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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 Pioneer Floating Rate Fund, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 21, 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 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)) [ ]Definitive Prox |
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| August 19, 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 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)) [ ]Definitive Prox |
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| August 7, 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 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)) [ ] Definitive P |
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| August 7, 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 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)) [ ]Definitive Prox |
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| July 9, 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 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)) [ ] Definitive P |
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| June 10, 2025 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 20, 2025 |
CEF Funds Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2025 PIONEER FLOATING RATE FUND, INC. (Registrant) PIONEER DIVERSIFIED HIGH INCOME FUND, INC. PIONEER HIGH INCOME FUND, INC. PIONEER MUNICIPAL HIGH INCOME FUND, INC. PIONEER MU |
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| May 9, 2025 |
PIONEER FLOATING RATE FUND, INC. AMENDED AND RESTATED BYLAWS ARTICLE I EX-99.1 PIONEER FLOATING RATE FUND, INC. AMENDED AND RESTATED BYLAWS ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such places as the Board of |
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| May 8, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2025 PIONEER FLOATING RATE FUND, INC. (Registrant) PIONEER DIVERSIFIED HIGH INCOME FUND, INC. PIONEER HIGH INCOME FUND, INC. PIONEER MUNICIPAL HIGH INCOME FUND, INC. PIONEER MU |
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| April 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2025 PIONEER FLOATING RATE FUND, INC. (Registrant) PIONEER DIVERSIFIED HIGH INCOME FUND, INC. PIONEER HIGH INCOME FUND, INC. PIONEER MUNICIPAL HIGH INCOME FUND, INC. PIONEER |
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| March 26, 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 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)) ☐ Definitive Proxy State |
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| March 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2025 PIONEER FLOATING RATE FUND, INC. (Registrant) PIONEER DIVERSIFIED HIGH INCOME FUND, INC. PIONEER HIGH INCOME FUND, INC. (Co-Registrants) (Exact name of registrant as sp |
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| March 25, 2025 |
Exhibit 99.1 Pioneer Diversified High Income Fund, Inc. (HNW) Pioneer Floating Rate Fund, Inc. (PHD) Pioneer High Income Fund, Inc. (PHT) (each a “Fund” and together, the “Funds”) PIONEER CLOSED-END FUNDS ANNOUNCE POSTPONEMENT OF MARCH 26, 2025 SPECIAL MEETING OF STOCKHOLDERS BOSTON, MA – (BUSINESS WIRE) – March 25, 2025. Each of the Funds listed above announced today that the Special Meeting of S |
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| February 24, 2025 |
RULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 RULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material Under Rule 14a-12 Pioneer Floating Rate Fund (Name of Registrant as Specified In Its Charter) Saba Capital Management, L. |
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| February 11, 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 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)) [X] Definiti |
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| February 10, 2025 |
Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 February 10, 2025 Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 February 10, 2025 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| February 10, 2025 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant þ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Under Rule 14a-12 Pioneer Floating Rate Fund, Inc. |
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| February 3, 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 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)) [ ] Defini |
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| January 31, 2025 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant þ Check the appropriate box: þ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 Pioneer Floating Rate Fund, Inc. |
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| January 29, 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 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)) [ ] Defini |
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| August 21, 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 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)) [X] Def |
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| July 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 19, 2024 PIONEER FLOATING RATE FUND, INC. (Registrant) PIONEER DIVERSIFIED HIGH INCOME FUND, INC. PIONEER HIGH INCOME FUND, INC. PIONEER MUNICIPAL HIGH INCOME FUND, INC. PIONEER |
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| July 19, 2024 |
AMUNDI US ANNOUNCES PROPOSED TRANSACTION RELATING TO PIONEER CLOSED-END FUNDS Exhibit 99.1 AMUNDI US ANNOUNCES PROPOSED TRANSACTION RELATING TO PIONEER CLOSED-END FUNDS FOR IMMEDIATE RELEASE July 19, 2024 Boston, Massachusetts— Amundi US today announced a proposed transaction affecting the following Pioneer closed-end funds: • Pioneer Diversified High Income Fund, Inc. (NYSEAMER: HNW) • Pioneer Floating Rate Fund, Inc. (NYSE: PHD) • Pioneer High Income Fund, Inc. (NYSE: PHT |
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| March 12, 2024 |
Pioneer Floating Rate Fund, Inc. Schedule of Investments | February 28, 2023 Ticker Symbol: PHD Schedule of Investments | 2/28/23 (unaudited) Principal Amount USD ($) Value UNAFFILIATED ISSUERS — 149.2% Senior Secured Floating Rate Loan Interests — 123.0% of Net Assets(a)* Advanced Materials — 1.7% 915,954 Gemini HDPE LLC, 2027 Advance, 7.83% (LIBOR + 300 bps), 12/31/27 $ 915,136 1,379,987 Grou |
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| March 12, 2024 |
Pioneer Floating Rate Fund, Inc. Schedule of Investments | August 31, 2022 Ticker Symbol: PHD Schedule of Investments | 8/31/22 (unaudited) Principal Amount USD ($) Value UNAFFILIATED ISSUERS — 147.2% Senior Secured Floating Rate Loan Interests — 121.8% of Net Assets*(a) Advanced Materials — 1.7% 936,686 Gemini HDPE LLC, 2027 Advance, 5.81% (LIBOR + 300 bps), 12/31/27 $ 923,572 1,386,993 Groupe |
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| March 12, 2024 |
