0001383414
2021-10-01
2022-09-30
0001383414
2022-12-22
0001383414
2022-03-31
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0001383414
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2022-09-30
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814-00736
PENNANTPARK INVESTMENT CORPORATION
20-8250744
1691 Michigan Avenue
Miami
FL
33319
(786
297-9500
Common Stock, par value $0.001 per share
PNNT
NYSE
No
No
Yes
Yes
Non-accelerated Filer
false
false
false
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514500000
65224500
<p style="text-indent:4.0%;font-size:10.0pt;margin-top:0.0pt;font-family:Times New Roman;margin-bottom:0.0pt;text-align:left;"><span style="background-color:rgba(0,0,0,0);color:rgba(0,0,0,1);white-space:pre-wrap;font-weight:normal;font-size:8.0pt;font-family:"Times New Roman", serif;min-width:fit-content;">Documents Incorporated by Reference: Portions of the Registrant’s Proxy Statement relating to its 2022 Annual Meeting of Stockholders, filed pursuant to Regulation 14A with the Securities and Exchange Commission on December 7, 2022, are incorporated by reference into Part III of this Annual Report on Form 10-K.</span></p>
EXPLANATORY NOTE PennantPark Investment Corporation, a Maryland corporation, or together with its subsidiaries, where applicable, or the Company, which may also be referred to as “we,” “us” or “our,” is filing this Amendment No. 1, or the Amendment, to our Annual Report on Form 10-K for the fiscal year ended September 30, 2022, or the Form 10-K, which was initially filed with the Securities and Exchange Commission, or the SEC, on November 17, 2022. We are filing this Amendment to provide stand-alone audited financial statements for our investment in an unconsolidated controlled portfolio company, RAM Energy Holdings LLC, or RAM Holdings, as of and for the year ended September 30, 2022 (as Exhibit 99.2) as well as of and for the years ended September 30, 2021 (as Exhibit 99.3) and September 30, 2020 (as Exhibit 99.4). We have determined that this unconsolidated controlled portfolio company has met the conditions of a significant subsidiary under Rule 1-02(w) of Regulation S-X for which we are required, pursuant to Rule 3-09 of Regulation S-X, to provide separate audited financial statements as exhibits to the Form 10-K. In accordance with Rule 3-09(b)(1), the separate audited financial statements of RAM Holdings are being filed as an amendment to the Form 10-K, within 90 days after the end of RAM Holdings' fiscal year. This Amendment also includes the filing of new Exhibits 31.1, 31.2, 32.1 and 32.2, certifications of our Chief Executive Officer and Chief Financial Officer, pursuant to Rule 13a-14(a) and (b) of the Securities Exchange Act of 1934, as amended, and also corrects the numbering, hyperlink and exhibit description for Exhibit 10.9 below. Except as described above, no other changes have been made to the Form 10-K. This Amendment does not reflect subsequent events that may have occurred after the original filing date of the Form 10-K or modify or update in any way disclosures made in the Form 10-K, except as required to reflect the revisions discussed above. Among other things, forward-looking statements made in the Form 10-K have not been revised to reflect events that occurred or facts that became known to us after filing of the Form 10-K, and such forward-looking statements should be read in their historical context. Furthermore, this Amendment should be read in conjunction with the Form 10-K and with our subsequent filings with the SEC.
RSM US LLP
New York, New York
49