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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to P/F Bakkafrost
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| September 4, 2025 |
As filed with the Securities and Exchange Commission on September 4, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 29, 2025 |
As filed with the Securities and Exchange Commission on August 29, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| June 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| June 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| May 30, 2025 |
As filed with the Securities and Exchange Commission on May 30, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION (Rule 14a -101) Information Required in a Proxy Statement Schedule 14a Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Prox |
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| May 7, 2025 |
Faegre Drinker Biddle & Reath LLP 320 South Canal Street, Suite 3300 Chicago, IL 60606 (312) 569-1000 (Phone) (312) 569-3000 (Facsimile) www. |
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| May 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-41582 The RBB Fund Trust NYSE Arca, Inc. (Exact name of registrant as specified in its charter, and name of Exchange where security is listed and/or registered) 615 East Michig |
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| May 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION (Rule 14a -101) Information Required in a Proxy Statement Schedule 14a Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Prox |
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| April 29, 2025 |
As filed with the Securities and Exchange Commission on April 29, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 23, 2025 |
As filed with the Securities and Exchange Commission on April 23, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 9, 2025 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 April 9, 2025 VIA EDGAR TRANSMISSION Kim McManus Securities and Exchange Commission 100 F Street, N. |
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| April 7, 2025 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 April 7, 2025 VIA EDGAR TRANSMISSION Kim McManus Securities and Exchange Commission 100 F Street, N. |
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| March 24, 2025 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 March 24, 2025 VIA EDGAR TRANSMISSION Securities and Exchange Commission 100 F Street, N. |
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| February 21, 2025 |
As filed with the Securities and Exchange Commission on February 21, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 10, 2025 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 January 10, 2025 Mr. |
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| December 20, 2024 |
Faegre Drinker Biddle & Reath LLP 320 South Canal Street, Suite 3300 Chicago, IL 60606 (312) 569-1000 (Phone) (312) 569-3000 (Facsimile) www. |
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| December 19, 2024 |
As filed with the Securities and Exchange Commission on December 19, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 17, 2024 |
As filed with the Securities and Exchange Commission on December 17, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 9, 2024 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 December 9, 2024 VIA EDGAR TRANSMISSION Lisa Larkin Securities and Exchange Commission 100 F Street, N. |
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| December 9, 2024 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 December 9, 2024 VIA EDGAR TRANSMISSION Valerie Lithotomos Securities and Exchange Commission 100 F Street, N. |
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| September 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement. [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| September 26, 2024 |
Faegre Drinker Biddle & Reath LLP 320 South Canal Street Suite 3300 Chicago, IL 60606 www. |
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| September 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement. [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| August 26, 2024 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 August 26, 2024 VIA EDGAR TRANSMISSION Ellie Quarles Securities and Exchange Commission 100 F Street, N. |
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| August 16, 2024 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 August 16, 2024 VIA EDGAR TRANSMISSION Ellie Quarles Securities and Exchange Commission 100 F Street, N. |
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| July 24, 2024 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 July 24, 2024 VIA EDGAR TRANSMISSION Ellie Quarles Securities and Exchange Commission 100 F Street, N. |