Pioneer Floating Rate Fund, Inc. Schedule of Investments | August 31, 2023 Ticker Symbol: PHD Schedule of Investments | 8/31/23 (unaudited) Principal Amount USD ($) Value UNAFFILIATED ISSUERS — 147.6% Senior Secured Floating Rate Loan Interests — 124.0% of Net Assets(a)* Advanced Materials — 1.7% 894,859 Gemini HDPE LLC, 2027 Advance, 8.631% (Term SOFR + 300 bps), 12/31/27 $ 895,418 1,372,982 G |
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| July 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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)) |X| |
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| July 18, 2022 |
Pioneer Floating Rate Fund, Inc. Schedule of Investments | February 28, 2022 Ticker Symbol: PHD Schedule of Investments | 2/28/22 (unaudited) Principal Amount USD ($) Value UNAFFILIATED ISSUERS — 154.1% Senior Secured Floating Rate Loan Interests — 124.0% of Net Assets*(a) Advanced Materials — 1.7% 957,062 Gemini HDPE LLC, 2027 Advance, 3.50% (LIBOR + 300 bps), 12/31/27 $ 951,230 1,393,998(b) G |
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| February 14, 2022 |
PHD / Pioneer Floating Rate Trust / Saba Capital Management, L.P. - FORM SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Pioneer Floating Rate Fund, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| April 27, 2021 |
Pioneer Floating Rate Trust Schedule of Investments | February 28, 2021 Ticker Symbol: PHD Schedule of Investments | 2/28/2021 (unaudited) Principal Amount USD ($) Value UNAFFILIATED ISSUERS - 148. |
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| April 21, 2021 |
8-A12B/A 1 d57083d8a12ba.htm PIONEER FLOATING RATE TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A/A Amendment No. 1 to Form 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 PIONEER FLOATING RATE FUND, INC. (Exact Name of Registrant as Specified in its Charter) Maryland 58-2683903 (S |
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| April 21, 2021 |
N-8A/A 1 d152877dn8aa.htm PIONEER FLOATING RATE TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A/A AMENDMENT TO AND ADOPTION OF NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company, a Maryland corporation (the “Registrant”), hereby notifies the U.S. Securities and Exchange Commiss |
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| April 21, 2021 |
Bylaws of each Maryland corporation PIONEER FLOATING RATE FUND, INC. BYLAWS ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such places as the Board of Directors may from time to ti |
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| April 21, 2021 |
Pioneer Floating Rate Trust Annual Report | November 30, 2020 Ticker Symbol: PHD Beginning in or after February 2021, as permitted by regulations adopted by the Securities and Exchange Commission, paper copies of the Trust?s shareholder reports like this one will no longer be sent by mail, unless you specifically request paper copies of the reports from the Trust or from your financial intermediary, such as a broker-dealer, bank or insurance company. |
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| April 21, 2021 |
PIONEER FLOATING RATE FUND, INC. ARTICLE I PIONEER FLOATING RATE FUND, INC. BYLAWS ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such places as the Board of Directors may from time to ti |
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| April 21, 2021 |
Articles of Incorporation of each Maryland corporation PIONEER FLOATING RATE FUND, INC. ARTICLES OF INCORPORATION ARTICLE I INCORPORATOR The undersigned, Hirsh Ament, whose address is c/o Venable LLP, 750 E. Pratt Street, Suite 900, Baltimore, MD 21202, being at least 18 years of age, does hereby form a corporation under the general laws of the State of Maryland. ARTICLE II NAME The name of the corporation (the ?Corporation?) is: Pioneer Floating Rate |
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| April 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2021 PIONEER FLOATING RATE TRUST (Registrant) PIONEER DIVERSIFIED HIGH INCOME TRUST PIONEER MUNICIPAL HIGH INCOME TRUST PIONEER MUNICIPAL HIGH INCOME ADVANTAGE TRUST PIONEER |
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| April 21, 2021 |
AGREEMENT AND PLAN OF MERGER THIS AGREEMENT AND PLAN OF MERGER (this ?Agreement?) is made as of this 21st day of April, 2021, between Pioneer Floating Rate Trust, a Delaware statutory trust (the ?Acquired Fund?), and Pioneer Floating Rate Fund, Inc. |
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| April 21, 2021 |
PIONEER FLOATING RATE FUND, INC. ARTICLES OF INCORPORATION ARTICLE I PIONEER FLOATING RATE FUND, INC. ARTICLES OF INCORPORATION ARTICLE I INCORPORATOR The undersigned, Hirsh Ament, whose address is c/o Venable LLP, 750 E. Pratt Street, Suite 900, Baltimore, MD 21202, being at least 18 years of age, does hereby form a corporation under the general laws of the State of Maryland. ARTICLE II NAME The name of the corporation (the ?Corporation?) is: Pioneer Floating Rate |
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| April 7, 2021 |
PIONEER US CLOSED-END FUNDS TO REDOMICILE TO MARYLAND Press Release dated April 7, 2021 PIONEER US CLOSED-END FUNDS TO REDOMICILE TO MARYLAND FOR IMMEDIATE RELEASE April 7, 2021 Boston, Massachusetts — The Board of each of Pioneer Diversified High Income Trust (NYSE American: HNW), Pioneer Floating Rate Trust (NYSE: PHD), Pioneer High Income Trust (NYSE: PHT), Pioneer Municipal High Income Advantage Trust (NYSE: MAV) and Pioneer Municipal High Income Trust (NYSE: MHI) (each, a “Fund”) announced today that it has voted to redomicile the Fund from a Delaware statutory trust to a Maryland corporation (in each case, the “redomiciling”). |
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| April 7, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 7, 2021 PIONEER FLOATING RATE TRUST (Registrant) PIONEER DIVERSIFIED HIGH INCOME TRUST PIONEER MUNICIPAL HIGH INCOME TRUST PIONEER MUNICIPAL HIGH INCOME ADVANTAGE TRUST PIONEER |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Pioneer Floating Rate Trust (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| December 31, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Pioneer Floating Rate Trust (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) December 29, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| December 29, 2020 |
PIONEER FLOATING RATE TRUST ANNOUNCES FINAL RESULTS OF TENDER OFFER Press Release dated December 28, 2020 PIONEER FLOATING RATE TRUST ANNOUNCES FINAL RESULTS OF TENDER OFFER FOR IMMEDIATE RELEASE December 28, 2020 Boston, Massachusetts — Pioneer Floating Rate Trust (NYSE: PHD) (the “Fund”) announced today the final results for the previously announced issuer tender offer for up to 50% of the Fund’s outstanding common shares (the “Shares”). |
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| December 29, 2020 |
Press Release dated December 23, 2020 PIONEER FLOATING RATE TRUST ANNOUNCES EXPIRATION OF TENDER OFFER AND PRELIMINARY RESULTS OF TENDER OFFER FOR IMMEDIATE RELEASE December 23, 2020 Boston, Massachusetts — Pioneer Floating Rate Trust (NYSE: PHD) (the “Fund”) announced today the expiration and preliminary results for the previously announced tender offer for up to 50% of the Fund’s outstanding common shares (the “Shares”). |
