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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
+8.71%
1 Year Est. Return
+31.05%
3 Year Est. Return
+130.01%
5 Year Est. Return
+118.66%
10 Year Est. Return
–
AUM
$307M
AUM Growth
-$26.9M
Cap. Flow
-$145M
Cap. Flow %
-47.35%
Top 10 Hldgs %
60.78%
Holding
159
New
47
Increased
13
Reduced
13
Closed
54

Top Buys

Rank Stock Value
1
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
+$4.44M
2
NWLI
National Western Life Group, Inc. Class A
NWLI
+$856K
3
CHS
Chicos FAS, Inc.
CHS
+$771K
4
VERY
Vericity, Inc. Common Stock
VERY
+$766K
5
SANG
Sangoma Technologies
SANG
+$633K

Top Sells

Rank Stock Value
1
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$4.71M
2
ATEX icon
Anterix
ATEX
+$3.98M
3
JD icon
JD.com
JD
+$2.24M
4
BIDU icon
Baidu
BIDU
+$2.2M
5
FAX
abrdn Asia-Pacific Income Fund
FAX
+$2.15M

Sector Composition

Rank Sector Weight
1 Technology 17.58%
2 Financials 11.18%
3 Energy 3.65%
4 Communication Services 2.61%
5 Consumer Discretionary 1.89%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IMAQ
76
DELISTED
International Media Acquisition Corp. Class A Common Stock
IMAQ
$112K 0.04%
+7,448
New +$83.9K
ATEX icon
77
Anterix
ATEX
$1.95B
$102K 0.03%
2,300
-123,320
-98% -$3.98M
RAIN
78
DELISTED
Rain Oncology Inc. Common Stock
RAIN
$61.5K 0.02%
+38,650
New +$41.7K
NXE icon
79
NexGen Energy
NXE
$7.03B
$50.1K 0.02%
5,400
-5,900
-52% -$36.7K
HA
80
DELISTED
Hawaiian Holdings, Inc.
HA
$48.9K 0.02%
+2,600
New +$19.3K
EAR
81
DELISTED
Eargo, Inc. Common Stock
EAR
$44K 0.01%
+12,807
New +$30.3K
SGML icon
82
Sigma Lithium
SGML
$1.25B
$41.8K 0.01%
+1,000
New +$27.9K
BRAG
83
Bragg Gaming Group
BRAG
$50.2M
$32.5K 0.01%
+4,800
New +$23.2K
LL
84
DELISTED
LL Flooring Holdings, Inc.
LL
$26.9K 0.01%
5,210
– –
FEXD
85
DELISTED
Fintech Ecosystem Development Corp. Class A Common Stock
FEXD
$24.6K 0.01%
1,721
– –
SBXC
86
DELISTED
SilverBox Corp III
SBXC
$13.7K ﹤0.01%
1,000
– –
DUET
87
DELISTED
DUET Acquisition Corp. Class A Common Stock
DUET
$4.43K ﹤0.01%
+305
New +$3.3K
SHAP
88
DELISTED
Spree Acquisition Corp. 1 Limited
SHAP
$2.87K ﹤0.01%
+200
New +$2.18K
CERO
89
DELISTED
CERo Therapeutics
CERO
– –
0
– –
PLMJ
90
DELISTED
Plum Acquisition Corp. III Class A Ordinary Shares
PLMJ
$794 ﹤0.01%
+56
New +$596
LANV.WS
91
DELISTED
Lanvin Group Holdings Warrants
LANV.WS
$464 ﹤0.01%
2,500
– –
VLD.WS
92
DELISTED
Velo3D, Inc. Redeemable warrants, each Warrant exercisable for 1/35th of a share of Common Stock at an exercise price of $402.50
VLD.WS
$199 ﹤0.01%
5,000
– –
PMGM
93
DELISTED
Priveterra Acquisition Corp. II Class A Common Stock
PMGM
$118 ﹤0.01%
+8
New +$87
QTI
94
QT Imaging Holdings
QTI
$37.3M
$61 ﹤0.01%
+4
New +$44
BANC icon
95
Banc of California
BANC
$2.99B
$53 ﹤0.01%
+3
New +$37
SBXC.WS
96
DELISTED
SilverBox Corp III Redeemable warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50
SBXC.WS
$41 ﹤0.01%
332
– –
DCFCW
97
DELISTED
Tritium DCFC Limited Warrant
DCFCW
$35 ﹤0.01%
333
– –
JWSM.WS
98
DELISTED
Jaws Mustang Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
JWSM.WS
$13 ﹤0.01%
250
– –
CEF icon
99
Sprott Physical Gold and Silver Trust
CEF
$8.03B
– –
-200,000
Closed -$4.71M
FAX
100
abrdn Asia-Pacific Income Fund
FAX
$595M
– –
-107,478
Closed -$2.15M
2 3
4
5 6

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SCP
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SFG
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WHGAM
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WCM
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PenderFund Capital Management's Q4 2023 Portfolio in Review

As of Q4 2023, PenderFund Capital Management held 159 positions worth $307M, down 8.1% from $334M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

PenderFund Capital Management withdrew a net $145M in Q4 2023, closing 54 positions and reducing 13 holdings. Its most notable exit was Sprott Physical Gold and Silver Trust, an estimated $4.71M position sold in full.

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

Against the trend, PenderFund Capital Management opened a new position in National Western Life Group, Inc. Class A worth $1.15M.

  • PenderFund Capital Management's largest Q4 2023 buy was National Western Life Group, Inc. Class A: 1,800 shares worth $1.15M.
  • PenderFund Capital Management added most to Nuveen AMT-Free Municipal Credit Income Fund in Q4 2023, an estimated $4.44M increase.
  • PenderFund Capital Management's biggest Q4 2023 reduction was Anterix, cutting an estimated $3.98M.
  • PenderFund Capital Management fully exited Sprott Physical Gold and Silver Trust in Q4 2023, selling an estimated $4.71M.
  • PenderFund Capital Management's ten largest holdings make up 61% of its $307M portfolio in Q4 2023.
  • PenderFund Capital Management opened 47 new positions and closed 54 in Q4 2023.
  • PenderFund Capital Management's portfolio value fell 8.1% quarter-over-quarter to $307M.

Based on PenderFund Capital Management's 13F filing for Q4 2023, filed 14 Feb 2024.