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| January 10, 2024 |
THE ENERGY & MINERALS GROUP EV, SOLAR & BATTERY MATERIALS (LITHIUM, NICKEL, COPPER, COBALT) FUTURES STRATEGY ETF CONSOLIDATED PORTFOLIO OF INVESTMENTS MAY 31, 2023 (UNAUDITED) COUPON* MATURITY DATE PAR (000’s) VALUE SHORT-TERM INVESTMENTS — 86. |
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| December 18, 2023 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 December 18, 2023 VIA EDGAR TRANSMISSION Elizabeth Bentzinger Securities and Exchange Commission 100 F Street, N. |
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| December 15, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on December 26, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C (RULE 14c-101) SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: [ ] Preliminary information statement [ ] Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) [X] Definitive information statement THE RBB FUND TRUST (Name of Registrant as Specified in Its Charter) Payment of Filing Fee (Check all boxes that apply): [X] No fee required. |
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| August 31, 2023 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A Filed with the Securities and Exchange Commission on August 31, 2023 1933 Act Registration File No. |
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| August 31, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-1A of Torray Fund, a series of shares of beneficial interest in The RBB Fund Trust. BBD, LLP Philadelphia, Pennsylvania August 31, 2023 |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement. [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| March 7, 2023 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 March 7, 2023 Via EDGAR Transmission Mr. |
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| February 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant □ Check the appropriate box: ☒ Preliminary Proxy Statement. ☐ Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)). ☐ Def |
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| February 23, 2023 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 February 23, 2023 Via Edgar Transmission Securities and Exchange Commission 100 F. |
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| February 3, 2023 |
Penn Capital Floating Rate Income Fund Penn Capital Floating Rate Income Fund Schedule of Investments November 30, 2022 (Unaudited) Bank Loans: 75. |
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| December 27, 2022 |
As filed with the Securities and Exchange Commission on December 27, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 2, 2022 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 December 2, 2022 VIA EDGAR TRANSMISSION Emily Rowland Securities and Exchange Commission 100 F Street, N. |
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| November 30, 2022 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 CORRESP 1 filename1.htm The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 November 30, 2022 VIA EDGAR TRANSMISSION Emily Rowland Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: The RBB Fund Trust (the “Trust”) File Nos.: 811-23011 and 333-200168 Dear Ms. Rowland: The purpose of this letter is to respond to additional oral comments provided to U.S |
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| November 30, 2022 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 November 30, 2022 VIA EDGAR TRANSMISSION Emily Rowland Securities and Exchange Commission 100 F Street, N. |
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| November 22, 2022 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 November 22, 2022 VIA EDGAR TRANSMISSION Emily Rowland Securities and Exchange Commission 100 F Street, N. |
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| November 22, 2022 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 CORRESP 1 filename1.htm The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 November 22, 2022 VIA EDGAR TRANSMISSION Emily Rowland Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: The RBB Fund Trust (the “Trust”) File Nos.: 333-200168 and 811-23011 Dear Ms. Rowland: The purpose of this letter is to respond to oral comments provided to U.S. Bank Glob |
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| November 18, 2022 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 November 18, 2022 VIA EDGAR TRANSMISSION Elisabeth Bentzinger Securities and Exchange Commission 100 F Street, N. |
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| October 24, 2022 |
The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 The RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 October 24, 2022 VIA EDGAR TRANSMISSION Elisabeth Bentzinger Securities and Exchange Commission 100 F Street, N. |
