.71 (-66.2%)
-0.24
est: 0.63 (-138.3%)
2.49
est: 0.52 (+380.9%)
-0.38
est: 0.69 (-154.8%)
-0.52
est: 0.92 (-156.6%)
0.75
est: 0.91 (-17.9%)
0.50
est: 0.73 (-31.6%)
0.53
0.50 – 0.58
-27.3% YoY
0.57
0.52 – 0.63
+6.5% YoY
0.47
0.43 – 0.51
-16.9% YoY
Recent Grade Changes (3M)
Date Firm Previous New Grade Action
2026-04-16 Keefe, Bruyette & Woods Underperform Underperform Maintain
Historical Ratings (3M)
Date Rating Overall DCF ROE ROA D/E P/E P/B
2026-05-07 B- 2/5 1/5 2/5 5/5 1/5 2/5 3/5
2026-05-06 B- 2/5 1/5 2/5 5/5 1/5 2/5 3/5
2026-05-05 B- 3/5 1/5 2/5 5/5 1/5 2/5 4/5
2026-05-04 B- 3/5 1/5 2/5 5/5 1/5 2/5 4/5
2026-05-01 B- 2/5 1/5 2/5 5/5 1/5 2/5 3/5
2026-04-30 B- 2/5 1/5 2/5 5/5 1/5 2/5 3/5
2026-04-29 B- 2/5 1/5 2/5 5/5 1/5 2/5 3/5
2026-04-28 B- 2/5 1/5 2/5 5/5 1/5 2/5 3/5
2026-04-27 B- 2/5 1/5 2/5 5/5 1/5 2/5 3/5
2026-04-24 B- 2/5 1/5 2/5 5/5 1/5 2/5 3/5
2026-04-23 B- 3/5 1/5 3/5 5/5 1/5 2/5 3/5
2026-04-22 B- 3/5 1/5 3/5 5/5 1/5 2/5 3/5
2026-04-21 B- 3/5 1/5 3/5 5/5 1/5 2/5 3/5
2026-04-20 B- 3/5 1/5 3/5 5/5 1/5 2/5 3/5
2026-04-17 B- 3/5 1/5 3/5 5/5 1/5 2/5 3/5
2026-04-16 B- 3/5 1/5 3/5 5/5 1/5 2/5 3/5
2026-04-15 B 3/5 1/5 3/5 5/5 1/5 3/5 4/5

Owner Earnings

Owner's Earnings (history)

Owner's Earnings history not available.

Owner alignment
Owner's Earnings TTM
OE per share TTM
Owner's Yield
Maintenance CapEx ratio
Maint CapEx / Avg PPE

Ownership Overview

Ownership breakdown
At a glance
Institutional holders
24
Total invested
2.88M
Insider transactions (90d)
0
Beneficial owners (>5%)
21
Beneficial owners (>5%)
# Reporting person Amount owned % of class Sole voting Shared voting Sole dispositive Shared dispositive Type Citizenship Filing date SEC filing
1 Ares Holdco LLC 5.24M 7.90% 5.24M 5.24M OO Delaware 2022-04-14
2 Ares Management Corporation 5.24M 7.90% 5.24M 5.24M CO Delaware 2022-04-14
3 Ares Management GP LLC 5.24M 7.90% 5.24M 5.24M OO Delaware 2022-04-14
4 Ares Management Holdings L.P. 5.24M 7.90% 5.24M 5.24M PN Delaware 2022-04-14
5 Ares Management LLC 5.24M 7.90% 5.24M 5.24M OO Delaware 2022-04-14
6 Ares Partners Holdco LLC 5.24M 7.90% 5.24M 5.24M OO Delaware 2022-04-14
7 Ares Voting LLC 5.24M 7.90% 5.24M 5.24M OO Delaware 2022-04-14
8 (1) BlackRock, Inc. 3.28M 4.90% 3.04M 3.28M HC Delaware 2014-02-07
9 04-2683227 2.47M 9.58% 1.65M IA Massachusetts 2010-02-12
10 Asset Management business group of UBS AG (see Item 7) 2.30M 10.90% BK, HC Switzerland 2008-02-11
11 UBS Americas Inc. 2.29M 10.90% HC Delaware 2008-02-11
12 UBS Global Asset Management (Americas) Inc. 2.21M 10.50% IA Citizenship or Place of Organization - Delaware 2008-02-11
13 Ares Enhanced Loan Investment Strategy Advisor IV GP, LLC 2.20M 3.30% 2.20M 2.20M OO Delaware 2022-04-14
14 Ares Enhanced Loan Investment Strategy Advisor IV, L.P. 2.20M 3.30% 2.20M 2.20M PN Delaware 2022-04-14
15 Ares Capital Management III LLC 2.00M 3.00% 2.00M 2.00M OO Delaware 2022-04-14
16 Credit Suisse 1.49M 7.10% 1.49M BK, HC Switzerland 2008-02-14
17 20-5785181 1.40M 7.00% 1.40M 1.40M IV United States-DE 2008-03-03
18 Ares Enhanced Credit Opportunities Investment Management II, LLC 1.04M 1.60% 1.04M 1.04M OO Delaware 2022-04-14
19 Ares Enhanced Credit Opportunities Master Fund II, Ltd. 1.04M 1.60% 1.04M 1.04M FI Cayman Islands 2022-04-14
20 Ares Income Opportunity Fund, L.P. 982.2K 1.50% 982.2K 982.2K PN Delaware 2022-04-14
21 Ares Multi-Asset Credit Strategies Fund LP 535.6K 0.80% 535.6K 535.6K FI Cayman Islands 2022-04-14

Institutional Activity (13F)

