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LADENBURG THALMANN ASSET MANAGEMENT
> PNNT
| Date | Name | Ticker | Shares | Change | Value | Change | Price |
| 06/30/2017 | PENNANTPARK INVESTMENT CORP | PNNT | 0 | -53,771 | 0 | -480,000 | |
| 12/31/2016 | PENNANTPARK INVESTMENT CORP | PNNT | 0 | -53,771 | 0 | -480,000 | |
| 09/30/2016 | PENNANTPARK INVESTMENT CORP | PNNT | 0 | -53,771 | 0 | -480,000 | |
| 06/30/2016 | PENNANTPARK INVESTMENT CORP | PNNT | 0 | -53,771 | 0 | -480,000 | |
| 03/31/2016 | PENNANTPARK INVESTMENT CORP | PNNT | 0 | -53,771 | 0 | -480,000 | |
| 09/30/2011 | PENNANTPARK INVESTMENT CORP | PNNT | 53,771 | 37,271 | 480,000 | 261,000 | $8.93 |
| 06/30/2011 | PENNANTPARK INVESTMENT CORP | PNNT | 16,500 | -19,669 | 219,000 | -212,000 | $13.27 |
| 03/31/2011 | PENNANTPARK INVESTMENT CORP | PNNT | 36,169 | 20,169 | 431,000 | 235,000 | $11.92 |
| 12/31/2010 | PENNANTPARK INVESTMENT CORP | PNNT | 16,000 | 0 | 196,000 | 26,000 | $12.25 |
| 09/30/2010 | PENNANTPARK INVESTMENT CORP | PNNT | 16,000 | 6,000 | 170,000 | 74,000 | $10.63 |
| 06/30/2010 | PENNANTPARK INVESTMENT CORP | PNNT | 10,000 | 10,000 | 96,000 | 96,000 | $9.60 |
| 03/31/2010 | PENNANTPARK INVESTMENT CORP | PNNT | 5,000 | 5,000 | 52,000 | 52,000 | $10.40 |
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