PENN CAPITAL MANAGEMENT COMPANY INC

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Penn Capital Management Company is based out of Philadelphia. Penn Capital Management Company is a large advisory firm with 1548 clients and discretionary assets under management (AUM) of $2,594,246,173 (Form ADV from 2019-03-29). Their last reported 13F filing for Q3 2019 included $958,775,000 in managed 13F securities and a top 10 holdings concentration of 14.83%. Penn Capital Management Company's largest holding is Allscripts Healthcare Solutions Inc with shares held of 1,800,453. Penn Capital Management Company has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 69 13F filings, and 39 13G filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $958.775 Million
  • Prior Market Value $1.014 Billion
  • New Purchases34 stocks
  • Additional Purchases93 stocks
  • Sold out of39 stocks
  • Reduced holdings in87 stocks
  • Top 10 Holdings % 14.83 %
  • Turnover % [1]:33.95%
  • Turnover Alt % [2]: 25.20 %
  • Time Held Top20:3.40 quarters
  • Time Held Top10:4.30 quarters
  • Time Held All:7.21 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 10.7%
Performance Last 4 Quarters: 7.88%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR/A (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR/A (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR/A (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR/A (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR/A (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR/A (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR/A (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR/A (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR/A (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

PENN CAPITAL MANAGEMENT COMPANY, INC.
Classified as Hedge Fund
1200 INTREPID AVENUE SUITE 400
PHILADELPHIA PA    19112
Country: United States

Business Phone: 215-302-1500
Fax: 215-468-1873
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: DE
Number of employees: 58
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 386,695,000
Total Number of Clients: 1548
Amount of client funds and securities by related persons: 0
Total Number of clients from related persons: 0
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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PENN CAPITAL MANAGEMENT COMPANY, INC.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
HOCKER, RICHARD, ALAN FOUNDER, CHIEF INVESTMENT OFFICER, CHIEF EXECUTIVE OFFICER 11/01/1987 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER direct 1987-11-01
PENN CAPITAL MANAGEMENT CO INC CHIEF INVESTMENT OFFICER direct 1987-11-01 2013-03-27
HOCKER, MARCIA, ANN PRESIDENT 11/01/1987 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. PRESIDENT direct 1987-11-01
PENN CAPITAL MANAGEMENT CO INC PRESIDENT & CHIEF OPERATING OFFICER direct 1987-11-01 2011-03-31
PENN CAPITAL MANAGEMENT COMPANY, INC. PRESIDENT & CHIEF EXECUTIVE OFFICER direct 1987-11-01 2013-03-27
GREEN, ERIC DIRECTOR OF RESEARCH, SENIOR PORTFOLIO MANAGER, SENIOR MANAGING PARTNER 01/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT CO INC DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER direct 2001-01-01
