PCM

PenderFund Capital Management Portfolio holdings

AUM $423M
This Quarter Return
+5.49%
1 Year Return
+56.08%
3 Year Return
+113.56%
5 Year Return
+177.22%
10 Year Return
–
AUM
$378M
AUM Growth
+$378M
Cap. Flow
-$1.78B
Cap. Flow %
-471.22%
Top 10 Hldgs %
61.38%
Holding
152
New
40
Increased
13
Reduced
19
Closed
35

Top Buys

1
PPLT icon
abrdn Physical Platinum Shares ETF
PPLT
$2.83M
2
KW icon
Kennedy-Wilson Holdings
KW
$2.26M
3
TAST
Carrols Restaurant Group, Inc.
TAST
$1.41M
4
TCN
Tricon Residential Inc.
TCN
$1.38M
5
KAMN
Kaman Corp
KAMN
$1.16M

Top Sells

1
EMD
Western Asset Emerging Markets Debt Fund
EMD
$1.77B
2
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$7.97M
3
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$7.04M
4
SSNC icon
SS&C Technologies
SSNC
$3.51M
5
EDD
Morgan Stanley Emerging Markets Domestic Debt Fund
EDD
$3.1M

Sector Composition

1 Technology 15.88%
2 Financials 9.22%
3 Energy 3.11%
4 Consumer Discretionary 1.91%
5 Communication Services 1.89%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
MARX
101
DELISTED
Mars Acquisition Corp. Ordinary Shares
MARX
$29 ﹤0.01%
+2
New +$29
DCFCW
102
DELISTED
Tritium DCFC Limited Warrant
DCFCW
$18 ﹤0.01%
333
– –
QOMO
103
DELISTED
Qomolangma Acquisition Corp. Common Stock
QOMO
$15 ﹤0.01%
+1
New +$15
NVAC
104
DELISTED
NorthView Acquisition Corporation Common Stock
NVAC
– –
-16,600
Closed -$246K
EAR
105
DELISTED
Eargo, Inc. Common Stock
EAR
– –
-12,807
Closed -$44K
CHS
106
DELISTED
Chicos FAS, Inc.
CHS
– –
-102,590
Closed -$1.03M
MRTX
107
DELISTED
Mirati Therapeutics, Inc. Common Stock
MRTX
– –
-6,570
Closed -$511K
ORTX
108
DELISTED
Orchard Therapeutics plc American Depositary Shares
ORTX
– –
-23,580
Closed -$514K
RAIN
109
DELISTED
Rain Oncology Inc. Common Stock
RAIN
– –
-38,650
Closed -$61.5K
ESMT
110
DELISTED
EngageSmart, Inc.
ESMT
– –
-14,173
Closed -$430K
IMGN
111
DELISTED
Immunogen Inc
IMGN
– –
-27,580
Closed -$1.08M
FRLN
112
DELISTED
Freeline Therapeutics Holdings plc American Depositary Shares
FRLN
– –
-60,401
Closed -$509K
ICVX
113
DELISTED
Icosavax, Inc. Common Stock
ICVX
– –
-13,388
Closed -$280K
GRCL
114
DELISTED
Gracell Biotechnologies Inc. American Depositary Shares
GRCL
– –
-22,570
Closed -$300K
SHAP
115
DELISTED
Spree Acquisition Corp. 1 Limited
SHAP
– –
-200
Closed -$2.87K
RYZB
116
DELISTED
RayzeBio, Inc. Common Stock
RYZB
– –
-1,800
Closed -$148K
ROVR
117
DELISTED
Rover Group, Inc. Class A Common Stock
ROVR
– –
-51,900
Closed -$748K
BANC icon
118
Banc of California
BANC
$2.64B
– –
-3
Closed -$53
BATL icon
119
Battalion Oil
BATL
$18.8M
– –
-51,500
Closed -$656K
DMYY icon
120
dMY Squared
DMYY
$48.2M
– –
-34,900
Closed -$490K
MMM icon
121
3M
MMM
$81B
– –
-3,140
Closed -$455K
NVG icon
122
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.53B
– –
-508,872
Closed -$7.97M
SGML icon
123
Sigma Lithium
SGML
$671M
– –
-1,000
Closed -$41.8K
CERO icon
124
CERo Therapeutics
CERO
$8.74M
– –
0
-100
-100% -$1.48K
AMBR
125
Amber International Holding Limited American Depositary Shares
AMBR
$359M
– –
-31,200
Closed -$158K
2 3 4
5
6