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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
JWSM.WS
126
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
$0 ﹤0.01%
250
– –
VAQC
127
DELISTED
Vector Acquisition Corporation II Class A Ordinary Shares
VAQC
$0 ﹤0.01%
+14
New +$137
PEARW
128
DELISTED
Pear Therapeutics, Inc. Warrant
PEARW
$0 ﹤0.01%
333
– –
LEGA
129
DELISTED
Lead Edge Growth Opportunities, Ltd Class A Ordinary Shares
LEGA
– –
-10,000
Closed -$121K
ACQR
130
DELISTED
Independence Holdings Corp. Class A Ordinary Share
ACQR
$0 ﹤0.01%
+10
New +$97
ESM.WS
131
DELISTED
ESM Acquisition Corporation Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
ESM.WS
– –
-233
Closed –
EMWP
132
DELISTED
Eros Media World PLC
EMWP
– –
-240
Closed -$9K
SPAQ.WS
133
DELISTED
Spartan Acquisition Corp. III Warrants, exercisable for one share of Class A Common Stock
SPAQ.WS
$0 ﹤0.01%
250
– –
SPFR.WS
134
DELISTED
Jaws Spitfire Acquisition Corporation Redeemable warrants, each whole warrant exercisable for one Cl
SPFR.WS
– –
-5,000
Closed -$12K
UUUU.WS
135
DELISTED
Energy Fuels Inc.
UUUU.WS
– –
-200,000
Closed -$882K
SHSP
136
DELISTED
SharpSpring, Inc.
SHSP
– –
-395,702
Closed -$8.29M
BPY
137
DELISTED
Brookfield Property Partners L.P. Limited Partnership Units
BPY
– –
-27,309
Closed -$641K
WPF.WS
138
DELISTED
Foley Trasimene Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A
WPF.WS
– –
-58,032
Closed -$150K
2 3 4 5
6

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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.