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| October 12, 2022 |
As filed with the U.S. Securities and Exchange Commission on October 12, 2022 As filed with the U.S. Securities and Exchange Commission on October 12, 2022 File No. 333- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. [ ] (Check appropriate box or boxes.) The RBB Fund Trust (Exact Name of Registrant as Specified in Charter) 615 East Mi |
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| October 12, 2022 |
FORM OF INVESTMENT ADVISORY AGREEMENT Evermore Global Value Fund AGREEMENT made as of [ ] between THE RBB FUND TRUST, a Delaware statutory trust (herein called the "Fund"), and Evermore Global Advisors, LLC, a Delaware limited liability company (herein called the "Investment Adviser"). |
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| October 12, 2022 |
Opinion and Consent of Counsel regarding the legality of securities being offered FAEGRE DRINKER BIDDLE & REATH LLP One Logan Square Suite 2000 Philadelphia, PA 19103-6996 215-988-2700 Fax: 215-988-2757 www. |
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| October 12, 2022 |
FORM OF EXPENSE LIMITATION AGREEMENT THIS EXPENSE LIMITATION AGREEMENT (the "Agreement") is effective as of [ ] by and between Evermore Global Advisors, LLC (the "Adviser"), a Delaware limited liability company, and The RBB Fund Trust, a Delaware statutory trust (the "Trust"), on behalf of its series listed on Appendix A hereto (the "Fund"). |
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| October 12, 2022 | ||
| October 12, 2022 |
Powers of Attorney are filed herewith. THE RBB FUND, INC. (the “Company”) THE RBB FUND TRUST (the “Trust”) POWER OF ATTORNEY Know All Men by These Presents, that the undersigned, Julian A. Brodsky, hereby constitutes and appoints Steven Plump, Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee |
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| October 12, 2022 |
Form of Opinion and Consent of Counsel regarding tax matters is filed herewith. [DATE] Evermore Global Value Fund 89 Summit Avenue Summit, New Jersey 07901 RBB Fund Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 Re: Agreement and Plan of Reorganization by and among The RBB Fund Trust and Evermore Global Value Fund, dated [DATE] Ladies and Gentlemen: You have asked for our opinion as to certain U. |
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| October 12, 2022 |
Consent of Independent Registered public Accounting Firm is filed herewith. Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions ?Questions and Answers?, ?Service Providers - Independent Registered Public Accounting Firm?, ?Further Information About The Acquired Fund And The Acquiring Fund - Independent Registered Public Accounting Firm? and ?Representations and Warranties? in the Combined Proxy Statement and Prospectus included in this Registration Statement (Form N-14) of Evermore Funds Trust consisting of the Evermore Global Value Fund. |
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| July 28, 2022 |
Penn Capital Short Duration High Income Fund Penn Capital Short Duration High Income Fund Schedule of Investments May 31, 2022 (Unaudited) Convertible Bonds: 0. |
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| July 28, 2022 |
Penn Capital Opportunistic High Income Fund Penn Capital Opportunistic High Income Fund Schedule of Investments May 31, 2022 (Unaudited) Convertible Bonds: 3. |
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| July 28, 2022 |
Penn Capital Mid Cap Core Fund Penn Capital Mid Cap Core Fund Schedule of Investments May 31, 2022 (Unaudited) Number of Common Stocks: 91. |
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| July 28, 2022 |
Penn Capital Special Situations Small Cap Equity Fund Penn Capital Special Situations Small Cap Equity Fund Schedule of Investments May 31, 2022 (Unaudited) Number of Common Stocks: 93. |
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| July 28, 2022 |
Penn Capital Floating Rate Income Fund Penn Capital Floating Rate Income Fund Schedule of Investments May 31, 2022 (Unaudited) Bank Loans: 82. |
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| January 27, 2022 |
Penn Capital Defensive Floating Rate Income Fund Penn Capital Defensive Floating Rate Income Fund Schedule of Investments November 30, 2021 (Unaudited) Bank Loans: 84. |
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| January 27, 2022 |
Penn Capital Defensive Short Duration High Income Fund Penn Capital Defensive Short Duration High Income Fund Schedule of Investments November 30, 2021 (Unaudited) Convertible Bonds: 0. |
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| January 27, 2022 |
