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PenderFund Capital Management Portfolio holdings

AUM $639M
1-Year Est. Return 31.05%
This Fund
S&P 500
This Quarter Est. Return
-6.34%
1 Year Est. Return
+31.05%
3 Year Est. Return
+130.01%
5 Year Est. Return
+118.66%
10 Year Est. Return
–
AUM
$383M
AUM Growth
-$44.5M
Cap. Flow
-$128M
Cap. Flow %
-33.44%
Top 10 Hldgs %
40.65%
Holding
153
New
66
Increased
9
Reduced
23
Closed
13

Top Buys

Rank Stock Value
1
AXDX
Accelerate Diagnostics
AXDX
+$3.03M
2
BIDU icon
Baidu
BIDU
+$1.02M
3
Z icon
Zillow
Z
+$890K
4
PAR icon
PAR Technology
PAR
+$770K
5
BABA icon
Alibaba
BABA
+$255K

Top Sells

Rank Stock Value
1
SHSP
SharpSpring, Inc.
SHSP
+$8.29M
2
VMEO
Vimeo
VMEO
+$1.99M
3
BWG
BrandywineGLOBAL Global Income Opportunities Fund
BWG
+$1.56M
4
EGAN icon
eGain
EGAN
+$1.26M
5
SSNC icon
SS&C Technologies
SSNC
+$1.21M

Sector Composition

Rank Sector Weight
1 Technology 21.75%
2 Financials 13.88%
3 Communication Services 11.93%
4 Consumer Discretionary 5.84%
5 Energy 3.3%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GSKY
51
DELISTED
GreenSky, Inc. Class A Common Stock
GSKY
$54K 0.01%
+3,800
New +$29.9K
LUXAW
52
DELISTED
Lux Health Tech Acquisition Corp. Warrants
LUXAW
$48K 0.01%
32,999
– –
XLRN
53
DELISTED
Acceleron Pharma
XLRN
$44K 0.01%
+200
New +$26.2K
PPD
54
DELISTED
PPD, Inc. Common Stock
PPD
$40K 0.01%
+670
New +$31K
INOV
55
DELISTED
Inovalon Holdings, Inc. Class A Common Stock
INOV
$39K 0.01%
+760
New +$28.7K
SPWH icon
56
Sportsman's Warehouse
SPWH
$46M
$33K 0.01%
+1,460
New +$25.9K
WBT
57
DELISTED
Welbilt, Inc.
WBT
$32K 0.01%
+1,080
New +$25.4K
ANAT
58
DELISTED
American National Group, Inc. Common Stock
ANAT
$32K 0.01%
+135
New +$24K
CVA
59
DELISTED
Covanta Holding Corporation
CVA
$32K 0.01%
+1,260
New +$24.9K
CNBKA
60
DELISTED
Century Bancorp Inc/Mass
CNBKA
$32K 0.01%
+220
New +$25.2K
STFC
61
DELISTED
State Auto Financial Corp
STFC
$32K 0.01%
+500
New +$23.7K
UFS
62
DELISTED
DOMTAR CORPORATION (New)
UFS
$32K 0.01%
+460
New +$25.2K
BNT
63
Brookfield Wealth Solutions
BNT
$12.2B
$30K 0.01%
+641
New +$24.2K
AJRD
64
DELISTED
Aerojet Rocketdyne Holdings
AJRD
$28K 0.01%
+510
New +$22.8K
KDMN
65
DELISTED
Kadmon Holdings, Inc.
KDMN
$20K 0.01%
+1,840
New +$10.5K
NUAN
66
DELISTED
Nuance Communications, Inc.
NUAN
$18K ﹤0.01%
+257
New +$14.1K
PSTH.WS
67
DELISTED
Pershing Square Tontine Holdings, Ltd. Warrants, exercisable for one share of Class A Common Stock f
PSTH.WS
$17K ﹤0.01%
10,332
– –
PSTH
68
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$17K ﹤0.01%
+700
New +$14.2K
GROV icon
69
Grove Collaborative
GROV
$47.1M
$16K ﹤0.01%
+258
New +$12.6K
PROK icon
70
ProKidney
PROK
$337M
$16K ﹤0.01%
+1,300
New +$12.8K
SLAM
71
DELISTED
Slam Corp. Class A Ordinary Share
SLAM
$16K ﹤0.01%
+1,258
New +$12.2K
FAZE
72
DELISTED
FaZe Holdings Inc. Common Stock
FAZE
$16K ﹤0.01%
+1,300
New +$12.6K
CFIV
73
DELISTED
CF Acquisition Corp. IV Class A common stock
CFIV
$16K ﹤0.01%
+1,300
New +$12.6K
APGB
74
DELISTED
Apollo Strategic Growth Capital II
APGB
$16K ﹤0.01%
+1,300
New +$12.6K
AAC
75
DELISTED
Ares Acquisition Corporation
AAC
$16K ﹤0.01%
+1,300
New +$12.7K
1 2
3
4 5

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BPC
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BIA
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KCM
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SCP
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SFG
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FTC
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WHGAM
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PenderFund Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, PenderFund Capital Management held 153 positions worth $383M, down 10% from $427M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

PenderFund Capital Management withdrew a net $128M in Q3 2021, closing 13 positions and reducing 23 holdings. Its most notable exit was SharpSpring, Inc., an estimated $8.29M position sold in full.

By sector, the portfolio is most concentrated in Technology at 22% of assets, down from 24% a quarter earlier, followed by Financials and Communication Services.

Against the trend, PenderFund Capital Management opened a new position in Accelerate Diagnostics worth $3.44M.

  • PenderFund Capital Management's largest Q3 2021 buy was Accelerate Diagnostics: 46,526 shares worth $3.44M.
  • PenderFund Capital Management added most to Baidu in Q3 2021, an estimated $1.02M increase.
  • PenderFund Capital Management's biggest Q3 2021 reduction was Vimeo, cutting an estimated $1.99M.
  • PenderFund Capital Management fully exited SharpSpring, Inc. in Q3 2021, selling an estimated $8.29M.
  • PenderFund Capital Management's ten largest holdings make up 41% of its $383M portfolio in Q3 2021.
  • PenderFund Capital Management opened 66 new positions and closed 13 in Q3 2021.
  • PenderFund Capital Management's portfolio value fell 10% quarter-over-quarter to $383M.

Based on PenderFund Capital Management's 13F filing for Q3 2021, filed 15 Nov 2021.