PennantPark Investment appoints Gerald Cummins as CCO replacing Frank Galea

PENNANTPARK INVESTMENT CORP

Frank Galea resigned as Chief Compliance Officer effective April 15, 2025; no disagreements with the company.
Board appointed Gerald Cummins as new CCO, effective the same date.
Cummins, age 70, has been an ACA Group employee since 2022 and previously directed Alaric Compliance Services.
He holds a B.A. from Fordham University and has no family relationship with officers or trustees.

item 5.02

Executive movements

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Departed

Frank Galea

Chief Compliance Officer

PNNT · PENNANTPARK INVESTMENT CORP

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 Investment Corporation (the “Company”).

Appointed

Gerald Cummins

Chief Compliance Officer

PNNT · PENNANTPARK INVESTMENT CORP

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.

Key facts

Extracted from this filing and checked against the source text.

Executive change SEC 8-K Item 5.02 confidence 0.95

Frank Galea resigned as Chief Compliance Officer at PENNANTPARK INVESTMENT CORP.

Action: resigned
Role: Chief Compliance Officer

Exact text from the filing

Effective April 15, 2025, Frank Galea resigned as Chief Compliance Officer of PennantPark Investment Corporation (the “Company”).

View on SEC.gov

Executive change SEC 8-K Item 5.02 confidence 0.95

Gerald Cummins was appointed as Chief Compliance Officer at PENNANTPARK INVESTMENT CORP.

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

PENNANTPARK INVESTMENT CORP filing history →

Source: SEC EDGAR

accession 0001171843-25-002302

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