SCHUMACHER, SCOTT, DAVID SENIOR PORTFOLIO MANAGER, SENIOR MANAGING PARTNER 01/01/2001 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT CO INC SENIOR PORTFOLIO MANAGER direct 2001-01-01
MCBRIDE, GERALD CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, SENIOR PARTNER 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT CO INC CHIEF FINANCIAL OFFICER direct 2007-01-01
PENN CAPITAL MANAGEMENT COMPANY, INC. CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER direct 2007-01-01
SILVA, JORGE, PAULO SENIOR PORTFOLIO MANAGER, SENIOR PARTNER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT CO INC SENIOR PORTFOLIO MANAGER direct 2010-01-01
KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE SHAREHOLDER 10/01/1995 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. SHAREHOLDER direct 1995-10-01
KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE SHAREHOLDER 10/01/1995 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. SHAREHOLDER direct 1995-10-01
MATSON, LISA, LAZARUS BLACK GENERAL COUNSEL, SENIOR PARTNER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. CHIEF LEGAL OFFICER direct 2014-04-01
HOCKER, KIRSTEN CAO AND DIRECTOR OF PHILANTHROPY AND DIVERSITY 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. DIRECTOR OF HUMAN RESOURCES direct 2008-03-01
PENN CAPITAL MANAGEMENT CO INC TRUSTEE direct 1995-10-01 2009-07-09
PENN CAPITAL MANAGEMENT CO INC TRUSTEE, KIRSTEN A. HOCKER IRREVOCABLE TRUST direct 1995-10-01 2011-03-31
PENN CAPITAL MANAGEMENT COMPANY, INC. BENEFICIARY, KIRSTEN A. HOCKER IRREVOCABLE TRUST direct 1995-10-01 2013-03-27
RIDOLFI, LINDA, R CHIEF COMPLIANCE OFFICER, PARTNER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. CHIEF COMPLIANCE OFFICER direct 2016-04-01
HOCKER, KIMBERLEY, ANN DIRECTOR 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT CO INC TRUSTEE direct 1995-10-01 2009-07-09
PENN CAPITAL MANAGEMENT CO INC TRUSTEE, KIMBERLEY A. HOCKER IRREVOCABLE TRUST direct 1995-10-01 2011-03-31
PENN CAPITAL MANAGEMENT COMPANY, INC. BENEFICIARY, KIMBERLEY A. HOCKER IRREVOCABLE TRUST direct 1995-10-01 2013-03-27
Keane, Martin MANAGING PARTNER, MARKETING, SALES & TECHNOLOGY 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. MANAGING PARTNER, MARKETING, SALES & TECHNOLOGY direct 2019-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PENN CORE HIGH YIELD BOND FUND LP United States 805-4753068653 Other Private Fund COMMINGLED INVESTMENT POOL 4,967,990 100,000
PENN CAPITAL DEFENSIVE HIGH YIELD FUND, L.P. United States 805-8376006280 Other Private Fund COMMINGLED INVESTMENT POOL 273,767,909 1,000,000
PENN CAPITAL STRUCTURE TOTAL RETURN FUND, L.P. United States 805-5323100618 Hedge Fund 6,667,557 100,000 Fund of Funds
PENN CONVERTIBLE FUND LP United States 805-8903989421 Other Private Fund COMMINGLED INVESTMENT POOL 2,718,708 1,000,000
PENN INSTITUTIONAL LOAN COMMON MASTER FUND, L.P. United States 805-4024859215 Other Private Fund COMMINGLED INVESTMENT POOL 84,267,695 5,000,000
PENN CAPITAL MULTI-SECTOR SPECTRUM INCOME FUND, L.P. United States 805-6614411636 Other Private Fund COMMINGLED INVESTMENT POOL 3,962,269 1,000,000 Fund of Funds
PENN DIVERSIFIED MICRO CAP EQUITY FUND LP United States 805-1344456024 Other Private Fund COMMINGLED INVESTMENT POOL 1,965,978 500,000
PENN SHORT DURATION HIGH YIELD FUND LP United States 805-8814755363 Other Private Fund COMMINGLED INVESTMENT POOL 32,169,872 1,000,000

