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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
+2.3%
1 Year Est. Return
+31.05%
3 Year Est. Return
+130.01%
5 Year Est. Return
+118.66%
10 Year Est. Return
–
AUM
$334M
AUM Growth
+$12M
Cap. Flow
-$97.9M
Cap. Flow %
-29.34%
Top 10 Hldgs %
52.21%
Holding
162
New
52
Increased
11
Reduced
11
Closed
49

Top Buys

Rank Stock Value
1
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$9.25M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$8.93M
3
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$3.63M
4
NZF icon
Nuveen Municipal Credit Income Fund
NZF
+$1.21M
5
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
+$1.13M

Top Sells

Rank Stock Value
1
FAX
abrdn Asia-Pacific Income Fund
FAX
+$3.76M
2
BKI
Black Knight, Inc. Common Stock
BKI
+$1.95M
3
ISEE
IVERIC bio, Inc. Common Stock
ISEE
+$1.53M
4
DSEY
Diversey Holdings, Ltd. Ordinary Shares
DSEY
+$1.53M
5
RADI
Radius Global Infrastructure, Inc. Class A Common Stock
RADI
+$1.53M

Sector Composition

Rank Sector Weight
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 Change
in Stake 		Capital Flow
ESTE
76
DELISTED
Earthstone Energy Inc. Class A Common Stock
ESTE
$429K 0.13%
+15,620
New +$272K
AAIC
77
DELISTED
Arlington Asset Investment Corp.
AAIC
$419K 0.13%
+72,090
New +$327K
PFSW
78
DELISTED
PFSweb, Inc.
PFSW
$417K 0.13%
+41,217
New +$215K
ATVI
79
DELISTED
Activision Blizzard
ATVI
$413K 0.12%
+3,250
New +$297K
MMM icon
80
3M
MMM
$94.2B
$399K 0.12%
+3,755
New +$322K
TMBR
81
DELISTED
Timber Pharmaceuticals, Inc.
TMBR
$391K 0.12%
+96,790
New +$226K
USAR
82
USA Rare Earth Inc
USAR
$4.71B
$347K 0.1%
+25,000
New +$254K
NXGN
83
DELISTED
NextGen Healthcare, Inc. Common Stock
NXGN
$332K 0.1%
+10,290
New +$194K
SCPL
84
DELISTED
SciPlay Corporation Class A Common Stock
SCPL
$220K 0.07%
+7,100
New +$152K
ZYNE
85
DELISTED
Zynerba Pharmaceuticals, Inc
ZYNE
$213K 0.06%
+123,444
New +$108K
BHAC
86
DELISTED
Focus Impact BH3 Acquisition Company Class A Common Stock
BHAC
$197K 0.06%
+13,756
New +$144K
SPLK
87
DELISTED
Splunk Inc
SPLK
$111K 0.03%
+560
New +$63.4K
NXE icon
88
NexGen Energy
NXE
$6.98B
$92K 0.03%
11,300
– –
TWNK
89
DELISTED
Hostess Brands, Inc. Class A Common Stock
TWNK
$67K 0.02%
+1,490
New +$39.9K
PACW
90
DELISTED
PacWest Bancorp
PACW
$64K 0.02%
+5,992
New +$50K
ELIQ
91
DELISTED
Electriq Power Holdings, Inc.
ELIQ
$52K 0.02%
+21,917
New +$95.9K
BACA
92
DELISTED
Berenson Acquisition Corp. I
BACA
$25K 0.01%
+1,791
New +$18.5K
FEXD
93
DELISTED
Fintech Ecosystem Development Corp. Class A Common Stock
FEXD
$25K 0.01%
+1,721
New +$18.3K
LL
94
DELISTED
LL Flooring Holdings, Inc.
LL
$22K 0.01%
+5,210
New +$18.7K
LCA
95
DELISTED
Landcadia Holdings IV, Inc. Class A Common Stock
LCA
$16K ﹤0.01%
+1,145
New +$11.8K
SBXC
96
DELISTED
SilverBox Corp III
SBXC
$14K ﹤0.01%
+1,000
New +$10.2K
CANO.WS
97
DELISTED
Cano Health, Inc. Redeemable Warrants, each whole warrant is exercisable for one-one hundredth (1/100th) of a share of Class A Common Stock at an exercise price of $1,150
CANO.WS
$4K ﹤0.01%
53,598
– –
HWH icon
98
HWH International
HWH
$11.4M
$3K ﹤0.01%
36
– –
USARW
99
DELISTED
USA Rare Earth Inc Warrant
USARW
$3K ﹤0.01%
+12,499
New +$2.5K
LANV.WS
100
DELISTED
Lanvin Group Holdings Warrants
LANV.WS
$1K ﹤0.01%
2,500
– –
2 3
4
5 6

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PenderFund Capital Management's Q3 2023 Portfolio in Review

As of Q3 2023, PenderFund Capital Management held 162 positions worth $334M, up 3.7% from $322M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

PenderFund Capital Management withdrew a net $97.9M in Q3 2023, closing 49 positions and reducing 11 holdings. Its most notable exit was Black Knight, Inc. Common Stock, an estimated $1.95M position sold in full.

By sector, the portfolio is most concentrated in Technology at 17% of assets, down from 18% a quarter earlier, followed by Financials and Communication Services.

Against the trend, PenderFund Capital Management opened a new position in Nuveen Quality Municipal Income Fund worth $11.7M.

  • PenderFund Capital Management's largest Q3 2023 buy was Nuveen Quality Municipal Income Fund: 850,000 shares worth $11.7M.
  • PenderFund Capital Management added most to Nuveen Municipal Credit Income Fund in Q3 2023, an estimated $1.21M increase.
  • PenderFund Capital Management's biggest Q3 2023 reduction was abrdn Asia-Pacific Income Fund, cutting an estimated $3.76M.
  • PenderFund Capital Management fully exited Black Knight, Inc. Common Stock in Q3 2023, selling an estimated $1.95M.
  • PenderFund Capital Management's ten largest holdings make up 52% of its $334M portfolio in Q3 2023.
  • PenderFund Capital Management opened 52 new positions and closed 49 in Q3 2023.
  • PenderFund Capital Management's portfolio value rose 3.7% quarter-over-quarter to $334M.

Based on PenderFund Capital Management's 13F filing for Q3 2023, filed 14 Nov 2023.