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| December 29, 2020 |
Pioneer Floating Rate Trust AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON DECEMBER 29, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 25, 2020 |
BY-LAWS PIONEER FLOATING RATE TRUST (As amended and restated as of November 24, 2020) ARTICLE I Amended and Restated Bylaws BY-LAWS OF PIONEER FLOATING RATE TRUST (As amended and restated as of November 24, 2020) ARTICLE I DEFINITIONS All capitalized terms not defined herein have the respective meanings given them in the Agreement and Declaration of Trust of Pioneer Floating Rate Trust dated October 6, 2004, as may be amended or restated from time to time (the “Declaration of Trust”). |
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| November 25, 2020 |
PIONEER FLOATING RATE TRUST AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST Amended and Restated Agreement and Declaration of Trust PIONEER FLOATING RATE TRUST AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST This AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST is made as of this 24th day of November, 2020 by the Trustees hereunder; WHEREAS, PIONEER FLOATING RATE TRUST was established pursuant to an Agreement and Declaration of Trust dated as of October 6, |
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| November 25, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 24, 2020 Pioneer Floating Rate Trust (Exact name of registrant as specified in its charter) Delaware 811-21654 58-2683903 (State or other jurisdiction of incorporation) (Comm |
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| November 23, 2020 |
Sub-Administration Agreement between Brown Brothers Harriman & Co. and the Fund Exhibit (d)(6) [LOGO] BROWN BROTHERS HARRIMAN ADMINISTRATIVE AGENCY AGREEMENT DATED as of March 5, 2012 BROWN BROTHERS HARRIMAN & CO. and PIONEER INVESTMENT MANAGEMENT, INC. With respect to the PIONEER FUNDS listed on Appendix A hereto THIS ADMINISTRATIVE AGENCY AGREEMENT is made as of March 5, 2012 by and between BROW |
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| November 23, 2020 |
Custodian Contract between Brown Brothers Harriman & Co. and the Fund Exhibit (d)(3) CUSTODIAN AGREEMENT THIS AGREEMENT, dated as of July 1, 2001 between each of the open-end management investment companies listed on Appendix A hereto each a Fund (as amended from time to time) severally and not jointly, (each a FUND), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws o |
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| November 23, 2020 |
Management Agreement between Amundi Pioneer Asset Management, Inc. and the Fund Exhibit (d)(2) MANAGEMENT AGREEMENT This MANAGEMENT AGREEMENT (“Agreement”) is made as of this 3rd day of July, 2017, by and between Pioneer Floating Rate Trust (the “Trust”), a Delaware statutory trust, and Amundi Pioneer Asset Management, Inc., a Delaware corporation (the “Manager”). WHEREAS, the Trust is registered |
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| November 23, 2020 |
Offer to Purchase Exhibit (a)(1)(i) OFFER BY PIONEER FLOATING RATE TRUST TO PURCHASE FOR CASH UP TO 50% OR 12,369,087 OF ITS OUTSTANDING COMMON SHARES OF BENEFICIAL INTEREST AT 98. |
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| November 23, 2020 |
Pioneer Floating Rate Trust Announces Plan for Tender Offer Press Release dated August 31, 2020 Exhibit (a)(5)(i) Pioneer Floating Rate Trust Announces Plan for Tender Offer BOSTON, MA – August 31, 2020. |
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| November 23, 2020 |
Letter of Transmittal Exhibit (a)(1)(ii) Letter of Transmittal to Tender Shares of Common Stock of PIONEER FLOATING RATE TRUST Pursuant to the Offer to Purchase dated November 23, 2020 THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 PM, EASTERN STANDARD TIME, ON TUESDAY, DECEMBER 22, 2020, UNLESS THE OFFER IS EXTENDED (SUCH DATE AND TIME, AS IT MAY BE EXTENDED, THE “EXPIRATION DATE”) OR EARLIER TERMINATED. |
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| November 23, 2020 |
TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENT Transfer Agency and Service Agreement Exhibit (d)(4) TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENT This Transfer Agency and Registrar Services Agreement (this “Agreement”), dated as of November 6, 2015 is between each closed-end fund listed on Exhibit A hereto (each a “Fund” and collectively, the “Funds”) and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company (“AST”). |
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| November 23, 2020 |
AMENDED AND RESTATED ADMINISTRATION AGREEMENT Administration Agreement Exhibit (d)(5) AMENDED AND RESTATED ADMINISTRATION AGREEMENT This AMENDED AND RESTATED ADMINISTRATION AGREEMENT (“Agreement”) is made as of July 1, 2008, amended and restated as of November 1, 2009, and further amended and restated as of August 1, 2014, November 9, 2015 and February 1, 2017, by and between each Trust listed on Appendix A annexed hereto (each, a “Trust”), each a Delaware statutory trust, and Amundi Pioneer Asset Management, Inc. |
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| November 23, 2020 |
PIONEER FLOATING RATE TRUST ANNOUNCES COMMENCEMENT OF TENDER OFFER Press Release dated November 23, 2020 Exhibit (a)(5)(ii) PIONEER FLOATING RATE TRUST ANNOUNCES COMMENCEMENT OF TENDER OFFER FOR IMMEDIATE RELEASE November 23, 2020 Boston, Massachusetts— Pioneer Floating Rate Trust (NYSE: PHD) (the “Fund”) announced today that it has commenced a tender offer. |
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| November 23, 2020 |
Letter to Clients and Client Instruction Form Exhibit (a)(1)(iv) OFFER BY PIONEER FLOATING RATE TRUST TO PURCHASE FOR CASH UP TO 50% OR 12,369,087 OF ITS OUTSTANDING COMMON SHARES OF BENEFICIAL INTEREST AT 98. |
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| November 23, 2020 |
Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees Exhibit (a)(1)(iii) OFFER BY PIONEER FLOATING RATE TRUST TO PURCHASE FOR CASH UP TO 50% OR 12,369,087 OF ITS OUTSTANDING COMMON SHARES OF BENEFICIAL INTEREST AT 98. |
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| November 23, 2020 |
Pioneer Floating Rate Trust AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 23, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 23, 2020 |
Standstill Agreement Exhibit (d)(1) EXECUTION COPY STANDSTILL AGREEMENT This Agreement is entered into as of August 31, 2020 (this “Agreement” (including the exhibits hereto)), by and among Saba Capital Management, L. |
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| October 28, 2020 |
Pioneer Floating Rate Trust Schedule of Investments | August 31, 2020 Ticker Symbol: PHD Principal Amount USD ($) Value UNAFFILIATED ISSUERS - 138. |
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| September 4, 2020 |
