PCM

PenderFund Capital Management Portfolio holdings

AUM $423M
This Quarter Return
+5.61%
1 Year Return
+56.08%
3 Year Return
+113.56%
5 Year Return
+177.22%
10 Year Return
–
AUM
$360M
AUM Growth
+$360M
Cap. Flow
+$586K
Cap. Flow %
0.16%
Top 10 Hldgs %
38.06%
Holding
87
New
14
Increased
7
Reduced
16
Closed
13

Top Buys

1
JE
Just Energy Group Inc
JE
$21.8M
2
IAC icon
IAC Inc
IAC
$8.37M
3
BHC icon
Bausch Health
BHC
$6.38M
4
SFIX icon
Stitch Fix
SFIX
$4.12M
5
OPEN icon
Opendoor
OPEN
$3.37M

Top Sells

1
EGAN icon
eGain
EGAN
$14.4M
2
MAXR
Maxar Technologies Inc. Common Stock
MAXR
$9.12M
3
ESI icon
Element Solutions
ESI
$6.08M
4
BB icon
BlackBerry
BB
$5.64M
5
BPY
Brookfield Property Partners L.P. Limited Partnership Units
BPY
$4.87M

Sector Composition

1 Technology 19.55%
2 Communication Services 8.86%
3 Energy 7.55%
4 Consumer Discretionary 7.32%
5 Financials 6.02%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
NEA icon
26
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.29B
$3.82M 1.06% 200,000 – –
MAXR
27
DELISTED
Maxar Technologies Inc. Common Stock
MAXR
$3.7M 1.03% 111,251 -274,076 -71% -$9.12M
LILA icon
28
Liberty Latin America Class A
LILA
$1.61B
$3.44M 0.96% 309,847 – –
OPEN icon
29
Opendoor
OPEN
$3.27B
$3.37M 0.94% +135,009 New +$3.37M
UTI icon
30
Universal Technical Institute
UTI
$1.45B
$3.3M 0.92% +492,644 New +$3.3M
FAX
31
abrdn Asia-Pacific Income Fund
FAX
$675M
$3.2M 0.89% 610,000 – –
CLOV icon
32
Clover Health Investments
CLOV
$1.34B
$2.97M 0.83% +170,224 New +$2.97M
PSTH
33
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$2.81M 0.78% +93,000 New +$2.81M
MSFT icon
34
Microsoft
MSFT
$3.77T
$2.76M 0.77% 10,000 – –
SHSP
35
DELISTED
SharpSpring, Inc.
SHSP
$2.69M 0.75% +181,014 New +$2.69M
JWS.U
36
DELISTED
Jaws Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one red
JWS.U
$2.68M 0.75% +181,500 New +$2.68M
WPF.U
37
DELISTED
Foley Trasimene Acquisition Corp.
WPF.U
$2.62M 0.73% +174,100 New +$2.62M
FLR icon
38
Fluor
FLR
$6.63B
$2.48M 0.69% 211,700 -23,400 -10% -$274K
BIDU icon
39
Baidu
BIDU
$32.8B
$2.37M 0.66% 14,500 – –
BN icon
40
Brookfield
BN
$98.3B
$2.33M 0.65% 52,950 – –
CIEN icon
41
Ciena
CIEN
$13.3B
$1.99M 0.55% 37,459 – –
MUI
42
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
$1.87M 0.52% 100,000 -100,000 -50% -$1.87M
UPLD icon
43
Upland Software
UPLD
$81.4M
$1.79M 0.5% 35,586 – –
BPY
44
DELISTED
Brookfield Property Partners L.P. Limited Partnership Units
BPY
$1.61M 0.45% 102,109 -309,766 -75% -$4.87M
BHR.PRB
45
Braemar Hotels & Resorts Inc. 5.50% Series B Cumulative Convertible Preferred Stock
BHR.PRB
$59.1M
$1.6M 0.44% 101,720 – –
VVR icon
46
Invesco Senior Income Trust
VVR
$561M
$1.45M 0.4% 300,000 – –
NOC icon
47
Northrop Grumman
NOC
$84.5B
$1.04M 0.29% 2,400 +1,200 +100% +$520K
MODN
48
DELISTED
MODEL N, INC.
MODN
$1.04M 0.29% 21,754 -10,700 -33% -$511K
LILAK icon
49
Liberty Latin America Class C
LILAK
$1.65B
$792K 0.22% +83,347 New +$792K
STWD icon
50
Starwood Property Trust
STWD
$7.44B
$773K 0.22% 38,450 – –
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