Institutional ownership trend From To
13F snapshot — 2026 Q1
Investors holding
24
-94 vs prev Q
New positions
6
Closed positions
98
Increased
9
Reduced
7
Put/Call ratio
0.00
Calls held
Puts held
Top institutional holders
# Investor Shares / Δ Mkt value / Δ Own% / Δ Weight% / Δ Avg px / Perf. Hold / Status
1 150.1K +150.1K (+100.0%) 894.55M +894.6M (+100.0%) 0.23% +0.235 pp 0.53% +0.528 pp USD5.96 +0.0% 1 qtrs NEW
2 INVESCO LTD. 1.84M +— (+0.0%) 10.95M -1.4M (-11.2%) 2.87% +0.059 pp 0.00% 0.000 pp USD5.90 +1.0% 13 qtrs
3 LSV ASSET MANAGEMENT 1.57M -34.1K (-2.1%) 9.38M -1.4M (-13.1%) 2.46% -0.002 pp 0.02% -0.003 pp USD7.50 -20.5% 37 qtrs
4 TWO SIGMA ADVISERS, LP 1.23M +31.1K (+2.6%) 7.33M -714.3K (-8.9%) 1.92% +0.087 pp 0.01% -0.002 pp USD6.89 -13.5% 50 qtrs
5 TWO SIGMA INVESTMENTS, LP 1.14M +254.5K (+28.9%) 6.77M +855.9K (+14.5%) 1.78% +0.426 pp 0.01% +0.001 pp USD6.35 -6.1% 68 qtrs
6 MORGAN STANLEY 729.6K +277.4K (+61.3%) 4.35M +1.3M (+43.3%) 1.14% +0.448 pp 0.00% +0.000 pp USD6.40 -6.9% 51 qtrs
7 BLACKROCK, INC. 567.0K -51.6K (-8.3%) 3.38M -771.6K (-18.6%) 0.89% -0.061 pp 0.00% +0.000 pp USD6.92 -13.9% 6 qtrs
8 TRUVESTMENTS CAPITAL LLC 492.8K -30.5K (-5.8%) 2.94M -574.2K (-16.4%) 0.77% -0.031 pp 0.53% -0.101 pp USD6.93 -14.0% 8 qtrs
9 LEGAL & GENERAL GROUP PLC 469.7K +66.7K (+16.5%) 2.80M +90.6K (+3.3%) 0.73% +0.117 pp 0.00% +0.000 pp USD6.35 -6.1% 67 qtrs
10 ADVISORS ASSET MANAGEMENT, INC. 465.6K -84.8K (-15.4%) 2.78M -918.5K (-24.9%) 0.73% -0.115 pp 0.05% -0.016 pp USD6.61 -9.8% 62 qtrs
11 UNIVERSAL- BETEILIGUNGS- UND SERVICEGESELLSCHAFT MBH 348.8K +— (+0.0%) 2.08M -261.6K (-11.2%) 0.53% +0.000 pp 0.00% -0.001 pp USD7.08 -15.8% 5 qtrs
12 NEWEDGE WEALTH, LLC 319.4K +63.9K (+25.0%) 1.90M +245.7K (+14.8%) 0.49% +0.098 pp 0.02% -0.002 pp USD6.72 -11.3% 9 qtrs
13 LIDO ADVISORS, LLC 246.3K +— (+0.0%) 1.65M +— (+0.0%) 0.39% +0.008 pp 0.00% 0.000 pp USD6.91 -13.7% 9 qtrs
14 ROCKEFELLER CAPITAL MANAGEMENT L.P. 195.7K -1.5K (-0.8%) 1.17M -156.8K (-11.9%) 0.31% +0.004 pp 0.00% -0.001 pp USD6.78 -12.1% 8 qtrs
15 SUNBELT SECURITIES, INC. 175.8K +71.5K (+68.6%) 1.05M +348.2K (+49.8%) 0.27% +0.115 pp 0.07% +0.022 pp USD6.41 -7.0% 15 qtrs
16 TEXAS CAPITAL BANK WEALTH MANAGEMENT SERVICES INC 152.0K +— (+0.0%) 906.1K -114.0K (-11.2%) 0.24% +0.005 pp 0.05% -0.032 pp USD5.65 +5.5% 20 qtrs
17 HENNION & WALSH ASSET MANAGEMENT, INC. 150.1K -160.3K (-51.6%) 894.6K -1.2M (-57.1%) 0.23% -0.246 pp 0.03% -0.045 pp USD6.80 -12.4% 20 qtrs
18 JANE STREET GROUP, LLC 137.7K +137.7K (+100.0%) 820.4K +820.4K (+100.0%) 0.22% +0.215 pp 0.00% +0.000 pp USD5.96 +0.0% 1 qtrs NEW
19 JANNEY MONTGOMERY SCOTT LLC 127.5K -3.3K (-2.5%) 760.0K -117.0K (-13.3%) 0.20% -0.001 pp 0.00% 0.000 pp USD7.72 -22.8% 62 qtrs
20 VIRTUS INVESTMENT ADVISERS, INC. 123.2K -16.0K (-11.5%) 734.1K -199.4K (-21.4%) 0.19% -0.021 pp 0.20% -0.068 pp USD7.03 -15.2% 4 qtrs
21 XTX TOPCO LTD 114.4K +114.4K (+100.0%) 681.9K +681.9K (+100.0%) 0.18% +0.179 pp 0.02% +0.018 pp USD5.96 +0.0% 1 qtrs NEW
22 KOVACK ADVISORS, INC. 88.2K +16.5K (+23.0%) 525.9K +44.4K (+9.2%) 0.14% +0.028 pp 0.02% -0.021 pp USD6.31 -5.5% 20 qtrs
23 GREAT WEST LIFE ASSURANCE CO /CAN/ 83.1K +326.0 (+0.4%) 495.0K -59.0K (-10.6%) 0.13% +0.003 pp 0.00% +0.000 pp USD6.40 -6.9% 32 qtrs
24 STERNECK CAPITAL MANAGEMENT, LLC 77.7K +9.9K (+14.6%) 463.3K +8.2K (+1.8%) 0.12% +0.015 pp 0.21% -0.003 pp USD7.01 -15.0% 47 qtrs
25 CITADEL ADVISORS LLC 73.4K +73.4K (+100.0%) 437.4K +437.4K (+100.0%) 0.11% +0.115 pp 0.00% +0.000 pp USD5.96 +0.0% 1 qtrs NEW
26 ABBOT FINANCIAL MANAGEMENT, INC. 73.3K +4.0 (+0.0%) 437.0K -55.0K (-11.2%) 0.11% +0.002 pp 0.18% -0.029 pp USD6.82 -12.6% 31 qtrs
27 GARNER ASSET MANAGEMENT CORP 72.5K -16.0K (-18.1%) 432.4K -161.7K (-27.2%) 0.11% -0.025 pp 0.17% -0.074 pp USD5.90 +1.0% 35 qtrs
28 GALLAGHER CAPITAL ADVISORS, LLC 70.8K +70.8K (+100.0%) 422.1K +422.1K (+100.0%) 0.11% +0.111 pp 0.27% +0.273 pp USD5.96 +0.0% 1 qtrs NEW
29 DENALI ADVISORS LLC 70.8K -8.0K (-10.2%) 422.0K -107.0K (-20.2%) 0.11% -0.012 pp 0.05% -0.013 pp USD6.99 -14.7% 6 qtrs
30 RAYMOND JAMES FINANCIAL INC 68.6K -1.1K (-1.6%) 408.7K -58.8K (-12.6%) 0.11% +0.001 pp 0.00% +0.000 pp USD7.08 -15.8% 5 qtrs
31 FOUNDERS FINANCIAL ALLIANCE, LLC 66.3K +662.0 (+1.0%) 395.1K -45.3K (-10.3%) 0.10% +0.003 pp 0.07% -0.008 pp USD6.84 -12.9% 10 qtrs