PENN Capital Special Situations Small Cap Equity Fund PENN Capital Special Situations Small Cap Equity Fund Schedule of Investments November 30, 2021 (Unaudited) Common Stocks: 96. |
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| January 27, 2022 |
Penn Capital Mid Cap Core Fund Penn Capital Mid Cap Core Fund Schedule of Investments November 30, 2021 (Unaudited) NUMBER OF Common Stocks: 94. |
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| January 27, 2022 |
PENN Capital Opportunistic High Income Fund PENN Capital Opportunistic High Income Fund Schedule of Investments November 30, 2021 (Unaudited) Asset Backed Securities: 0. |
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| May 28, 2021 |
Penn Capital Managed Alpha SMID Cap Equity Fund Schedule of Investments March 31, 2021 (Unaudited) Common Stocks: 95. |
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| May 28, 2021 |
Penn Capital Short Duration High Income Fund Schedule of Investments March 31, 2021 (Unaudited) Convertible Bonds: 0. |
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| May 28, 2021 |
Penn Capital Floating Rate Income Fund Schedule of Investments March 31, 2021 (Unaudited) Bank Loans: 87. |
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| May 28, 2021 |
Penn Capital Opportunistic High Income Fund Schedule of Investments March 31, 2021 (Unaudited) Asset Backed Security: 0. |
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| May 28, 2021 |
Penn Capital Managed Alpha SMID Cap Equity Fund Schedule of Investments March 31, 2021 (Unaudited) Common Stocks: 95. |
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| May 14, 2021 |
SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 13, 2021 |
Faegre Drinker Biddle & Reath LLP One Logan Square, Ste. 2000 Philadelphia, PA 19103-6996 Faegre Drinker Biddle & Reath LLP One Logan Square, Ste. 2000 Philadelphia, PA 19103-6996 www.faegredrinker.com May 13, 2021 VIA EDGAR TRANSMISSION Ms. Elisabeth M. Bentzinger Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Preliminary Proxy Statement of PENN Capital Funds Trust (Registration No. 811-23011) Dear Ms. Bentzinger: The following responds to the Staff’s |
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| April 30, 2021 |
Faegre Drinker Biddle & Reath LLP One Logan Square Suite 2000 Philadelphia, PA 19103-6996 (215) 988-2700 (Phone) (215) 988-2757 (Facsimile) www. |
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| April 30, 2021 |
SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 5, 2021 |
CORRESP 1 filename1.htm PENN Capital Funds Trust c/o Penn Capital Management Company, LLC 1200 Intrepid Avenue, Suite 400 Philadelphia, PA 19112 March 3, 2021 VIA EDGAR TRANSMISSION Mr. John Kernan United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: PENN Capital Funds Trust (the “Trust”) 1933 Act Registration File No. 333 |
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| November 30, 2020 |
Penn Capital Multi-Credit High Income Fund Schedule of Investments September 30, 2020 (Unaudited) Convertible Bond: 1. |
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| November 30, 2020 |
Penn Capital Managed Alpha SMID Cap Equity Fund Schedule of Investments September 30, 2020 (Unaudited) Common Stocks: 88. |
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| November 30, 2020 |
Penn Capital Defensive Short Duration High Income Fund Schedule of Investments September 30, 2020 (Unaudited) Convertible Bonds: 1. |
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| November 30, 2020 |
Penn Capital Special Situations Small Cap Equity Fund Schedule of Investments September 30, 2020 (Unaudited) Common Stocks: 91. |
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| November 30, 2020 |
Penn Capital Defensive Floating Rate Income Fund Schedule of Investments September 30, 2020 (Unaudited) Bank Loans: 82. |
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| May 29, 2020 |
Penn Capital Defensive Floating Rate Income Fund Schedule of Investments March 31, 2020 (Unaudited) Bank Loans: 82. |
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| May 29, 2020 |
Penn Capital Defensive Short Duration High Income Fund Schedule of Investments March 31, 2020 (Unaudited) Convertible Bond: 0. |
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| May 29, 2020 |
Penn Capital Multi-Credit High Income Fund Schedule of Investments March 31, 2020 (Unaudited) Corporate Bonds: 57. |
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| May 29, 2020 |
Penn Capital Special Situations Small Cap Equity Fund Schedule of Investments March 31, 2020 (Unaudited) Common Stocks: 87. |
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| May 29, 2020 |
Penn Capital Managed Alpha SMID Cap Equity Fund Schedule of Investments March 31, 2020 (Unaudited) Common Stocks: 83. |
