PCM

PenderFund Capital Management Portfolio holdings

AUM $423M
This Quarter Return
+2.3%
1 Year Return
+56.08%
3 Year Return
+113.56%
5 Year Return
+177.22%
10 Year Return
–
AUM
$334M
AUM Growth
+$334M
Cap. Flow
+$20.1M
Cap. Flow %
6.01%
Top 10 Hldgs %
52.21%
Holding
166
New
52
Increased
11
Reduced
11
Closed
50

Top Buys

1
NAD icon
Nuveen Quality Municipal Income Fund
NAD
$11.7M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$11.2M
3
CEF icon
Sprott Physical Gold and Silver Trust
CEF
$4.71M
4
NZF icon
Nuveen Municipal Credit Income Fund
NZF
$1.52M
5
AVTA
Avantax, Inc. Common Stock
AVTA
$1.46M

Top Sells

1
FAX
abrdn Asia-Pacific Income Fund
FAX
$4.71M
2
BKI
Black Knight, Inc. Common Stock
BKI
$1.95M
3
EMD
Western Asset Emerging Markets Debt Fund
EMD
$1.84M
4
FET icon
Forum Energy Technologies
FET
$1.65M
5
ISEE
IVERIC bio, Inc. Common Stock
ISEE
$1.54M

Sector Composition

1 Technology 16.61%
2 Financials 11.33%
3 Communication Services 5.32%
4 Energy 4.08%
5 Consumer Discretionary 2.09%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
BN icon
26
Brookfield
BN
$98.3B
$1.73M 0.52% 40,690 – –
ARGO
27
DELISTED
Argo Group International Holdings, Ltd.
ARGO
$1.71M 0.51% 42,060 +9,920 +31% +$402K
GHL
28
DELISTED
Greenhill & Co., Inc.
GHL
$1.66M 0.5% 82,410 +17,030 +26% +$342K
AVTA
29
DELISTED
Avantax, Inc. Common Stock
AVTA
$1.46M 0.44% +42,064 New +$1.46M
NVG icon
30
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.53B
$1.4M 0.42% +100,000 New +$1.4M
EMAN
31
DELISTED
eMagin Corporation
EMAN
$1.39M 0.42% 512,400 +122,080 +31% +$330K
HCCI
32
DELISTED
Heritage-Crystal Clean, Inc.
HCCI
$1.34M 0.4% +21,712 New +$1.34M
NATI
33
DELISTED
National Instruments Corp
NATI
$1.33M 0.4% 16,420 +6,010 +58% +$487K
MDWT
34
DELISTED
Midwest Holding Inc. Common Stock
MDWT
$1.27M 0.38% 35,618 +11,060 +45% +$393K
TRHC
35
DELISTED
Tabula Rasa HealthCare, Inc. Common Stock
TRHC
$1.26M 0.38% +90,023 New +$1.26M
DEN
36
DELISTED
Denbury Inc.
DEN
$1.25M 0.37% +9,370 New +$1.25M
CTG
37
DELISTED
Computer Task Group, Inc.
CTG
$1.23M 0.37% +87,710 New +$1.23M
CIR
38
DELISTED
CIRCOR International, Inc
CIR
$1.21M 0.36% 15,930 +3,430 +27% +$260K
AEL
39
DELISTED
American Equity Investment Life Holding Company
AEL
$1.18M 0.35% +16,160 New +$1.18M
THRN
40
DELISTED
Thorne Healthtech, Inc. Common Stock
THRN
$1.11M 0.33% +79,830 New +$1.11M
NGMS
41
DELISTED
NeoGames S.A. Ordinary Shares
NGMS
$1.1M 0.33% 30,110 – –
ABCM
42
DELISTED
Abcam plc American Depositary Shares
ABCM
$1.1M 0.33% +35,830 New +$1.1M
PLM
43
DELISTED
PolyMet Mining Corp.
PLM
$1.08M 0.32% +380,905 New +$1.08M
AVID
44
DELISTED
Avid Technology Inc
AVID
$1.01M 0.3% +27,626 New +$1.01M
VRTV
45
DELISTED
VERITIV CORPORATION
VRTV
$961K 0.29% +4,190 New +$961K
MCHP icon
46
Microchip Technology
MCHP
$35.1B
$960K 0.29% 9,060 – –
SQNS
47
Sequans Communications
SQNS
$129M
$954K 0.29% +248,238 New +$954K
KLR
48
DELISTED
Kaleyra, Inc.
KLR
$908K 0.27% 92,360 +46,790 +103% +$460K
HT
49
DELISTED
Hersha Hospitality Trust Priority Class A Common Shares of Beneficial Interest
HT
$896K 0.27% +66,867 New +$896K
CCF
50
DELISTED
Chase Corporation
CCF
$890K 0.27% +5,150 New +$890K
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