32 BANK OF AMERICA CORP /DE/ 58.7K -29.3K (-33.3%) 350.1K -240.7K (-40.7%) 0.09% -0.043 pp 0.00% +0.000 pp USD6.88 -13.4% 52 qtrs
33 ADVISOR GROUP HOLDINGS, INC. 54.4K -15.4K (-22.1%) 324.0K -175.6K (-35.1%) 0.09% -0.022 pp 0.00% 0.000 pp USD5.69 +4.7% 24 qtrs
34 SUSQUEHANNA INTERNATIONAL GROUP, LLP 52.6K +10.5K (+25.0%) 313.3K +31.2K (+11.0%) 0.08% +0.018 pp 0.00% +0.000 pp USD6.65 -10.4% 8 qtrs
35 FREESTONE CAPITAL HOLDINGS, LLC 49.3K +49.3K (+100.0%) 293.8K +293.8K (+100.0%) 0.08% +0.076 pp 0.01% +0.009 pp USD5.96 +0.0% 1 qtrs NEW
36 ADVISORS CAPITAL MANAGEMENT, LLC 48.0K -33.7K (-41.2%) 286.2K -262.0K (-47.8%) 0.07% -0.052 pp 0.00% -0.003 pp USD7.24 -17.7% 48 qtrs
37 COMMONWEALTH EQUITY SERVICES, LLC 47.4K +749.0 (+1.6%) 282.5K -30.5K (-9.7%) 0.07% +0.003 pp 0.00% +0.000 pp USD6.91 -13.7% 8 qtrs
38 NORTHERN TRUST CORP 46.3K -3.7K (-7.5%) 276.1K -59.8K (-17.8%) 0.07% -0.004 pp 0.00% +0.000 pp USD6.88 -13.4% 16 qtrs
39 LPL FINANCIAL LLC 45.3K -21.5K (-32.2%) 270.1K -178.1K (-39.7%) 0.07% -0.031 pp 0.00% 0.000 pp USD6.58 -9.4% 42 qtrs
40 WELLS FARGO & COMPANY/MN 43.4K +19.3K (+80.1%) 258.4K +96.8K (+59.9%) 0.07% +0.031 pp 0.00% +0.000 pp USD6.51 -8.4% 57 qtrs
41 THRIVENT FINANCIAL FOR LUTHERANS 43.2K +43.2K (+100.0%) 257.0K +257.0K (+100.0%) 0.07% +0.066 pp 0.00% +0.001 pp USD5.96 +0.0% 10 qtrs
42 UBS GROUP AG 41.8K -167.9K (-80.1%) 249.2K -1.2M (-82.3%) 0.07% -0.256 pp 0.00% 0.000 pp USD6.80 -12.4% 45 qtrs
43 CAXTON ASSOCIATES LLP 41.6K +— (+0.0%) 248.0K -31.2K (-11.2%) 0.07% +0.001 pp 0.00% -0.002 pp USD7.03 -15.2% 4 qtrs
44 QUANTBOT TECHNOLOGIES LP 41.2K +22.0K (+114.3%) 245.4K +116.5K (+90.3%) 0.06% +0.034 pp 0.01% +0.005 pp USD6.37 -6.4% 3 qtrs
45 RONALD BLUE TRUST, INC. 41.0K +41.0K (+100.0%) 244.4K +244.4K (+100.0%) 0.06% +0.063 pp 0.00% +0.003 pp USD5.96 +0.0% 1 qtrs NEW
46 ESSEX FINANCIAL SERVICES, INC. 40.7K +— (+0.0%) 242.5K -30.5K (-11.2%) 0.06% +0.000 pp 0.01% -0.003 pp USD6.88 -13.4% 19 qtrs
47 BREVAN HOWARD CAPITAL MANAGEMENT LP 39.2K -25.5K (-39.4%) 233.1K -201.6K (-46.4%) 0.06% -0.038 pp 0.00% +0.001 pp USD6.79 -12.2% 3 qtrs
48 SIGNATUREFD, LLC 38.9K +148.0 (+0.4%) 232.0K -28.2K (-10.8%) 0.06% +0.000 pp 0.00% -0.001 pp USD3.96 +50.5% 24 qtrs
49 D. E. SHAW & CO., INC. 37.2K +16.9K (+83.2%) 221.9K +85.6K (+62.8%) 0.06% +0.027 pp 0.00% +0.000 pp USD6.37 -6.4% 2 qtrs
50 PRIVATE ADVISOR GROUP, LLC 33.8K +33.8K (+100.0%) 201.6K +201.6K (+100.0%) 0.05% +0.053 pp 0.00% +0.001 pp USD5.96 +0.0% 1 qtrs NEW
51 EVERGREEN CAPITAL MANAGEMENT LLC 32.3K -14.0K (-30.2%) 194.4K -116.5K (-37.5%) 0.05% -0.022 pp 0.00% -0.003 pp USD6.24 -4.5% 12 qtrs
52 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. 31.6K -6.9K (-17.9%) 188.0K -70.0K (-27.1%) 0.05% -0.011 pp 0.00% 0.000 pp USD6.40 -6.9% 20 qtrs
53 VIRTU FINANCIAL LLC 31.3K +31.3K (+100.0%) 187.0K +187.0K (+100.0%) 0.05% +0.049 pp 0.01% +0.007 pp USD5.96 +0.0% 1 qtrs NEW
54 ARKADIOS WEALTH ADVISORS 30.1K +— (+0.0%) 179.2K -22.5K (-11.2%) 0.05% +0.001 pp 0.00% -0.001 pp USD7.16 -16.8% 16 qtrs
55 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 28.5K +— (+0.0%) 169.6K -25.0K (-12.9%) 0.04% +0.000 pp 0.01% -0.004 pp USD6.81 -12.5% 24 qtrs
56 CONFLUENCE INVESTMENT MANAGEMENT LLC 27.8K +353.0 (+1.3%) 166.0K -18.5K (-10.0%) 0.04% +0.001 pp 0.00% 0.000 pp USD9.15 -34.9% 64 qtrs
57 BEAUMONT FINANCIAL ADVISORS, LLC 27.2K +679.0 (+2.6%) 162.1K -15.8K (-8.9%) 0.04% +0.001 pp 0.01% -0.001 pp USD5.75 +3.7% 12 qtrs
58 ETHOS FINANCIAL GROUP, LLC 27.2K -1.0K (-3.6%) 162.1K -27.3K (-14.4%) 0.04% -0.001 pp 0.01% -0.003 pp USD7.03 -15.2% 4 qtrs
59 FOUNDATIONS INVESTMENT ADVISORS, LLC 27.1K +— (+0.0%) 161.3K -20.3K (-11.2%) 0.04% +0.001 pp 0.00% -0.001 pp USD6.91 -13.7% 9 qtrs
60 CREATIVE PLANNING 27.0K -7.3K (-21.2%) 161.0K -69.1K (-30.0%) 0.04% -0.010 pp 0.00% 0.000 pp USD6.50 -8.3% 11 qtrs
61 US BANCORP \DE\ 26.5K +26.5K (+66,150.0%) 157.9K +157.7K (+58,832.8%) 0.04% +0.041 pp 0.00% +0.000 pp USD5.96 +0.0% 11 qtrs
62 VERITION FUND MANAGEMENT LLC 24.8K +13.1K (+112.2%) 147.8K +69.4K (+88.5%) 0.04% +0.021 pp 0.00% +0.000 pp USD6.37 -6.4% 3 qtrs
63 HIGHTOWER ADVISORS, LLC 24.3K +829.0 (+3.5%) 144.5K -12.6K (-8.0%) 0.04% +0.001 pp 0.00% +0.000 pp USD7.73 -22.9% 52 qtrs
64 CLOSE ASSET MANAGEMENT LTD 24.2K +— (+0.0%) 144.0K -18.0K (-11.1%) 0.04% +0.001 pp 0.00% 0.000 pp USD6.00 -0.7% 12 qtrs