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| November 27, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23011 PENN CAPITAL FUNDS TRUST (Exact name of registrant as specified in charter) Navy Yard Corporate Center 1200 Intrepid Ave, Suite 400 Philadelphia, Pennsylvania 19112 (Address of principal e |
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| November 27, 2019 |
I, Richard A. Hocker, certify that: CERTIFICATION I, Richard A. Hocker, certify that: 1. I have reviewed this report on Form N-Q of PENN Capital Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| May 23, 2019 |
I, Richard A. Hocker, certify that: CERTIFICATION I, Richard A. Hocker, certify that: 1. I have reviewed this report on Form N-Q of PENN Capital Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| May 23, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23011 PENN CAPITAL FUNDS TRUST (Exact name of registrant as specified in charter) Navy Yard Corporate Center 1200 Intrepid Ave, Suite 400 Philadelphia, Pennsylvania 19112 (Address of principal e |
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| November 27, 2018 |
I, Richard A. Hocker, certify that: CERTIFICATION I, Richard A. Hocker, certify that: 1. I have reviewed this report on Form N-Q of PENN Capital Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| November 27, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23011 PENN CAPITAL FUNDS TRUST (Exact name of registrant as specified in charter) Navy Yard Corporate Center 1200 Intrepid Ave, Suite 400 Philadelphia, Pennsylvania 19112 (Address of principal e |
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| May 30, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23011 PENN CAPITAL FUNDS TRUST (Exact name of registrant as specified in charter) Navy Yard Corporate Center 1200 Intrepid Ave, Suite 400 Philadelphia, Pennsylvania 19112 (Address of principal e |
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| May 30, 2018 |
I, Richard A. Hocker, certify that: Exhibit 99.CERT CERTIFICATION I, Richard A. Hocker, certify that: 1. I have reviewed this report on Form N-Q of PENN Capital Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| November 28, 2017 |
I, Richard A. Hocker, certify that: Exhibit 99.CERT CERTIFICATION I, Richard A. Hocker, certify that: 1. I have reviewed this report on Form N-Q of Penn Capital Funds Trust 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| November 28, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23011 PENN CAPITAL FUNDS TRUST (Exact name of registrant as specified in charter) Navy Yard Corporate Center 1200 Intrepid Ave, Suite 400 Philadelphia, Pennsylvania 19112 (Address of principal e |
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| August 29, 2017 |
Report of Independent Registered Public Accounting Firm The Shareholders and Board of Trustees of PENN Capital Funds Trust: In planning and performing our audits of the financial statements of Penn Capital Small/Mid Cap Equity Fund, Penn Capital Small Cap Equity Fund, Penn Capital Opportunistic High Yield Fund, and Penn Capital Senior Floating Rate Income Fund, the funds comprising the PENN Capita |
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| July 12, 2017 |
Stradley Ronon Stevens & Young, LLP Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7018 Telephone (215) 564-8000 Fax (215) 564-8120 www. |
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| May 26, 2017 |
As filed with the Securities and Exchange Commission on May 26, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 26, 2017 |
EX.99.CERT CERTIFICATIONS I, Richard A. Hocker, certify that: 1. I have reviewed this report on Form N-Q of PENN Capital Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to |
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| April 10, 2017 |
Law Offices Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7018 (215) 564-8000 Direct Dial - (215) 564-8521 April 10, 2017 VIA EDGAR SUBMISSION Filing Desk U. |
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| November 22, 2016 |
EX.99.906CERT CERTIFICATIONS I, Richard A. Hocker, certify that: 1. I have reviewed this report on Form N-Q of PENN Capital Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| November 22, 2016 |
Penn Capital Funds Trust - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on [date] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 29, 2016 |
FORM N-SAR Exhibit 77B PENN Capital Funds 811-23011 For Period Ended 06/30/16 Report of Independent Registered Public Accounting Firm The Shareholders and Board of Trustees of PENN Capital Funds Trust: In planning and performing our audits of the financial statements of PENN Capital Small/Mid Cap Equity Fund, PENN Capital Small Cap Equity Fund, PENN Capital Opportunistic High Yield Fund, and PENN |
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| August 29, 2016 |