Pioneer Floating Rate Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| September 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* Pioneer Floating Rate Trust (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542-4635 |
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| September 1, 2020 |
Pioneer Floating Rate Trust AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 31, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 31, 2020 |
Pioneer Floating Rate Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 27, 2020 |
DEFA14A 1 d91799ddefa14a.htm PIONEER FLOATING RATE TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 Com |
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| August 26, 2020 |
Pioneer Floating Rate Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 25, 2020 |
begin 644 p20-1632dfan14a.pdf M)5!$1BTQ+C4-)>+CS],-"C(R-B P(&]B:@T\/"],:6YE87)I>F5D(#$O3" W M.30X-C(O3R R,C@O12 Q,3$U,S@O3B U+U0@-SDT-#(X+T@@6R T-38@,C0Q M73X^#65N9&]B:@T@(" @(" @(" @(" @#0HR,S(@,"!O8FH-/#PO1&5C;V1E M4&%R;7,\/"]#;VQU;6YS(#0O4')E9&EC=&]R(#$R/CXO1FEL=&5R+T9L871E M1&5C;V1E+TE$6SPQ0S!!134P,38S0D8U,S0W0C9$,$,R,S,X-S4P.#8R-#X\ M1C4P-#0Y-CDQ.#4P-D0T0D$X,3%%,S!$.4(W1C%LR,C8@ M,3-=+TEN9F\@ |
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| August 25, 2020 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant þ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement þ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 Pioneer Floating Rate Trust (Name of Registrant as Specified In Its Charter) Saba Capital Management, L. |
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| August 18, 2020 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 14, 2020 |
Pioneer Floating Rate Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 14, 2020 |
Pioneer Floating Rate Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 7, 2020 |
Pioneer Floating Rate Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 7, 2020 |
DEFA14A 1 d942676ddefa14a.htm PIONEER FLOATING RATE TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 Co |
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| August 4, 2020 |
Pioneer Floating Rate Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 4, 2020 |
Pioneer Floating Rate Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 3, 2020 |
SEC Cover Letter Morgan, Lewis & Bockius LLP 1111 Pennsylvania Avenue, NW Washington, DC 20004 Tel. |
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| August 3, 2020 |
Pioneer Floating Rate Trust Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 30, 2020 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant þ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement þ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 Pioneer Floating Rate Trust (Name of Registrant as Specified In Its Charter) Saba Capital Management, L. |
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| July 29, 2020 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant þ Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Under Rule 14a-12 Pioneer Floating Rate Trust (Name of Registrant as Specified In Its Charter) Saba Capital Management, L. |
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| July 29, 2020 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant þ Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Under Rule 14a-12 Pioneer Floating Rate Trust (Name of Registrant as Specified In Its Charter) Saba Capital Management, L. |
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| July 29, 2020 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant þ Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Under Rule 14a-12 Pioneer Floating Rate Trust (Name of Registrant as Specified In Its Charter) Saba Capital Management, L. |
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| July 22, 2020 |
Pioneer Floating Rate Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 14, 2020 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant þ Check the appropriate box: þ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 Pioneer Floating Rate Trust (Name of Registrant as Specified In Its Charter) Saba Capital Management, L. |
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| June 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* Pioneer Floating Rate Trust (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542-4635 |
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| June 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Pioneer Floating Rate Trust (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542-4635 |
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| June 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Pioneer Floating Rate Trust (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542-4635 |
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| May 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Pioneer Floating Rate Trust (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542-4635 |
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| May 7, 2020 |
Pioneer Floating Rate Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Pioneer Floating Rate Trust (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542-4635 |
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| May 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Pioneer Floating Rate Trust (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542-4635 (N |
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| April 29, 2020 |
Pioneer Floating Rate Trust Schedule of Investments | February 29, 2020 Ticker Symbol: PHD Principal Amount USD ($) Value UNAFFILIATED ISSUERS - 151. |
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| February 14, 2020 |
PHD / Pioneer Floating Rate Trust / Saba Capital Management, L.P. - FORM SC 13G/A Passive Investment SC 13G/A 1 formsc13ga-phd.htm FORM SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.2)* Pioneer Floating Rate Trust (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check t |
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| October 25, 2019 |
PHD / Pioneer Floating Rate Trust NPORT-EX - - SOI Pioneer Floating Rate Trust Schedule of Investments | August 31, 2019 Ticker Symbol: PHD Schedule of Investments | 8/31/19 (unaudited) Principal Amount USD ($) Value UNAFFILIATED ISSUERS - 148. |
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| October 25, 2019 |
PHD / Pioneer Floating Rate Trust / Saba Capital Management, L.P. - FORM SC 13G/A Passive Investment SC 13G/A 1 sched13ga.htm FORM SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.1)* PIONEER FLOATING RATE TRUST (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) October 21, 2019 (Date of Event which Requires Filing of this Statement) Check the app |
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| April 29, 2019 |
PHD / Pioneer Floating Rate Trust N-Q (Quarterly Schedule of Portfolio Holdings) NQ 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 811-21654 Pioneer Floating Rate Trust (Exact name of registrant as specified in charter) 60 State Street, Boston, MA 02109 (Address of principal executive offices) (ZIP code) Terrence J. Cullen, Pion |
