Vault-13

PIONEER FLOATING RATE FUND I XPHDX

COM · Closed-End Fund · CUSIP 72369J102

44 institutional holders +1 vs Q1 2024
3,897,4733.9m shares reported held*
$37.6mreported value*
5 new 12 added 14 reduced 4 sold out net bought ≈ $3.3m (+336.9k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $9.66.

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 52Q4 22: 44Q1 23: 51Q2 23: 53Q3 23: 48Q4 23: 50Q1 24: 43Q2 24: 4444Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202252
Q4 202244
Q1 202351
Q2 202353
Q3 202348
Q4 202350
Q1 202443
Q2 202444

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 18 bought or addedQ4 22: 23 cut or sold outQ4 22Q1 23: 19 bought or addedQ1 23: 16 cut or sold outQ2 23: 16 bought or addedQ2 23: 23 cut or sold outQ2 23Q3 23: 16 bought or addedQ3 23: 22 cut or sold outQ4 23: 18 bought or addedQ4 23: 19 cut or sold outQ4 23Q1 24: 16 bought or addedQ1 24: 22 cut or sold outQ2 24: 17 bought or addedQ2 24: 18 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 20221823
Q1 20231916
Q2 20231623
Q3 20231622
Q4 20231819
Q1 20241622
Q2 20241718

Biggest buyers

Relative Value Partners Group, LLC New +665,600+665.6k
Advisors Asset Management, Inc. Added +133,975+134.0k
Pathstone Holdings, LLC New +87,965+88.0k
LAKE STREET PRIVATE WEALTH, LLC Added +67,350+67.3k
VIRTUS ADVISERS, LLC Added +26,580+26.6k
Invesco Ltd. Added +25,737+25.7k
Private Advisor Group, LLC New +13,214+13.2k
Clear Creek Financial Management, LLC Added +8,588+8.6k
UBS Group AG Added +6,787+6.8k
GUGGENHEIM CAPITAL LLC Added +5,802+5.8k

Biggest sellers

MORGAN STANLEY Reduced -324,980-325.0k
ABSOLUTE INVESTMENT ADVISERS, LLC Reduced -125,329-125.3k
AQR Arbitrage LLC Sold out -56,530-56.5k
OSAIC HOLDINGS, INC. Reduced -46,995-47.0k
Quarry LP Reduced -44,446-44.4k
BANK OF AMERICA CORP /DE/ Reduced -22,415-22.4k
SIT INVESTMENT ASSOCIATES INC Reduced -20,845-20.8k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Sold out -17,358-17.4k
ZAZOVE ASSOCIATES LLC Sold out -13,022-13.0k
Shaker Financial Services, LLC Reduced -10,156-10.2k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
ABSOLUTE INVESTMENT ADVISERS, LLC 13G · institution new · filed 2025-09-25 11.3% new 1.4m 2025-09-25
Almitas Capital LLC 13G · institution no change · filed 2026-02-17 5.7% no change 700.0k 2026-02-17