FORM N-SAR Exhibit 77B PENN Capital Funds 811-23011 For Period Ended 06/30/16 Report of Independent Registered Public Accounting Firm The Shareholders and Board of Trustees of PENN Capital Funds Trust: In planning and performing our audits of the financial statements of PENN Capital Small/Mid Cap Equity Fund, PENN Capital Small Cap Equity Fund, PENN Capital Opportunistic High Yield Fund, and PENN |
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| May 26, 2016 |
Penn Capital Funds Trust - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on May 26, 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 26, 2016 |
CERTIFICATIONS I, Richard A. Hocker, certify that: 1. I have reviewed this report on Form N-Q of PENN Capital Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| March 31, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-18F-1 NOTIFICATION OF ELECTION PURSUANT TO RULE 18f-1 UNDER UNDER THE INVESTMENT COMPANY ACT OF 1940. PENN Capital Funds Trust Exact Name of Registrant NOTIFICATION OF ELECTION The undersigned registered open-end investment company hereby notifies the Securities and Exchange Commission that it elects to commit itself to |
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| November 18, 2015 |
Code of Ethics of PENN Capital Funds Trust EX-99.p.1 PENN Capital Funds Trust Code of Ethics Effective [ ] Legal Requirement This Code of Ethics has been adopted by the Board of the Trust in accordance with Rule 17j 1(c)(1) under the Investment Company Act of 1940 (the ? 1940 Act?). Rule 17j 1 under the 1940 Act generally proscribes fraudulent or manipulative practices with respect to purchases or sales of securities held or to be acquired |
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| November 18, 2015 |
EX-99.j.2 POWER OF ATTORNEY The undersigned Trustees and/or Officers of PENN Capital Funds Trust (the “Trust”), a registered investment company, hereby appoint Richard A. Hocker, Lisa L.B. Matson, Gerald McBride, Robert J. McLaughlin and Peter Townsend (with full power to each of them to act alone) his or her attorney-in-fact and agent, in all capacities, to execute, deliver and file in the names |
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| November 18, 2015 |
Form of Shareholder Servicing Plan EX-99.h.5 PENN CAPITAL FUNDS TRUST (THE “TRUST”) SHAREHOLDER SERVICING PLAN WHEREAS, the Trust, a Delaware statutory trust, is registered as an open-end, management investment company under the Investment Company Act of 1940, as amended; and WHEREAS, the Trust is authorized (i) to issue shares in separate series, with the shares of each such series representing the interests in a separate portfoli |
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| November 18, 2015 |
Form of Distribution and Shareholder Servicing Plan Pursuant to Rule 12b-1 EX-99.m INVESTOR CLASS DISTRIBUTION AND SERVICING PLAN Preamble to Distribution and Servicing Plan The following Distribution and Servicing Plan (the ?Plan?) has been adopted pursuant to Rule 12b-1 under the Investment Company Act of 1940, as amended (the ?1940 Act?), by PENN Capital Funds Trust (the ?Trust?) for the use of the Investor Class shares of each series of the Trust listed on Exhibit A |
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| November 18, 2015 |
Amended and Restated Agreement and Declaration of Trust dated October 21, 2015 EX-99.a.2 AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of PENN CAPITAL FUNDS TRUST a Delaware Statutory Trust (Original Agreement and Declaration of Trust was adopted August 29, 2014; Amended and Restated Agreement and Declaration of Trust was adopted October 21, 2015.) TABLE OF CONTENTS ARTICLE I. NAME; OFFICES; REGISTERED AGENT; DEFINITIONS 2 Section 1. Name 2 Section 2. Offices of th |
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| November 18, 2015 |
Distribution Agreement (Penn Capital Funds) between the Registrant and Foreside Fund Services, LLC EX-99.e DISTRIBUTION AGREEMENT THIS AGREEMENT is made and entered into as of this 22nd day of October, 2015 by and between PENN Capital Funds Trust, a Delaware statutory trust (the “Client”) and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”). WHEREAS, the Client is registered under the Investment Company Act of 1940, as amended (the “1940 Act”), as an open-en |
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| November 18, 2015 |
As filed with the United States Securities and Exchange Commission on November 18, 2015 1933 Act File No. |
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| November 18, 2015 |
Code of Ethics of Foreside Financial Group, LLC EX-99.p.3 Code of Ethics Code of Ethics INTRODUCTION 1 1. STANDARDS OF PROFESSIONAL CONDUCT 2 (a) Fiduciary Duties 2 (b) Compliance with Laws 2 (c) Corporate Culture 2 (d) Professional Misconduct 3 (e) Disclosure of Conflicts 3 (f) Undue Influence 3 (g) Confidentiality and Protection of Material Nonpublic Information 3 (h) Personal Securities Transactions 4 (i) Gifts 4 (j) Service on Boards 4 (k) |
