PENN Capital Management Co., Inc.

PENN Capital Management Co., Inc.

PENN Capital Management Co., Inc.

Overview
Date Founded

2009

Headquarters

The Navy Yard Corporate Center,1200 Intrepid Avenue,Suite 400,Philadelphia, PA 19112-1229

Type of Company

Private

Employees (Worldwide)

58

Industries

Investment Services & Portfolio Management

Company Description

Contact Data
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Executives & Employees

Founder, Chief Executive Officer & Chairman of the Board

Director of Client Relations & Business Development

Director of Client Relations & Business Development

Director of Client Relations & Business Development

Co-Founder

Senior Portfolio Manager & Senior Managing Partner

Director of Research, Senior Portfolio Manager, Senior Managing Partner

Senior Portfolio Manager, Senior Managing Partner

Senior Portfolio Manager & Senior Managing Partner

Director, Marketing & Client Services

Board of Directors

Founder, Chief Executive Officer & Chairman of the Board at PENN Capital Management Co., Inc.

Shareholder at PENN Capital Management Co., Inc.

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Advisors & Consultants
Custodian

Morgan Stanley & Co. LLC is an SEC-registered broker/dealer headquartered in New York City and was founded in 1969. The firm is the primary broker subsidiary of Morgan Stanley (NYSE: MS). They are a member of FINRA. Morgan Stanley provides debt and equity services including underwriting, M&A advice, securities dealing and brokerage and trade execution. Their client base ranges from large global institutional investors to hedge funds at the cutting edge of innovation in the industry.

Custodian

Founded in 1939, Pershing LLC is a broker/dealer headquartered in Jersey City, New Jersey. The firm is a subsidiary of the Bank of New York Mellon Corp. (NYSE: BK). The firm helps financial services firms and advisors succeed by providing the technology, operational, trading, investment and practice management solutions they need to serve investors. Pershing offers securities processing, trading and operations management, investment technology, asset-gathering solutions and practice management support. The firm serves a wide range of financial organizations including: banks, discount brokerages, full-service brokerages, registered investment advisors, independent contractors, institutional firms, global firms and small- to mid-sized firms. Pershing also offers financial products including annuities, mutual funds and money funds, as well as business tools, cash management services, investor and lending services, retirement products and wealth management. In addition, they offer trading and execution services in listed and OTC securities, fixed-income securities and mutual funds.

Custodian

Interactive Brokers LLC, part of Interactive Brokers Group, Inc., is an American company located in Washington, DC, focused on security brokers, dealers, and flotation companies.

Clients

OPERS’s investment decisions are made by the Retirement Board on the recommendation of the system's professional staff and outside investment advisors. The investment committee monitors the investment activities. They place contributed funds in income-producing investments that meet the requirements of Ohio law. The firm takes a contrarian approach that seeks to identify US stocks with negative Wall Street perceptions, low price-to-book values and catalysts that will lead to increases in earnings growth and prices. OPERS's investment approach combines fundamental research with a top-down overlay process.

The Mission of SERS is to provide our members, retirees, and beneficiaries with pension benefit programs and services that are soundly financed, prudently administered, and delivered with understanding and responsiveness. Vision Where We Will Go - SERS understands the need to change based on our current environment and mission. Our values will help guide us as we explore the development of a sustainable pension and health care model, the creation of a "change-ready" culture, and the development of new strategic partnerships over the next five years. SERS will explore the costs and benefits of new types of pension and health care funding structures and investment models, eligibility and service delivery models to ensure the most efficient and effective uses of our members’ resources. SERS will review pension and health care plan design, eligibility and reduction factors in light of current and future environmental factors. In weighing the alternatives, SERS will keep in mind the overriding goals to: Maintain a sound level of funding. Provide access to health care for eligible SERS retirees and their dependents. SERS is committed to an organizational culture in which both Board and staff support success in meeting the challenges of our environment. This change-ready culture will require: Understanding the emerging needs of members and retirees, and how our partners can help us meet those needs. Highly skilled and empowered Board and staff members who clearly understand their roles and responsibilities, and are provided with the training, tools, and organizational support to enable success. Performance measures that hold vendors as well as SERS accountable for individual and team performance in achieving SERS’ goals. Collaboration and partnership within and across departments and partner organizations, focused on achieving the mission and goals of SERS. Continual process improvement and innovation to reduce costs and improve service levels. SERS believes that the key to achieving our mission will be through strategic partnerships with those organizations and individuals who have an impact on our members’ well-being and financial security. This new model of communication and collaboration will allow us to identify, and deliver solutions for, the issues of greatest impact to our members and retirees. SERS will explore new ways to communicate with our strategic partners: Multiple service channels for our members: (face-to-face, electronic, web, multi-lingual, etc.). Increased communications through employers, as well as directly to members and retirees. Lobbying and public education to minimize the potential for detrimental legislation. Education and communication to all partners, to provide: Realistic expectations of benefits Clear understanding of the value of the employers' investment Tools to assist our members in effective retirement planning and preparation Our Values Who We Are - We believe these deeply ingrained principles guide all of our actions and enable SERS to fulfill its mission: Member and Retiree Focus We focus on the needs of our members and retirees by “serving the people who serve our schools.” Integrity We believe in the highest professional standards and ethical conduct and the accountability needed to succeed and achieve our goals. We uphold ethical and professional conduct by word and example. Open Communication We practice respectful, direct, and proactive communication. Continuous Innovation We celebrate success and strive for quality, and continually seek better ways to fulfill our mission to our members and retirees. We value individual and organizational courage, and a willingness to change. Teamwork We are committed to achieving our mission in a manner that encourages participation and values each person’s contributions. Strategic Plan Creating a secure retirement requires a partnership among members, employers, and public retirement systems, each with important responsibilities. The SERS Leadership team defined the responsibilities for each partner for four critical elements of retirement security, and created a Retirement Security Compact. This Compact described each partners’ responsibilities and provided a framework that the Leadership team used in developing strategic priorities and tactics. Elements of a secure retirement include: A well thought-out plan for retirement Sufficient financial resources Good health Life resources In light of the Retirement Security Compact, the Leadership team identified 5 strategic priorities: Develop Long-Term Plan for Pension Security Develop Long-Term Plan for Healthcare Security Ensure Effective Board and Staff Collaboration Communicate Effectively with Stakeholders Ensure Appropriate Resource Structure (human, financial, infrastructure)

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