65 AQUATIC CAPITAL MANAGEMENT LLC 22.5K +2.2K (+10.9%) 133.8K -2.0K (-1.5%) 0.04% +0.004 pp 0.00% +0.001 pp USD6.75 -11.7% 11 qtrs
66 REGIONS FINANCIAL CORP 20.0K +— (+0.0%) 119.2K -15.0K (-11.2%) 0.03% +0.000 pp 0.00% 0.000 pp USD6.58 -9.4% 12 qtrs
67 TUDOR INVESTMENT CORP ET AL 19.6K +19.6K (+100.0%) 117.1K +117.1K (+100.0%) 0.03% +0.031 pp 0.00% +0.000 pp USD5.96 +0.0% 1 qtrs NEW
68 CRESSET ASSET MANAGEMENT, LLC 19.0K +384.0 (+2.1%) 114.8K -10.2K (-8.1%) 0.03% +0.001 pp 0.00% +0.000 pp USD7.47 -20.2% 16 qtrs
69 BI ASSET MANAGEMENT FONDSMAEGLERSELSKAB A/S 18.7K -70.4K (-79.0%) 111.0K -486.0K (-81.4%) 0.03% -0.107 pp 0.00% -0.004 pp USD7.49 -20.4% 7 qtrs
70 ROYAL BANK OF CANADA 17.3K -5.5K (-24.1%) 103.0K -50.0K (-32.7%) 0.03% -0.008 pp 0.00% +0.000 pp USD6.82 -12.6% 51 qtrs
71 DISCIPLINED INVESTMENTS, LLC 17.0K +5.0K (+41.7%) 101.3K +20.8K (+25.8%) 0.03% +0.008 pp 0.04% +0.007 pp USD6.49 -8.2% 2 qtrs
72 NOMURA HOLDINGS INC 16.5K +16.5K (+100.0%) 98.3K +98.3K (+100.0%) 0.03% +0.026 pp 0.00% +0.000 pp USD5.96 +0.0% 1 qtrs NEW
73 TOWER RESEARCH CAPITAL LLC (TRC) 14.5K +14.5K (+23,732.8%) 86.6K +86.2K (+21,085.1%) 0.02% +0.023 pp 0.00% +0.002 pp USD5.96 +0.0% 39 qtrs
74 CRAWFORD INVESTMENT COUNSEL INC 14.3K -5.8K (-28.8%) 85.2K -49.6K (-36.8%) 0.02% -0.008 pp 0.00% -0.001 pp USD6.71 -11.2% 2 qtrs
75 MERIDIAN INVESTMENT COUNSEL INC. 14.2K +— (+0.0%) 84.6K -10.7K (-11.2%) 0.02% +0.000 pp 0.02% -0.003 pp USD5.91 +0.8% 23 qtrs
76 BROOKSTONE CAPITAL MANAGEMENT 13.8K +376.0 (+2.8%) 82.4K -7.9K (-8.7%) 0.02% +0.001 pp 0.00% 0.000 pp USD6.93 -14.0% 7 qtrs
77 BAIRD FINANCIAL GROUP, INC. 13.7K +— (+0.0%) 81.8K -10.3K (-11.2%) 0.02% +0.000 pp 0.00% +0.000 pp USD7.47 -20.2% 43 qtrs
78 MARINER, LLC 12.8K -339.0 (-2.6%) 76.3K -11.9K (-13.5%) 0.02% 0.000 pp 0.00% +0.000 pp USD6.83 -12.7% 3 qtrs
79 SOUND INCOME STRATEGIES, LLC 12.1K +9.5K (+369.3%) 72.9K +56.5K (+344.9%) 0.02% +0.015 pp 0.00% +0.003 pp USD6.03 -1.2% 17 qtrs
80 SQUAREPOINT OPS LLC 11.5K +11.5K (+100.0%) 68.7K +68.7K (+100.0%) 0.02% +0.018 pp 0.00% +0.000 pp USD5.96 +0.0% 1 qtrs NEW
81 MARSHALL WACE, LLP 11.3K -101.5K (-90.0%) 67.3K -689.6K (-91.1%) 0.02% -0.155 pp 0.00% -0.001 pp USD6.71 -11.2% 4 qtrs
82 EMC CAPITAL MANAGEMENT 11.3K -2.0K (-15.0%) 67.0K -22.0K (-24.7%) 0.02% -0.003 pp 0.03% -0.012 pp USD6.82 -12.6% 16 qtrs
83 FOX RUN MANAGEMENT, L.L.C. 10.9K +10.9K (+100.0%) 65.2K +65.2K (+100.0%) 0.02% +0.017 pp 0.01% +0.010 pp USD5.96 +0.0% 1 qtrs NEW
84 ADVISORY ALPHA, LLC 10.3K +10.3K (+100.0%) 61.4K +61.4K (+100.0%) 0.02% +0.016 pp 0.00% +0.002 pp USD5.96 +0.0% 1 qtrs NEW
85 CETERA INVESTMENT ADVISERS 10.2K +90.0 (+0.9%) 60.9K -7.1K (-10.4%) 0.02% +0.001 pp 0.00% +0.000 pp USD6.70 -11.0% 2 qtrs
86 ALLWORTH FINANCIAL LP 9.3K -40.0 (-0.4%) 55.3K -7.2K (-11.6%) 0.01% 0.000 pp 0.00% +0.000 pp USD6.84 -12.9% 17 qtrs
87 KESTRA ADVISORY SERVICES, LLC 8.7K +8.7K (+100.0%) 52.0K +52.0K (+100.0%) 0.01% +0.014 pp 0.00% +0.000 pp USD5.96 +0.0% 1 qtrs NEW
88 DUNHILL FINANCIAL, LLC 7.9K +— (+0.0%) 47.2K -5.9K (-11.2%) 0.01% +0.000 pp 0.01% -0.002 pp USD6.84 -12.9% 3 qtrs
89 PARALLEL ADVISORS, LLC 7.4K -3.8K (-34.2%) 43.9K -31.2K (-41.5%) 0.01% -0.006 pp 0.00% -0.001 pp USD6.04 -1.3% 17 qtrs
90 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 7.3K +11.0 (+0.2%) 43.4K -5.4K (-11.0%) 0.01% +0.000 pp 0.00% +0.000 pp USD6.97 -14.5% 28 qtrs
91 CIBC PRIVATE WEALTH GROUP, LLC 6.6K +— (+0.0%) 39.3K -5.0K (-11.2%) 0.01% +0.000 pp 0.00% +0.000 pp USD7.27 -18.0% 8 qtrs
92 CAITONG INTERNATIONAL ASSET MANAGEMENT CO., LTD 6.4K +6.4K (+127,180.0%) 37.9K +37.9K (+111,455.9%) 0.01% +0.010 pp 0.01% +0.009 pp USD5.96 +0.0% 5 qtrs
93 GLOBAL RETIREMENT PARTNERS, LLC 5.2K -1.7K (-24.5%) 30.7K -15.1K (-32.9%) 0.01% -0.002 pp 0.00% -0.001 pp USD6.84 -12.9% 3 qtrs
94 BNP PARIBAS ARBITRAGE, SNC 4.1K -649.0 (-13.6%) 24.7K -7.5K (-23.2%) 0.01% -0.001 pp 0.00% +0.000 pp USD6.71 -11.2% 2 qtrs
95 CEDAR WEALTH MANAGEMENT, LLC 3.9K +— (+0.0%) 23.5K -3.0K (-11.2%) 0.01% +0.000 pp 0.01% -0.001 pp USD6.93 -14.0% 17 qtrs
96 QUADRANT CAPITAL GROUP LLC 2.8K -682.0 (-19.4%) 16.9K -6.7K (-28.4%) 0.00% -0.001 pp 0.00% 0.000 pp USD6.71 -11.2% 13 qtrs
97 PIN OAK INVESTMENT ADVISORS INC 2.8K +— (+0.0%) 16.0K -2.5K (-13.7%) 0.00% +0.000 pp 0.01% -0.002 pp USD6.71 -11.2% 2 qtrs
Ownership breakdown by holder

