Welcome to our dedicated page for Pioneer Floating Rate Fund SEC filings (Ticker: PHD), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Pioneer Floating Rate Fund, Inc. (PHD) SEC filings page on Stock Titan provides access to regulatory documents filed by this closed-end investment company, whose common shares of beneficial interest have traded on the New York Stock Exchange under the symbol PHD. These filings help investors understand the fund’s listing status, corporate actions, and progress toward liquidation and dissolution.
A key document for PHD is the Form 25 (Notification of Removal from Listing and/or Registration under Section 12(b) of the Securities Exchange Act of 1934). The Form 25 identifies Pioneer Floating Rate Fund, Inc. as the issuer and the New York Stock Exchange LLC as the exchange, and describes the security as common shares of beneficial interest. It indicates that the exchange has complied with its rules to strike the class of securities from listing and/or withdraw registration, or that the issuer has complied with the applicable requirements for voluntary withdrawal. This filing is central to understanding PHD’s delisting from the NYSE in connection with its approved plan of liquidation and dissolution.
In addition to Form 25, investors can review other SEC materials referenced in the fund’s public communications, such as tender offer statements on Schedule TO related to historical issuer tender offers for up to 50% of the fund’s outstanding common shares. Those documents, together with the fund’s other periodic and transactional filings available on EDGAR, outline how PHD has managed its capital structure, share repurchases, and shareholder transactions.
On Stock Titan, PHD’s SEC filings are updated as they are made available through EDGAR. AI-powered summaries help explain the purpose and implications of key filings, such as Form 25 and tender offer documents, highlighting how they relate to PHD’s listing status, liquidation process, and treatment of common shareholders. This allows users to review complex regulatory disclosures in a more accessible format while still having direct access to the underlying SEC documents.
Almitas Capital LLC has filed a Schedule 13G reporting a significant ownership position in Pioneer Floating Rate Fund, Inc. (PHD).
Almitas, a Delaware investment adviser, reports beneficial ownership of 699,986 shares of the fund’s common stock, representing 5.7% of the class as of the event date 09/30/2025. Almitas has sole voting and sole dispositive power over all of these shares, with no shared voting or dispositive power reported.
The filing classifies Almitas as an investment adviser and includes a certification that the regulatory scheme applicable to the investment adviser is substantially comparable to that of a functionally equivalent U.S. institution, and that information that would otherwise be disclosed in a Schedule 13D will be provided to the Commission staff upon request.
Pioneer Floating Rate Fund, Inc. (PHD) is the subject of a Form 25 filed by the New York Stock Exchange to remove its Common Shares of Beneficial Interest from listing and/or registration under Section 12(b) of the Exchange Act. The filing cites 17 CFR 240.12d2-2(b) and 17 CFR 240.12d2-2(c), indicating the Exchange and Issuer have complied with applicable rules. The NYSE certified its compliance and signed the notification on 2025-10-15.
Absolute Investment Advisers, LLC reports beneficial ownership of 1,400,568 shares of Pioneer Floating Rate Fund, Inc. common stock, representing 11.3% of the class. The filing states the adviser has sole voting and sole dispositive power over all reported shares and identifies the issuer's principal executive office in Boston, Massachusetts. The filing is submitted on Schedule 13G and classifies the filer as an investment adviser. No shared ownership, group affiliation, or subsidiary acquisition is reported.
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