PENN CAPITAL MANAGEMENT COMPANY, INC.

ownership team - last updated 2017-03-31
Name Title Start Date Direct/Indirect % Ownership
HOCKER, RICHARD, ALAN CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER 11/01/1987 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER direct 1987-11-01
PENN CAPITAL MANAGEMENT CO INC CHIEF INVESTMENT OFFICER direct 1987-11-01 2013-03-27
MCBRIDE, GERALD CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT CO INC CHIEF FINANCIAL OFFICER direct 2007-01-01
PENN CAPITAL MANAGEMENT COMPANY, INC. CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER direct 2007-01-01
HOCKER, MARCIA, ANN PRESIDENT 11/01/1987 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. PRESIDENT direct 1987-11-01
PENN CAPITAL MANAGEMENT CO INC PRESIDENT & CHIEF OPERATING OFFICER direct 1987-11-01 2011-03-31
PENN CAPITAL MANAGEMENT COMPANY, INC. PRESIDENT & CHIEF EXECUTIVE OFFICER direct 1987-11-01 2013-03-27
GREEN, ERIC DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER 01/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT CO INC DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER direct 2001-01-01
SCHUMACHER, SCOTT, DAVID SENIOR PORTFOLIO MANAGER 01/01/2001 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT CO INC SENIOR PORTFOLIO MANAGER direct 2001-01-01
SILVA, JORGE, PAULO SENIOR PORTFOLIO MANAGER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT CO INC SENIOR PORTFOLIO MANAGER direct 2010-01-01
KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE SHAREHOLDER 10/01/1995 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. SHAREHOLDER direct 1995-10-01
KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE SHAREHOLDER 10/01/1995 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. SHAREHOLDER direct 1995-10-01
MATSON, LISA, LAZARUS BLACK CHIEF LEGAL OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. CHIEF LEGAL OFFICER direct 2014-04-01
MORAN, PETER, JAMES SENIOR VICE PRESIDENT OF DISTRIBUTION AND PRODUCT MANAGEMENT 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONSTELLATION INVESTMENT MANAGEMENT COMPANY, LP LIMITED PARTNER indirect 2004-12-01
CONSTELLATION INVESTMENT MANAGEMENT COMPANY, LP PRESIDENT direct 2005-04-01
PENN CAPITAL MANAGEMENT COMPANY, INC. SENIOR VICE PRESIDENT OF DISTRIBUTION AND PRODUCT MANAGEMENT direct 2016-02-01
CONCENTRATED CAPITAL MANAGEMENT LP MANAGING DIRECTOR direct 2000-05-01 2003-12-18
CONSTELLATION INVESTMENT MANAGEMENT COMPANY, LP LIMITED PARTNER indirect 2004-12-01 2005-03-30
BHR FUND ADVISORS, L.P. MANAGING MEMBER indirect 2006-10-01 2008-03-26
BHR FUND ADVISORS, L.P. MANAGING MEMBER indirect 2006-08-01 2010-04-01
DUNDEEWEALTH US, LP MANAGING PARTNER direct 2006-08-01 2011-04-01
DUNDEEWEALTH US, LP SENIOR VICE PRESIDENT direct 2006-08-01 2013-11-01
HOCKER, KIRSTEN DIRECTOR OF HUMAN RESOURCES 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. DIRECTOR OF HUMAN RESOURCES direct 2008-03-01
PENN CAPITAL MANAGEMENT CO INC TRUSTEE direct 1995-10-01 2009-07-09
PENN CAPITAL MANAGEMENT CO INC TRUSTEE, KIRSTEN A. HOCKER IRREVOCABLE TRUST direct 1995-10-01 2011-03-31
PENN CAPITAL MANAGEMENT COMPANY, INC. BENEFICIARY, KIRSTEN A. HOCKER IRREVOCABLE TRUST direct 1995-10-01 2013-03-27
RIDOLFI, LINDA, RITA CHIEF COMPLIANCE OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PENN CAPITAL MANAGEMENT COMPANY, INC. CHIEF COMPLIANCE OFFICER direct 2016-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PENN CORE HIGH YIELD BOND FUND LP United States 805-4753068653 Other Private Fund COMMINGLED INVESTMENT POOL 11,170,617 100,000
PENN CORE HIGH YIELD BOND FUND II LP United States 805-8376006280 Other Private Fund COMMINGLED INVESTMENT POOL 387,974,202 1,000,000
PENN CAPITAL LIBERTY FUND LP United States 805-5323100618 Hedge Fund 15,515,338 100,000
PENN CONVERTIBLE FUND LP United States 805-8903989421 Other Private Fund COMMINGLED INVESTMENT POOL 6,004,234 1,000,000
PENN INSTITUTIONAL LOAN COMMON MASTER FUND, L.P. United States 805-4024859215 Other Private Fund COMMINGLED INVESTMENT POOL 92,847,617 5,000,000
PENN CAPITAL FIXED INCOME SPECTRUM FUND, L.P. United States 805-6614411636 Other Private Fund COMMINGLED INVESTMENT POOL 1,848,862 1,000,000
PENN DISTRESSED FUND LP United States 805-1836465313 Hedge Fund 6,841,991 100,000
PENN DIVERSIFIED MICRO CAP EQUITY FUND LP United States 805-1344456024 Other Private Fund COMMINGLED INVESTMENT POOL 5,670,451 500,000
PENN CAPITAL PIONEER ENERGY FUND LP United States 805-8175290642 Hedge Fund 6,172,936 1,000,000
PENN MID CAP EQUITY FUND LP United States 805-5617882713 Other Private Fund COMMINGLED INVESTMENT POOL 3,160,154 100,000
PENN SHORT DURATION HIGH YIELD FUND LP United States 805-8814755363 Other Private Fund COMMINGLED INVESTMENT POOL 38,240,019 1,000,000

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