Insider Activity

Insider Activity — Latest Quarter
Ratio by transactions
0.00
Bearish
Buys
1
Sells
0
Shares acquired
15.0K
Shares disposed
Cash buys
1.00
Cash sales
Net activity
+15,000
Insider buys vs sells (history) From To
Recent insider transactions From To
Date Person Role Transaction A/D Security Shares Price Value Owned after D/I Filing
2026-03-11 Allorto Richard T JR Officer P-Purchase A Common Stock 15,000 4.88 73.2K 30,000 D
2025-12-08 Flug Jeffrey Director S-Sale D Common Stock 121,533 5.92 719.1K 32,382 I
2025-12-05 Flug Jeffrey Director S-Sale D Common Stock 20,000 5.85 117.0K 153,915 I
2025-12-04 Flug Jeffrey Director S-Sale D Common Stock 23,303 5.78 134.6K 173,915 I
2025-12-03 Flug Jeffrey Director S-Sale D Common Stock 10,000 5.75 57.5K 197,218 I
2025-12-01 Flug Jeffrey Director S-Sale D Common Stock 21,100 6.04 127.4K 207,218 I
2025-12-01 Briones Jose A Director P-Purchase A Common Stock 4,235 5.91 25.0K 274,722 D
2025-11-28 Flug Jeffrey Director S-Sale D Common Stock 15,000 6.06 90.9K 228,318 I
2025-11-26 Flug Jeffrey Director S-Sale D Common Stock 25,000 6.03 150.7K 243,318 I
2025-05-21 Briones Jose A Director P-Purchase A Common Stock 1,515 6.59 10.0K 270,487 D
2025-05-14 Briones Jose A Director P-Purchase A Common Stock 3,640 6.88 25.0K 268,972 D
2024-11-27 Briones Jose A Director P-Purchase A Common Stock 3,675 6.80 25.0K 265,332 D
2024-03-12 Allorto Richard T JR Officer P-Purchase A Common Stock 5,000 6.80 34.0K 15,000
2024-02-26 Briones Jose A Director P-Purchase A Common Stock 1,166 6.85 8.0K 261,657
2024-02-13 Briones Jose A Director P-Purchase A Common Stock 3,800 6.67 25.3K 255,535
2024-02-09 Briones Jose A Director P-Purchase A Common Stock 7,450 6.70 49.9K 251,735
2023-12-05 Briones Jose A Director P-Purchase A Common Stock 1,565 6.38 10.0K 242,031
2023-12-04 Briones Jose A Director P-Purchase A Common Stock 1,557 6.42 10.0K 240,466
2023-11-22 Briones Jose A Director P-Purchase A Common Stock 1,545 6.47 10.0K 238,909
2023-08-22 Briones Jose A Director P-Purchase A Common Stock 3,865 6.45 24.9K 237,364
2023-08-14 Briones Jose A Director P-Purchase A Common Stock 960 6.82 6.5K 233,499
2023-06-09 KATZ SAMUEL L Director P-Purchase A Common Stock 4,000 5.86 23.4K 74,710
2023-06-02 KATZ SAMUEL L Director P-Purchase A Common Stock 5,000 5.55 27.8K 66,710
2023-06-01 KATZ SAMUEL L Director P-Purchase A Common Stock 15,000 5.49 82.3K 56,710
2023-05-18 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 24,000 5.59 134.2K 1,113,423
2023-05-17 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 23,000 5.53 127.3K 1,089,423
2023-05-16 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 21,000 5.42 113.8K 1,066,423
2023-05-15 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 25,000 5.37 134.2K 1,045,423
2023-05-15 Allorto Richard T JR Officer P-Purchase A Common Stock 10,000 5.35 53.5K 10,000
2023-05-12 Briones Jose A Director P-Purchase A Common Stock 9,560 5.22 49.9K 218,566
2023-03-09 Briones Jose A Director P-Purchase A Common Stock 8,930 5.60 50.0K 209,006
2023-02-17 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 27,000 5.75 155.2K 1,020,423
2023-02-16 Flug Jeffrey Director J-Other A Common Stock 137,887 5.70 786.0K 289,669
2023-02-13 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 25,000 5.73 143.2K 993,423
2023-02-10 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 30,000 5.61 168.4K 968,423
2022-06-13 Allorto Richard T JR Officer 0 0.00 0
2022-05-03 Briones Jose A Director D Common Stock 0 0.00 200,076
2022-02-17 Flug Jeffrey Director J-Other D Common Stock 9,500 0.00 151,782
2021-06-21 Cheung Richard Officer 0 0.00 0
2020-12-18 KATZ SAMUEL L Director P-Purchase A Common Stock 5,000 4.45 22.3K 41,710
2020-12-17 KATZ SAMUEL L Director P-Purchase A Common Stock 2,500 4.40 11.0K 36,710
2020-12-16 KATZ SAMUEL L Director P-Purchase A Common Stock 5,000 4.42 22.1K 34,210
2020-12-15 KATZ SAMUEL L Director P-Purchase A Common Stock 9,490 4.47 42.5K 29,210
2020-12-14 KATZ SAMUEL L Director P-Purchase A Common Stock 3,010 4.48 13.5K 19,720
2020-12-11 KATZ SAMUEL L Director P-Purchase A Common Stock 5,000 4.52 22.6K 16,710
2020-12-03 KATZ SAMUEL L Director J-Other A Common Stock 177,281 4.62 819.0K 177,581
2020-11-23 Flug Jeffrey Director J-Other D Common Stock 11,500 0.00 161,282
2020-03-23 Efrat Aviv Officer P-Purchase A Common Stock 29,100 2.01 58.5K 162,203
2020-03-20 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 32,000 2.50 80.2K 938,423
2020-03-19 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 35,000 2.30 80.4K 906,423
2020-03-18 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 30,000 2.17 65.2K 871,423
2020-03-18 Efrat Aviv Officer P-Purchase A Common Stock 27,000 2.22 59.9K 133,102
2020-02-13 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 8,000 6.59 52.7K 841,423
2020-02-12 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 10,000 6.56 65.6K 833,423
2019-12-02 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 16,000 6.17 98.7K 823,423