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| April 29, 2019 |
CERTIFICATIONS I, Lisa Jones, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 cov |
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| April 12, 2019 |
PHD / Pioneer Floating Rate Trust / Saba Capital Management, L.P. - FORM SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Pioneer Floating Rate Trust (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 72369J102 (CUSIP Number) April 4, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant t |
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| October 29, 2018 |
CERTIFICATIONS I, Lisa Jones, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 cov |
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| October 29, 2018 |
PHD / Pioneer Floating Rate Trust NQ (Quarterly Schedule of Portfolio Holdings) 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 811-21654 Pioneer Floating Rate Trust (Exact name of registrant as specified in charter) 60 State Street, Boston, MA 02109 (Address of principal executive offices) (ZIP code) Terrence J. Cullen, Pion |
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| April 25, 2018 |
CERTIFICATIONS I, Lisa Jones, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 cov |
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| April 25, 2018 |
PHD / Pioneer Floating Rate Trust NQ (Quarterly Schedule of Portfolio Holdings) 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 811-21654 Pioneer Floating Rate Trust (Exact name of registrant as specified in charter) 60 State Street, Boston, MA 02109 (Address of principal executive offices) (ZIP code) Terrence J. Cullen, Pion |
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| January 29, 2018 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Pioneer Floating Rate Trust In planning and performing our audits of the financial statements of Pioneer Floating Rate Trust (the "Fund") as of and for the year ended November 30, 2017, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered |
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| January 29, 2018 |
ADDITIONAL INFORMATION (unaudited) ADDITIONAL INFORMATION (unaudited) Change in Independent Registered Public Accounting Firm Prior to July 3, 2017 Pioneer Investment Management, Inc. |
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| January 29, 2018 |
January 29, 2018 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 77k of Form N-SAR B of the entities listed in Appendix A dated November 30, 2017 and have the following comments: 1. We agree with the statements made in the first three sentences of the first paragraph and the entirety of the second and third paragraphs of Item 77 |
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| October 27, 2017 |
Pioneer Floating Rate Trust - FLOATING RATE TRUST SOI floatingratesoi.htm 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 811-21654 Pioneer Floating Rate Trust (Exact name of registrant as specified in charter) 60 State Street, Boston, MA 02109 (Address of principal executive offices) (ZIP code) Terr |
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| October 27, 2017 |
floatingratecert.htm 10:56 AM 10/27/2017 CERTIFICATIONS - I, Lisa M. Jones, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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, |
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| June 9, 2017 |
Pioneer Diversified High Income Trust PIONEER FUNDS PIONEER FUNDS SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. |
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| May 22, 2017 |
Pioneer Municipal Income Trust PIONEER FUNDS PIONEER FUNDS SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. |
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| April 26, 2017 |
Pioneer Diversified High Income Trust PIONEER FUNDS PIONEER FUNDS SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. |
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| April 26, 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 811-21654 Pioneer Floating Rate Trust (Exact name of registrant as specified in charter) 60 State Street, Boston, MA 02109 (Address of principal executive offices) (ZIP code) Terrence J. Cullen, Pion |
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| April 26, 2017 |
10:56 AM 4/26/2017 CERTIFICATIONS - I, Lisa M. Jones, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 r |
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| March 30, 2017 |
Pioneer Diversified High Income Trust PIONEER FUNDS PIONEER FUNDS SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. |
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| March 30, 2017 |
Pioneer Diversified High Income Trust PIONEER FUNDS PIONEER FUNDS SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. |
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| March 30, 2017 |
Pioneer Diversified High Income Trust PIONEER FUNDS PIONEER FUNDS SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement. |
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| March 28, 2017 |
Pioneer Diversified High Income Trust PIONEER CLOSED END FUNDS PIONEER CLOSED END FUNDS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 17, 2017 |
MORGAN, LEWIS & BOCKIUS LLP ONE FEDERAL STREET BOSTON, MASSACHUSETTS 02110 Pioneer Funds MORGAN, LEWIS & BOCKIUS LLP ONE FEDERAL STREET BOSTON, MASSACHUSETTS 02110 March 17, 2017 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| March 13, 2017 |
MORGAN, LEWIS & BOCKIUS LLP ONE FEDERAL STREET BOSTON, MASSACHUSETTS 02110 March 13, 2017 MORGAN, LEWIS & BOCKIUS LLP ONE FEDERAL STREET BOSTON, MASSACHUSETTS 02110 March 13, 2017 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| February 28, 2017 |
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 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)) ☐ Definitive Proxy State |
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| February 28, 2017 |
Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 February 28, 2017 SEC Cover Letter Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 February 28, 2017 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| January 27, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM auditletter.htm REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees and the Shareowners of Pioneer Floating Rate Trust: In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust (the ?Trust?) as of and for the year ended November 30, 2016, in accordance with the standards of the Public Company Accounting Oversight Board (United Sta |
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| October 26, 2016 |
Pioneer Floating Rate Trust FLOATING RATE TRUST SOI (Quarterly Schedule of Portfolio Holdings) floatingratesoi.htm 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 811-21654 Pioneer Floating Rate Trust (Exact name of registrant as specified in charter) 60 State Street, Boston, MA 02109 (Address of principal executive offices) (ZIP code) Terr |
