Frank Galea resigns as PennantPark CCO; Gerald Cummins appointed effective April 15, 2025

PennantPark Floating Rate Capital Ltd.

Frank Galea resigned as Chief Compliance Officer effective April 15, 2025; no disagreements with the company.
Gerald Cummins, age 70, appointed as CCO same day; employed by ACA Group since 2022.
Cummins previously served as director of Alaric Compliance Services, LLC from 2014 to 2022.
No family relationships or arrangements with other persons in connection with appointment.
Cummins holds a B.A. from Fordham University (1983).

item 5.02

Executive movements

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Appointed

Gerald Cummins

Chief Compliance Officer

PFLT · PennantPark Floating Rate Capital Ltd.

Effective: 2025-04-15
Filed: April 17, 2025, 7:59 PM ET

Effective April 15, 2025, the board of directors of the Company appointed Gerald Cummins to replace Mr. Galea as the Company’s Chief Compliance Officer.

Departed

Frank Galea

Chief Compliance Officer

PFLT · PennantPark Floating Rate Capital Ltd.

Effective: 2025-04-15
Successor: Gerald Cummins
Filed: April 17, 2025, 7:59 PM ET

Effective April 15, 2025, Frank Galea resigned as Chief Compliance Officer of PennantPark Floating Rate Capital Ltd. (the “Company”).

Key facts

Extracted from this filing and checked against the source text.

Executive change SEC 8-K Item 5.02 confidence 0.95

Gerald Cummins was appointed as Chief Compliance Officer at PennantPark Floating Rate Capital Ltd..

Action: appointed
Role: Chief Compliance Officer

Exact text from the filing

Effective April 15, 2025, the board of directors of the Company appointed Gerald Cummins to replace Mr. Galea as the Company’s Chief Compliance Officer.

View on SEC.gov

Executive change SEC 8-K Item 5.02 confidence 0.95

Frank Galea resigned as Chief Compliance Officer at PennantPark Floating Rate Capital Ltd..

Action: resigned
Role: Chief Compliance Officer

Exact text from the filing

Effective April 15, 2025, Frank Galea resigned as Chief Compliance Officer of PennantPark Floating Rate Capital Ltd. (the “Company”).

View on SEC.gov

PennantPark Floating Rate Capital Ltd. filing history →

Source: SEC EDGAR

accession 0001171843-25-002301

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