2019-11-26 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 17,000 6.09 103.6K 807,423
2019-11-25 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 16,000 6.08 97.3K 790,423
2019-08-15 PENN ARTHUR H Officer P-Purchase A Common Stock 15,000 6.35 95.2K 774,423
2019-08-13 PENN ARTHUR H Officer P-Purchase A Common Stock 17,000 6.40 108.8K 759,423
2019-08-12 PENN ARTHUR H Officer P-Purchase A Common Stock 15,000 6.30 94.5K 742,423
2019-08-09 PENN ARTHUR H Officer P-Purchase A Common Stock 15,000 6.39 95.8K 727,423
2019-05-16 PENN ARTHUR H Officer P-Purchase A Common Stock 16,500 6.59 108.8K 712,423
2019-05-15 PENN ARTHUR H Officer P-Purchase A Common Stock 15,000 6.58 98.7K 695,923
2019-05-14 PENN ARTHUR H Officer P-Purchase A Common Stock 14,000 6.59 92.3K 680,923
2019-05-13 PENN ARTHUR H Officer P-Purchase A Common Stock 16,000 6.52 104.4K 666,923
2018-02-09 PENN ARTHUR H Officer P-Purchase A Common Stock 10,000 6.94 69.4K 650,923
2017-12-06 PENN ARTHUR H Officer P-Purchase A Common Stock 12,000 7.31 87.7K 640,923
2017-12-05 PENN ARTHUR H Officer P-Purchase A Common Stock 13,000 7.13 92.7K 628,923
2017-12-04 PENN ARTHUR H Officer P-Purchase A Common Stock 14,000 7.14 100.0K 615,923
2017-12-04 Efrat Aviv Officer P-Purchase A Common Stock 10,000 7.14 71.4K 106,102
2017-12-01 PENN ARTHUR H Officer P-Purchase A Common Stock 12,000 7.10 85.2K 601,923
2017-08-15 PENN ARTHUR H Officer P-Purchase A Common Stock 15,000 7.67 115.1K 589,923
2017-08-14 PENN ARTHUR H Officer P-Purchase A Common Stock 13,000 7.56 98.3K 574,923
2017-08-10 PENN ARTHUR H Officer P-Purchase A Common Stock 17,000 7.74 131.6K 561,923
2017-08-09 PENN ARTHUR H Officer P-Purchase A Common Stock 15,000 7.70 115.4K 544,923
2017-05-17 PENN ARTHUR H Officer P-Purchase A Common Stock 15,000 7.67 115.0K 529,923
2017-05-16 PENN ARTHUR H Officer P-Purchase A Common Stock 17,000 7.77 132.1K 514,923
2017-05-15 PENN ARTHUR H Officer P-Purchase A Common Stock 13,000 7.79 101.3K 497,923
2017-05-12 PENN ARTHUR H Officer P-Purchase A Common Stock 15,000 7.77 116.6K 484,923
2016-12-06 Flug Jeffrey Director S-Sale D Common Stock 4,708 7.61 35.8K 172,782
2016-12-06 Bernstein Adam K Director P-Purchase A Common Stock 200 7.67 1.5K 46,430
2016-12-01 PENN ARTHUR H Officer P-Purchase A Common Stock 10,000 7.52 75.2K 193,400
2016-11-29 PENN ARTHUR H Officer P-Purchase A Common Stock 10,000 7.44 74.4K 469,923
2016-11-28 PENN ARTHUR H Officer P-Purchase A Common Stock 10,000 7.38 73.8K 459,923
2016-11-25 PENN ARTHUR H Officer P-Purchase A Common Stock 10,000 7.23 72.3K 449,923
2016-11-23 PENN ARTHUR H Officer P-Purchase A Common Stock 10,000 7.09 70.9K 439,923
2016-11-23 Efrat Aviv Officer P-Purchase A Common Stock 28,000 7.08 198.1K 96,102
2016-02-11 KATZ SAMUEL L Director P-Purchase A Common Stock 7,250 4.97 36.0K 188,991
2016-02-10 KATZ SAMUEL L Director P-Purchase A Common Stock 1,896 5.05 9.6K 181,741
2016-02-09 KATZ SAMUEL L Director P-Purchase A Common Stock 3,400 5.10 17.3K 179,845
2016-02-08 KATZ SAMUEL L Director P-Purchase A Common Stock 7,454 5.28 39.4K 176,445
2015-12-08 Flug Jeffrey Director P-Purchase A Common Stock 15,000 6.73 101.0K 177,490
2015-12-04 Flug Jeffrey Director P-Purchase A Common Stock 4,708 7.24 34.1K 162,490
2015-11-25 Flug Jeffrey Director P-Purchase A Common Stock 10,000 7.07 70.7K 147,778
2015-11-19 Flug Jeffrey Director P-Purchase A Common Stock 17,000 6.65 113.0K 157,782
2015-11-16 Flug Jeffrey Director P-Purchase A Common Stock 10,000 6.52 65.2K 140,782
2015-11-16 Efrat Aviv Officer P-Purchase A Common Stock 10,000 6.50 65.0K 68,103
2015-11-13 KATZ SAMUEL L Director P-Purchase A Common Stock 5,809 6.42 37.3K 168,991
2015-11-12 Flug Jeffrey Director P-Purchase A Common Stock 7,090 6.52 46.2K 137,778
2015-02-19 PENN ARTHUR H Officer P-Purchase A Common Stock 8,000 9.59 76.7K 429,923
2015-02-17 PENN ARTHUR H Officer P-Purchase A Common Stock 11,000 9.46 104.1K 429,923
2015-02-12 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 7,000 9.32 65.3K 418,923
2015-02-11 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 10,000 9.27 92.7K 411,923
2015-02-11 Bernstein Adam K Director P-Purchase A Common Stock 2,750 9.16 25.2K 23,485
2015-02-10 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 8,000 9.32 74.6K 401,923
2015-02-10 KATZ SAMUEL L Director P-Purchase A Common Stock 17,492 9.44 165.1K 163,182
2015-02-09 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 12,000 9.48 113.8K 393,923
2015-02-09 Efrat Aviv Officer P-Purchase A Common Stock 12,632 9.54 120.5K 58,103
2015-02-06 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 20,000 9.50 189.9K 373,923
2015-02-06 KATZ SAMUEL L Director P-Purchase A Common Stock 12,508 9.44 118.0K 145,690
2014-05-13 Flug Jeffrey Director P-Purchase A Common Stock 2,800 10.75 30.1K 130,688
2014-05-09 KATZ SAMUEL L Director P-Purchase A Common Stock 19,700 10.59 208.5K 133,182
2013-02-21 Flug Jeffrey Director P-Purchase A Common Stock 35,000 11.39 398.6K 99,400