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| October 26, 2016 |
10:56 AM 10/26/2016 CERTIFICATIONS - I, Lisa M. Jones, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 |
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| October 7, 2016 |
exhibit77q1.htm ABC October 7, 2016 Registrant File No. Form Original Filing Date Amended Filing Date Explanation Pioneer Floating Rate Trust 811-21654 N-SAR/A 7/28/16 10/7/16 The Registrant amended the Form N-SAR for the period ended May 31, 2016 to correct, the filing for an incorrect net investment income total. ? Interest income, net investment income and gain/loss were incorrectly stated on t |
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| April 26, 2016 |
floatingratecert.htm 10:56 AM 4/26/2016 CERTIFICATIONS - I, Lisa Jones, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 |
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| April 26, 2016 |
Pioneer Floating Rate Trust FLOATING RATE TRUST SOI (Quarterly Schedule of Portfolio Holdings) 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 811-21654 Pioneer Floating Rate Trust (Exact name of registrant as specified in charter) 60 State Street, Boston, MA 02109 (Address of principal executive offices) (ZIP code) Terrence J. Cullen, Pion |
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| January 27, 2016 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B ACCT LTTR 2 auditletter.htm AUDIT LETTER REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees and the Shareowners of Pioneer Floating Rate Trust: In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust (the “Trust”) as of and for the year ended November 30, 2015, in accordance with the standards of the Public Company Acc |
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| October 29, 2015 |
10:56 AM 10/29/2015 CERTIFICATIONS - I, Lisa Jones, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 res |
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| October 29, 2015 |
Pioneer Floating Rate Trust FLOATING RATE TRUST SOI (Quarterly Schedule of Portfolio Holdings) N-Q 1 floatingratesoi.htm FLOATING RATE TRUST SOI OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response..... 10.5 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 811-21654 Pioneer Floating Rate Tr |
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| April 29, 2015 |
floatingratecert.htm 10:56 AM 4/29/2015 CERTIFICATIONS - I, Lisa Jones, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 |
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| April 29, 2015 |
Pioneer Floating Rate Trust FLOATING RATE TRUST NQ (Quarterly Schedule of Portfolio Holdings) floatingrate.htm OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response..... 10.5 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 811-21654 Pioneer Floating Rate Trust (Exact name of registrant as |
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| February 17, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Pioneer Floating Rate Trust (Name of Issuer) Common Stock (Title of Class of Securities) 72369J102 (CUSIP Number) December 31, 2014** (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| January 29, 2015 |
EX-99.77K CHNG ACCNT 3 changeinaccountant.htm CHANGE IN ACCOUNTANT LETTER 77(K). CHANGE IN REGISTRANT'S CERTIFYING ACCOUNTANT LETTER The Board of Trustees of the Trust, with the approval and recommendation of the Audit Committee, appointed Deloitte & Touche LLP to serve as the Trust’s independent registered public accounting firm for the fiscal year ending November 30, 2014. Deloitte & Touche LLP |
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| January 29, 2015 |
77(B). REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 77(B). REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees and the Shareowners of Pioneer Floating Rate Trust: In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust (the “Trust”) as of and for the year ended November 30, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we |
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| October 30, 2014 |
10:56 AM 10/30/2014 CERTIFICATIONS - I, Lisa Jones, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 res |
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| October 30, 2014 |
Pioneer Floating Rate Trust - FLOATING RATE TRUST NQ OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response. |
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| July 29, 2014 |
Change in Independent Registered Public Accounting Firm Change in Independent Registered Public Accounting Firm The Board of Trustees of the Fund, with the approval and recommendation of the Audit Committee, appointed Deloitte & Touche LLP to serve as the Fund’s independent registered public accounting firm for the fiscal year ending November 30, 2014. |
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| April 28, 2014 |
Quarterly Schedule of Portfolio Holdings - FLOATING RATE TRUST NQ N-Q 1 floatingrate.htm FLOATING RATE TRUST NQ OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response..... 10.5 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 811-08657 Pioneer Pioneer Equity Incom |
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| April 28, 2014 |
10:56 AM 2/26/2014CERTIFICATIONS - I, Daniel K Kingsbury, certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 wi |
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| March 19, 2014 |
EXHIBIT 99.1 Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such amended Schedule 13D, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the informatio |
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| March 19, 2014 |
EXHIBIT 99.1 Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such amended Schedule 13D, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the informatio |
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| March 19, 2014 |
Schedule II MLPF&S CDO Settlement 12/12/2013 Pursuant to an Offer of Settlement made by Merrill Lynch, Fenner, Pierce & Smith Incorporated (MLPF&S”), on December 12, 2013 the SEC issued an order (“Order”) stating that MLPF&S violated the federal securities laws in connection with its structuring and marketing of a series of collateralized debt obligation transactions (“CDOs”) in 2006 and 2007. |
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| March 19, 2014 |
EXHIBIT 99.1 Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such amended Schedule 13D, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the informatio |
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| March 19, 2014 |
Schedule II MLPF&S CDO Settlement 12/12/2013 Pursuant to an Offer of Settlement made by Merrill Lynch, Fenner, Pierce & Smith Incorporated (MLPF&S”), on December 12, 2013 the SEC issued an order (“Order”) stating that MLPF&S violated the federal securities laws in connection with its structuring and marketing of a series of collateralized debt obligation transactions (“CDOs”) in 2006 and 2007. |