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| November 18, 2015 |
EX-99.p.2 As of October 1, 2015 Code of Ethics Adopted under Rule 204A-1 of the Advisers Act and Rule 17j-1 of the 1940 Act. While affirming its confidence in the integrity and good faith of its officers and employees, PENN recognizes that the knowledge of present or future portfolio transactions and the power to influence portfolio transactions which may be possessed by certain of its officers an |
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| November 18, 2015 |
Fund Accounting Servicing Agreement between the Registrant and U.S. Bancorp Fund Services, LLC EX-99.h.3 FUND ACCOUNTING SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 22nd day of October, 2015, by and between PENN Capital Funds Trust, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”). WHEREAS, the Trust is registered under the Investment Company Act of 1940, as amended (the “1940 Act”), as a |
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| November 18, 2015 |
Custody Agreement between the Registrant and U.S. Bank National Association EX-99.g CUSTODY AGREEMENT THIS AGREEMENT is made and entered into as of this 22nd day of October, 2015, by and between PENN Capital Funds Trust, a Delaware statutory trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”). WHEREAS, the Trust is registered under the Investment Com |
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| November 18, 2015 |
EX-99.d.1 INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT, made by and between PENN Capital Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of the funds listed on Schedule A attached hereto (each, a “Fund” and collectively, the “Funds”), and PENN Capital Management Company, Inc., a Delaware corporation (the “Adviser”). W I T N E S S E T H: WHEREAS, the Trust has been organize |
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| November 18, 2015 |
EX-99.l PURCHASE AGREEMENT PENN Capital Funds Trust (the “Trust”), a Delaware statutory trust, and PENN Capital Management Company, Inc. (the “Adviser”), a Delaware corporation, hereby agree as follows: 1. The Trust hereby offers to sell to the Adviser and the Adviser hereby agrees to purchase 10,000 shares of the PENN Capital Senior Floating Rate Income Fund, a series of the Trust, at a price of |
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| November 18, 2015 |
Fund Administration Servicing Agreement between the Registrant and U.S. Bancorp Fund Services, LLC EX-99.h.1 FUND ADMINISTRATION SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 22nd day of October, 2015, by and between PENN Capital Funds Trust, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”). WHEREAS, the Trust is registered under the Investment Company Act of 1940, as amended (the “1940 Act”), |
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| November 18, 2015 |
PENN Capital Funds Trust Expense Limitation Agreement EX-99.d.2 PENN Capital Funds Trust Expense Limitation Agreement THIS AGREEMENT is made by and between PENN Capital Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of the funds listed on Schedule A hereto (each, a “Fund” and collectively, the “Funds”), and PENN Capital Management Company, Inc., a Delaware corporation (the “Adviser”). The Adviser hereby agrees to waive all or a port |
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| November 18, 2015 |
EX-99.i Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7098 Telephone 215.564.8000 Fax 215.564.8120 www.stradley.com November 18, 2015 Board of Trustees of PENN Capital Funds Trust Three Crescent Drive, Suite 400 Philadelphia, Pennsylvania 19112 Subject: Pre-Effective Amendment No. 3 to the Registration Statement on Form N-1A of PENN Capital Funds Trust, |
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| November 18, 2015 |
Form of Rule 18f-3 Multiple Class Plan EX-99.n MULTIPLE CLASS PLAN PURSUANT TO RULE 18F-3 This Multiple Class Plan (the “Plan”) has been adopted by a majority of the Board of Trustees (the “Board” or “Trustees”) of PENN Capital Funds Trust (the “Trust”), with respect to the separate series of the Trust identified on Appendix A as may be amended from time to time (each, a “Fund” and collectively, the “Funds”), including a majority of th |
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| November 18, 2015 |
Consent of Registered Independent Public Accounting Firm EX-99.j.1 Consent of Registered Independent Public Accounting Firm To the Shareholder and Board of Trustees of PENN Capital Funds Trust: We consent to the use of our report dated November 18, 2015 included herein, with respect to the statements of assets and liabilities (in Organization) of PENN Capital Funds Trust (the “Funds”), comprised of PENN Capital Small/Mid Cap Equity Fund, PENN Capital Sm |