2013-02-15 Flug Jeffrey Director P-Purchase A Common Stock 15,900 11.44 181.8K 64,400
2013-02-13 Flug Jeffrey Director P-Purchase A Common Stock 35,000 11.30 395.3K 48,500
2012-05-14 Efrat Aviv Officer P-Purchase A Common Stock 2,000 9.86 19.7K 42,890
2012-02-22 Flug Jeffrey Director P-Purchase A Common Stock 13,500 11.00 148.5K 13,500
2012-02-13 Flug Jeffrey Director P-Purchase A Common Stock 25,530 10.73 273.9K 127,888
2011-08-05 Bernstein Adam K Director P-Purchase A Common Stock 2,500 9.87 24.7K 20,735
2010-11-19 Efrat Aviv Officer P-Purchase A Common Stock 2,000 11.22 22.4K 39,274
2010-08-12 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 5,000 10.19 51.0K 183,400
2010-08-12 Efrat Aviv Officer P-Purchase A Common Stock 1,500 10.17 15.3K 37,040
2010-05-07 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 5,000 9.59 48.0K 178,400
2010-05-07 KATZ SAMUEL L Director P-Purchase A Common Stock 20,000 9.34 186.8K 112,421
2010-05-07 Efrat Aviv Officer P-Purchase A Common Stock 2,000 9.62 19.2K 35,279
2010-03-02 KATZ SAMUEL L Director P-Purchase A Common Stock 10,000 10.00 100.0K 92,078
2010-02-22 Efrat Aviv Officer P-Purchase A Common Stock 1,900 10.42 19.8K 33,051
2010-02-08 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 4,000 9.33 37.3K 173,400
2010-02-05 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 7,000 9.06 63.4K 169,400
2009-12-08 Efrat Aviv Officer P-Purchase A Common Stock 2,000 8.97 17.9K 30,907
2009-11-25 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 4,000 8.47 33.9K 162,400
2009-11-23 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 8,000 8.41 67.3K 158,400
2009-11-20 KATZ SAMUEL L Director P-Purchase A Common Stock 10,000 8.10 81.0K 81,713
2009-08-14 Efrat Aviv Officer P-Purchase A Common Stock 2,000 8.23 16.5K 28,647
2009-08-11 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 5,000 8.70 43.5K 150,400
2009-08-07 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 7,000 8.89 62.2K 145,400
2009-05-22 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 4,500 6.50 29.2K 138,400
2009-05-22 Efrat Aviv Officer P-Purchase A Common Stock 2,000 6.50 13.0K 26,352
2009-05-18 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 6,000 6.02 36.1K 133,900
2009-05-15 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 2,000 5.53 11.1K 127,900
2009-02-24 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 8,000 3.11 24.9K 125,901
2009-02-24 KATZ SAMUEL L Director P-Purchase A Common Stock 1,200 3.00 3.6K 70,195
2009-02-20 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 11,000 2.88 31.7K 117,901
2009-02-19 Efrat Aviv Officer P-Purchase A Common Stock 5,000 2.98 14.9K 23,895
2009-02-18 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 7,100 2.86 20.3K 106,901
2009-02-17 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 10,000 2.77 27.7K 99,801
2008-12-10 Bernstein Adam K Director P-Purchase A Common Stock 3,000 3.97 11.9K 15,601
2008-12-08 Efrat Aviv Officer P-Purchase A Common Stock 4,700 3.80 17.8K 18,452
2008-12-05 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 8,000 3.45 27.6K 89,801
2008-12-01 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 11,000 3.03 33.3K 81,801
2008-11-25 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 10,000 2.87 28.7K 70,801
2008-11-24 KATZ SAMUEL L Director P-Purchase A Common Stock 36,928 2.80 103.4K 68,330
2008-08-07 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 9,000 7.25 65.2K 59,333
2008-05-13 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 5,000 7.96 39.8K 50,333
2008-05-13 KATZ SAMUEL L Director P-Purchase A Common Stock 20,000 7.90 157.9K 30,751
2008-05-12 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 10,000 7.79 77.9K 45,333
2008-05-12 Bernstein Adam K Director P-Purchase A Common Stock 5,000 7.94 39.7K 12,167
2008-02-28 Efrat Aviv Officer P-Purchase A Common Stock 3,150 9.63 30.3K 13,142
2008-02-19 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 5,000 9.89 49.5K 34,464
2008-02-14 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 7,500 9.99 74.9K 29,464
2007-12-19 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 6,500 9.71 63.1K 21,500
2007-12-18 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 5,000 9.46 47.3K 15,000
2007-12-17 PENN ARTHUR H Director / Officer P-Purchase A Common Stock 10,000 9.36 93.6K 15,497
2007-12-17 Efrat Aviv Officer P-Purchase A Common Stock 3,000 9.19 27.6K 9,844
2007-04-19 Williams P Whitridge Jr Other D Common Stock 0 0.00 10,000
2007-04-19 PENN ARTHUR H Director / Officer I Common Stock 0 0.00 208,333
2007-04-19 KATZ SAMUEL L Director D Common Stock 0 0.00 10,000
2007-04-19 Giannetti Salvatore III Other D Common Stock 0 0.00 10,000
2007-04-19 Flug Jeffrey Director D Common Stock 0 0.00 66,666
2007-04-19 Efrat Aviv Officer D Common Stock 0 0.00 6,667
2007-04-19 Chang Geoffrey S Other D Common Stock 0 0.00 15,001
2007-04-19 Brozost Marshall Director D Common Stock 0 0.00 6,667
2007-04-19 Bernstein Adam K Director I Common Stock 0 0.00 60,000