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| March 19, 2014 |
SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS The following sets forth the name and present principal occupation of each executive officer and director of Bank of America Corporation. |
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| March 19, 2014 |
Exhibit 99.2 LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the “Corporation”), does hereby irrevocably make, constitute, and appoint each of Michael Didovic and Geoff Rusnak as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation’s name, place and stead, for the Corporation’s use and benefit, to bind the Corporation by his execu |
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| March 19, 2014 |
EX-99.2 3 misc2.htm MISCELLANEOUS EXHIBITS Exhibit 99.2 LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the “Corporation”), does hereby irrevocably make, constitute, and appoint each of Michael Didovic and Geoff Rusnak as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation’s name, place and stead, for the Corporation’s use and be |
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| March 19, 2014 |
PHD / Pioneer Floating Rate Trust / BANK OF AMERICA CORP /DE/ - NONE Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 02 )* Pioneer Floating Rate Trust (Name of Issuer) Auction Rate Preferred (Title of Class of Securities) 72369J (CUSIP Number) Bank of America Corporation BANK OF AMERICA CORPORATE CENTER CHARLOTTE, North Carolina 28255 (Name, Address and Telephone Number of |
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| March 19, 2014 |
EX-99.2 3 misc2.htm MISCELLANEOUS EXHIBITS Exhibit 99.2 LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the “Corporation”), does hereby irrevocably make, constitute, and appoint each of Michael Didovic and Geoff Rusnak as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation’s name, place and stead, for the Corporation’s use and be |
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| March 19, 2014 |
Schedule II MLPF&S CDO Settlement 12/12/2013 Pursuant to an Offer of Settlement made by Merrill Lynch, Fenner, Pierce & Smith Incorporated (MLPF&S”), on December 12, 2013 the SEC issued an order (“Order”) stating that MLPF&S violated the federal securities laws in connection with its structuring and marketing of a series of collateralized debt obligation transactions (“CDOs”) in 2006 and 2007. |
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| March 19, 2014 |
PHD / Pioneer Floating Rate Trust / BANK OF AMERICA CORP /DE/ - NONE Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 03 )* Pioneer Floating Rate Trust (Name of Issuer) Auction Rate Preferred (Title of Class of Securities) 72369J (CUSIP Number) Bank of America Corporation BANK OF AMERICA CORPORATE CENTER CHARLOTTE, North Carolina 28255 (Name, Address and Telephone Number of |
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| March 19, 2014 |
PHD / Pioneer Floating Rate Trust / BANK OF AMERICA CORP /DE/ - NONE Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 01 )* Pioneer Floating Rate Trust (Name of Issuer) Auction Rate Preferred (Title of Class of Securities) 72369J (CUSIP Number) Bank of America Corporation BANK OF AMERICA CORPORATE CENTER CHARLOTTE, North Carolina 28255 (Name, Address and Telephone Number of |
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| March 19, 2014 |
SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS The following sets forth the name and present principal occupation of each executive officer and director of Bank of America Corporation. |
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| March 19, 2014 |
SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS The following sets forth the name and present principal occupation of each executive officer and director of Bank of America Corporation. |
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| February 13, 2014 |
PHD / Pioneer Floating Rate Trust / UBS AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Information to be included in Statements filed pursuant to Rules 13d-1(b), (c) and (d) and amendments thereto filed pursuant to Rule 13d-2(b) (Amendment No. 4) Pioneer Floating Rate Trust (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 72369J201 72369J300 72369J409 (CUSIP Number(s) |
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| February 13, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Pioneer Floating Rate Trust (Name of Issuer) Common Stock (Title of Class of Securities) 72369J102 (CUSIP Number) December 31, 2013** (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| January 29, 2014 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Board of Trustees and the Shareowners of Pioneer Floating Rate Trust In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust (the Company), as of and for the year ended November 30, 2013 in accordance with the standards of the Public Company Accounting Oversight Board (United States), we consider |
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| October 29, 2013 |
CERTIFICATIONS - I, John F. Cogan, Jr., certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 |
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| October 29, 2013 |
Quarterly Schedule of Portfolio Holdings - FLOATING RATE TRUST NQ OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response. |
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| April 29, 2013 |
CERTIFICATIONS - I, John F. Cogan, Jr., certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 |
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| April 29, 2013 |
Quarterly Schedule of Portfolio Holdings - FLOATING RATE TRUST NQ OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response. |
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| February 14, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Pioneer Floating Rate Trust (Name of Issuer) Common Stock (Title of Class of Securities) 72369J102 (CUSIP Number) December 31, 2012** (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| January 29, 2013 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareowners of Pioneer Floating Rate Trust In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust (the Company) as of and for the year ended November 30, 2012, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered t |
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| October 30, 2012 |
CERTIFICATIONS - I, John F. Cogan, Jr., certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 |
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| October 30, 2012 |
Quarterly Schedule of Portfolio Holdings - FLOATING RATE TRUST NQ OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response. |
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| April 26, 2012 |
CERTIFICATIONS - I, John F. Cogan, Jr., certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 |
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| April 26, 2012 |