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| November 18, 2015 |
Fund CCO Agreement between the Registrant and Foreside Compliance Services, LLC EX-99.h.4 FUND CCO AGREEMENT AGREEMENT made as of January 14, 2015 by and between PENN Capital Funds Trust, a Delaware statutory trust, with its principal office and place of business at Navy Yard Corporate Center, 3 Crescent Drive, Suite 400, Philadelphia, Pennsylvania 19112 (the “Fund Company”), and Foreside Compliance Services, LLC, a Delaware limited liability company, with its principal offic |
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| November 18, 2015 |
CONSENT OF INDEPENDENT VERIFICATION FIRM EX-99.J OTHER OPININ 15 acaconsent.htm CONSENT OF ACA PERFORMANCE SERVICES EX-99.j.3 CONSENT OF INDEPENDENT VERIFICATION FIRM As the independent verification firm for Penn Capital Management, we hereby consent to reference to the firm-wide verification for the period January 1, 2004 to December 31, 2014 and performance examinations of (1) the Small Cap Equity composite for the period January 1, 20 |
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| November 18, 2015 |
Transfer Agent Servicing Agreement between the Registrant and U.S. Bancorp Fund Services, LLC EX-99.h.2 TRANSFER AGENT SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 22nd day of October, 2015, by and between PENN Capital Funds Trust, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”). WHEREAS, the Trust is registered under the Investment Company Act of 1940, as amended (the “1940 Act”), as a |
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| August 4, 2015 |
Stradley Ronon Stevens & Young, LLP Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7018 Telephone (215) 564-8000 Fax (215) 564-8120 www. |
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| August 4, 2015 |
As filed with the United States Securities and Exchange Commission on August 4, 2015 1933 Act File No. |
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| April 30, 2015 |
As filed with the United States Securities and Exchange Commission on April 30, 2015 1933 Act File No. |
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| April 30, 2015 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7018 Telephone 215. |
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| April 30, 2015 |
Stradley Ronon Stevens & Young, LLP Suite 2600 2005 Market Street Philadelphia, PA 19103-7018 Telephone (215) 564-8000 Fax (215) 564-8120 www. |
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| November 13, 2014 |
AGREEMENT AND DECLARATION OF TRUST PENN CAPITAL FUNDS TRUST a Delaware Statutory Trust EX-99.A CHARTER 3 decloftrust.htm EX-99.a.2 AGREEMENT AND DECLARATION OF TRUST of PENN CAPITAL FUNDS TRUST a Delaware Statutory Trust TABLE OF CONTENTS ARTICLE I. NAME; OFFICES; REGISTERED AGENT; DEFINITIONS 1 Section 1. Name 1 Section 2. Offices of the Trust 1 Section 3. Registered Agent and Registered Office 2 Section 4. Definitions 2 ARTICLE II. PURPOSE OF TRUST 4 ARTICLE III. SHARES 7 Section |
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| November 13, 2014 |
Penn Capital Funds Trust N-1A - - As filed with the United States Securities and Exchange Commission on November 13, 2014 1933 Act File No. |
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| November 13, 2014 |
EX-99.A CHARTER 2 certoftrust.htm EX-99.a.1 CERTIFICATE OF TRUST OF PENN CAPITAL FUNDS TRUST This Certificate of Trust of PENN Capital Funds Trust, a statutory trust (the “Trust”), executed by the undersigned trustee, and filed under and in accordance with the provisions of the Delaware Statutory Trust Act (12 Del. C. § 3801 et seq.) (the “Act”), sets forth the following: FIRST: The name of the st |
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| November 13, 2014 |
Penn Capital Funds Trust N-8A - - SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connection with such notific |
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| November 13, 2014 |
By-Laws effective as of August 29, 2014 EX-99.b BY-LAWS of PENN CAPITAL FUNDS TRUST A Delaware Statutory Trust (Effective as of August 29, 2014) These By-Laws may contain any provision not inconsistent with applicable law or the Declaration of Trust, relating to the governance of the Trust. Unless otherwise specified in these By-Laws, capitalized terms used in these By-Laws shall have the meanings assigned to them in the Declaration of |
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| November 13, 2014 |
Penn Capital Funds Trust COVER - - Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7018 Telephone 215. |