Executive team

Top executives
Shares Outstanding
65.30M

Executive compensation

Executive compensation (annual)

Executive compensation not available.

CEO compensation breakdown

No CEO compensation history available.

Proxy statements

Proxy statements (DEF 14A)
Filing date Form type Filing
2025-12-17 DEF 14A
2024-12-11 DEF 14A
2023-12-13 DEF 14A

Recent SEC filings

Recent SEC filings
Filing date Form type Filing
2026-05-07 8-K
2026-05-07 10-Q
2026-05-04 8-K
2026-05-04 40-APP/A
2026-04-06 8-K
2026-04-02 8-K
2026-03-12 4
2026-03-03 8-K
2026-02-09 8-K
2026-02-09 10-Q

Executive team

NameTitleCompensationGender
Adam Katz MD & General Counsel male
Ajay Mudambi Vice President & Manager of Operations male
Anthony Lacqua Accounting Manager male
Arthur Howard Penn Founder, Chairman, Managing Partner & Chief Executive Officer male
Gerald Richard Cummins Chief Compliance Officer male
Michael Appelbaum Partner of New York male
Richard Thomas Allorto Jr. Chief Financial Officer & Treasurer male
Richard W. Van Houten Senior Vice President of Marketing male
Sarah de la Villa MD & Head of Human Capital of Miami female
Terence Clerkin Partner of Miami male
ESG Rating
B
ASSET MANAGEMENT
2026
E (Environmental)
62.7 / 67.2
Company / Sector avg.
S (Social)
58.3 / 77.3
Company / Sector avg.
G (Governance)
76.5 / 74.6
Company / Sector avg.
ESG Total
65.8 / 73.0
Company / Sector avg.
ESG Score History ASSET MANAGEMENT
Benchmark vs Sector
Senate Trading Activity

No Senate trading activity found for this company.

House Trading Activity

No House trading activity found for this company.

Market share among peers
Peer comparison — filtered group (TTM)
Your opinion

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These are community opinions and do not constitute buy or sell advice to act on. The results shown are based on aggregated opinions and are not an investment recommendation, nor do they intend to influence any investment decision.

Dividend yield history

Dividend history

Earnings history

Earnings reports

Stock splits