Quarterly Schedule of Portfolio Holdings - FLOATING RATE TRUST NQ OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response. |
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| February 3, 2012 |
PHD / Pioneer Floating Rate Trust / GUGGENHEIM FUNDS DISTRIBUTORS, INC. - PHD Passive Investment OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response. |
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| January 27, 2012 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Shareowners and Board of Trustees of Pioneer Floating Rate Trust In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust (the Company) as of and for the year ended November 30, 2011 in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered th |
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| January 24, 2012 |
PHD / Pioneer Floating Rate Trust / UBS AG - AMENDMENT NO. 3 TO SCHEDULE 13G Passive Investment AMENDMENT NO. 3 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Pioneer Floating Rate Trust (Name of issuer) Auction Preferred Stock (Title of class of securities) 72369J201 72369J300 72369J409 (CUSIP number(s)) December 31, 2011 (Date of event which requires filing of this statement) |
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| October 28, 2011 |
OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response. |
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| October 28, 2011 |
CERTIFICATIONS - I, John F. Cogan, Jr., certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 |
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| April 29, 2011 |
CERTIFICATIONS - I, John F. Cogan, Jr., certify that: 1. I have reviewed this report on Form N-Q of Pioneer Floating Rate 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 |
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| April 29, 2011 |
OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response. |
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| March 9, 2011 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A [Rule 13d-101] (Amendment No. |
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| January 28, 2011 |
OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response. |
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| January 28, 2011 |
Report of Independent Registered Public Accounting Firm Illus Rpt on IC Required by the SEC Under Form N-SAR Report of Independent Registered Public Accounting Firm To the Shareowners and Board of Trustees of Pioneer Floating Rate Trust In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust (the Company) as of and for the year ended November 30, 2010 in accordance with the standards of the Public Company Account |
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| January 14, 2011 |
sc13gza UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Pioneer Floating Rate Trust (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 72369J201 72369J300 72369J409 (CUSIP Number) December 31, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t |
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| January 11, 2011 |
Exhibit 99.2 EXHIBIT 99.2 LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the “Corporation”), does hereby irrevocably make, constitute, and appoint each of Michael Didovic and Geoff Rusnak as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation’s name, place and stead, for the Corporation’s use and benefit, to bind the Corporation |
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| January 11, 2011 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A [Rule 13d-101] (Amendment No. |
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| January 11, 2011 |
SCHEDULE 13D CUSIP No. 72369J Page 1 of 30 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Pioneer Floating Rate Trust (Name of issuer) AUCTION RATE PREFERRED (Title of class of securities) 72369J (CUSIP number) David Lavan, Esq. O?Melveny & Myers LLP 1625 Eye Street, NW Washington, DC 20006 (202) 383-5191 (Name, address and telephon |
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| January 11, 2011 |
EXHIBIT 99.1 Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accurac |
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| July 1, 2010 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO Sec. |
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| June 30, 2010 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO Sec. |
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| February 8, 2010 |
sc13gza UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Pioneer Floating Rate Trust (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 72369J201 72369J300 72369J409 (CUSIP Number) December 31, 2009 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t |
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| January 29, 2010 |
Report of Independent Registered Public Accounting Firm Illus Rpt on IC Required by the SEC Under Form N-SAR Report of Independent Registered Public Accounting Firm To the Shareowners and Board of Trustees of Pioneer Floating Rate Trust In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust (the Company) as of and for the year ended November 30, 2009 in accordance with the standards of the Public Company Account |
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| February 10, 2009 |
SC 13G OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| February 2, 2009 |
Report of Independent Registered Public Accounting Firm Illus Rpt on IC Required by the SEC Under Form N-SAR Report of Independent Registered Public Accounting Firm To the Shareowners and Board of Trustees of Pioneer Floating Rate Trust In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust (the Company) as of and for the year ended November 30, 2008, in accordance with the standards of the Public Company Accoun |
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| January 29, 2008 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareowners of Pioneer Floating Rate Trust In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust as of and for the year ended November 30, 2007, in accordance with the standards of the Public Company Accounting Oversi |
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| January 26, 2007 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Shareowners and Board of Trustees of Pioneer Floating Rate Trust In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust as of and for the year ended November 30, 2006, in accordance with the standards of the Public Company Accounting Oversi |
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| January 30, 2006 |
Report of Independent Registered Public Accounting Firm Report of Ernst & Young LLP, Independent Auditors Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareowners of Pioneer Floating Rate Trust In planning and performing our audit of the financial statements of Pioneer Floating Rate Trust as of and for the period from December 23, 2004 (commencement of operations) to November 30, 2005, in accordance with the stan |