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Relative Value Partners Group, LLC 0.83% of their portfolio NORTHBROOK, IL 665,600665.6k $6.4m $6.4m 0.83% New
2 LAKE STREET PRIVATE WEALTH, LLC 0.83% of their portfolio CHICAGO, IL 665,600665.6k $6.4m $6.4m 0.83% Added +67.3k +67,350
3 Advisors Asset Management, Inc. 0.07% of their portfolio Monument, CO 358,859358.9k $3.5m $3.5m 0.07% Added +134.0k +133,975
4 GUGGENHEIM CAPITAL LLC 0.02% of their portfolio CHICAGO, IL 333,675333.7k $3.2m $3.2m 0.02% Added +5.8k +5,802
5 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 317,038317.0k $3.1m $3.1m 0.00% Reduced -22.4k -22,415
6 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 261,407261.4k $2.5m $2.5m 0.00% Added +25.7k +25,737
7 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 180,022180.0k $1.7m $1.7m 0.00% Reduced -325.0k -324,980
8 Clear Creek Financial Management, LLC 0.15% of their portfolio SILVERDALE, WA 124,103124.1k $1.2m $1.2m 0.15% Added +8.6k +8,588
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 97,83097.8k $945.0k $945.0k 0.00% Reduced -8.4k -8,360
10 Shaker Financial Services, LLC 0.38% of their portfolio Arlington, VA 96,81596.8k $935.2k $935.2k 0.38% Reduced -10.2k -10,156
11 VIRTUS ADVISERS, LLC 0.42% of their portfolio HARTFORD, CT 89,81489.8k $867.6k $867.6k 0.42% Added +26.6k +26,580
12 Pathstone Holdings, LLC 0.00% of their portfolio ENGLEWOOD, NJ 87,96588.0k $849.7k $849.7k 0.00% New
13 RIVERBRIDGE PARTNERS LLC 0.01% of their portfolio MINNEAPOLIS, MN 80,99481.0k $782.4k $782.4k 0.01% Added +3.0k +3,037
14 SIT INVESTMENT ASSOCIATES INC 0.02% of their portfolio Minneapolis, MN 73,16373.2k $707.0k $707.0k 0.02% Reduced -20.8k -20,845
15 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 62,95363.0k $608.0k $608.0k 0.00% Reduced -47.0k -46,995
16 UBS Group AG 0.00% of their portfolio ZURICH, V8 61,41561.4k $593.3k $593.3k 0.00% Added +6.8k +6,787
17 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 50,23150.2k $485.2k $485.2k 0.00% Unchanged
18 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 45,53645.5k $439.9k $439.9k 0.00% Reduced -5.7k -5,680
19 MELFA WEALTH MANAGEMENT, INC. 0.21% of their portfolio WESTBOROUGH, MA 31,33531.3k $302.7k $302.7k 0.21% Unchanged
20 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 26,10226.1k $252.2k $252.2k 0.00% Added +3.4k +3,422
21 ROTHSCHILD INVESTMENT LLC 0.02% of their portfolio CHICAGO, IL 24,80024.8k $239.6k $239.6k 0.02% Reduced -8.4k -8,440
22 FLAGSHIP HARBOR ADVISORS, LLC 0.01% of their portfolio BOSTON, MA 18,57818.6k $179.5k $179.5k 0.01% Reduced -800 -800
23 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 17,41517.4k $167.0k $167.0k 0.00% Reduced -5.8k -5,764
24 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 16,36416.4k $158.0k $158.0k 0.00% Added +205 +205
25 Capital Investment Advisors, LLC 0.00% of their portfolio ATLANTA, GA 15,32315.3k $148.0k $148.0k 0.00% Reduced -1.6k -1,639
26 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 13,84513.8k $133.7k $133.7k 0.00% Reduced -1.7k -1,700
27 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 13,21413.2k $127.7k $127.7k 0.00% New
28 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 12,46012.5k $120.4k $120.4k 0.00% Added +2.0k +2,030
29 WEDBUSH SECURITIES INC 0.00% of their portfolio PASADENA, CA 12,25012.2k $118.0k $118.0k 0.00% Unchanged
30 ABSOLUTE INVESTMENT ADVISERS, LLC 0.02% of their portfolio ROSEMARY BEACH, FL 12,11512.1k $117.0k $117.0k 0.02% Reduced -125.3k -125,329
31 Quarry LP 0.02% of their portfolio NEW YORK, NY 11,31811.3k $109.3k $109.3k 0.02% Reduced -44.4k -44,446
32 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 5,9936.0k $57.9k $57.9k 0.00% Added +56 +56
33 GPS Wealth Strategies Group, LLC 0.01% of their portfolio CENTENNIAL, CO 3,5553.6k $34.3k $34.3k 0.01% Unchanged
34 Bogart Wealth, LLC 0.00% of their portfolio MCLEAN, VA 2,7002.7k $26.1k $26.1k 0.00% Unchanged
35 TCTC Holdings, LLC 0.00% of their portfolio DALLAS, TX 2,2502.2k $21.7k $21.7k 0.00% Unchanged
36 Venturi Wealth Management, LLC 0.00% of their portfolio AUSTIN, TX 1,7801.8k $17.2k $17.2k 0.00% Unchanged
37 Avior Wealth Management, LLC 0.00% of their portfolio OMAHA, NE 1,1571.2k $11.2k $11.2k 0.00% New
38 BARTLETT & CO. WEALTH MANAGEMENT LLC 0.00% of their portfolio CINCINNATI, OH 750750 $7.2k $7.2k 0.00% Unchanged
39 Beacon Capital Management, LLC 0.00% of their portfolio FRANKLIN, TN 449449 $4.3k $4.3k 0.00% Unchanged
40 Gen-Wealth Partners Inc 0.00% of their portfolio ZEELAND, MI 417417 $4.0k $4.0k 0.00% Unchanged
41 Gradient Investments LLC 0.00% of their portfolio ARDEN HILLS, MN 157157 $1.5k $1.5k 0.00% Unchanged
42 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 126126 $1.2k $1.2k 0.00% New
43 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 22 $19 $19 0.00% Unchanged
44 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged