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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
+8.67%
1 Year Est. Return
+31.05%
3 Year Est. Return
+130.01%
5 Year Est. Return
+118.66%
10 Year Est. Return
–
AUM
$318M
AUM Growth
-$17M
Cap. Flow
-$129M
Cap. Flow %
-40.58%
Top 10 Hldgs %
41.32%
Holding
181
New
44
Increased
26
Reduced
21
Closed
51

Top Buys

Rank Stock Value
1
FET icon
Forum Energy Technologies
FET
+$7.35M
2
NZF icon
Nuveen Municipal Credit Income Fund
NZF
+$4.19M
3
PAR icon
PAR Technology
PAR
+$1.6M
4
AMYT
Amryt Pharma plc American Depositary Shares
AMYT
+$1.35M
5
EMD
Western Asset Emerging Markets Debt Fund
EMD
+$1.34M

Top Sells

Rank Stock Value
1
MAXR
Maxar Technologies Inc. Common Stock
MAXR
+$5.71M
2
UTI icon
Universal Technical Institute
UTI
+$3.67M
3
SJR
Shaw Communications Inc.
SJR
+$1.65M
4
QBTS icon
D-Wave Quantum Inc. Common Stock
QBTS
+$1.46M
5
KKR icon
KKR & Co
KKR
+$1.43M

Sector Composition

Rank Sector Weight
1 Technology 18.07%
2 Financials 11.25%
3 Communication Services 7.4%
4 Energy 4.07%
5 Consumer Discretionary 3.34%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLAM
126
DELISTED
Slam Corp. Class A Ordinary Share
SLAM
– –
-8,810
Closed -$120K
SWAV
127
DELISTED
Shockwave Medical, Inc. Common Stock
SWAV
– –
-160
Closed -$45K
DCFCW
128
DELISTED
Tritium DCFC Limited Warrant
DCFCW
$0 ﹤0.01%
333
– –
VAQC
129
DELISTED
Vector Acquisition Corporation II Class A Ordinary Shares
VAQC
– –
-6,346
Closed -$87K
AAC
130
DELISTED
Ares Acquisition Corporation
AAC
– –
-6,400
Closed -$87K
ALLG.WS
131
DELISTED
Allego N.V. Warrants
ALLG.WS
$0 ﹤0.01%
+250
New +$59
FSNB
132
DELISTED
Fusion Acquisition Corp. II
FSNB
– –
-8,820
Closed -$120K
PNTM
133
DELISTED
Pontem Corporation
PNTM
– –
-2,900
Closed -$40K
PEARW
134
DELISTED
Pear Therapeutics, Inc. Warrant
PEARW
$0 ﹤0.01%
333
– –
KVSC
135
DELISTED
Khosla Ventures Acquisition Co. III Class A Common Stock
KVSC
– –
-8,680
Closed -$117K
MSDA
136
DELISTED
MSD Acquisition Corp. Class A Ordinary Shares
MSDA
– –
-6,300
Closed -$86K
ATCO
137
DELISTED
Atlas Corp.
ATCO
– –
-17,840
Closed -$371K
AIMC
138
DELISTED
Altra Industrial Motion Corp
AIMC
– –
-3,200
Closed -$259K
EVOP
139
DELISTED
EVO Payments, Inc. Class A Common Stock
EVOP
– –
-11,900
Closed -$545K
LEGAW
140
DELISTED
Lead Edge Growth Opportunities, Ltd Warrant
LEGAW
– –
-2,500
Closed –
ACQR
141
DELISTED
Independence Holdings Corp. Class A Ordinary Share
ACQR
– –
-8,816
Closed -$120K
MYOV
142
DELISTED
Myovant Sciences Ltd.
MYOV
– –
-5,300
Closed -$193K
WPCB
143
DELISTED
Warburg Pincus Capital Corporation I-B
WPCB
– –
-8,040
Closed -$110K
WPCA
144
DELISTED
Warburg Pincus Capital Corporation I-A
WPCA
– –
-6,429
Closed -$88K
FSTX
145
DELISTED
F-star Therapeutics, Inc. Common Stock
FSTX
– –
-22,760
Closed -$195K
FCRD
146
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
– –
-51,850
Closed -$299K
HERA
147
DELISTED
FTAC Hera Acquisition Corp. Class A Ordinary Shares
HERA
– –
-8,810
Closed -$121K
OIIM
148
DELISTED
02Micro International
OIIM
– –
-48,400
Closed -$293K
ELVT
149
DELISTED
Elevate Credit, Inc.
ELVT
– –
-108,600
Closed -$257K
COUP
150
DELISTED
Coupa Software Incorporated
COUP
– –
-4,900
Closed -$525K
3 4 5
6
7

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PenderFund Capital Management's Q1 2023 Portfolio in Review

As of Q1 2023, PenderFund Capital Management held 181 positions worth $318M, down 5.1% from $335M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

PenderFund Capital Management withdrew a net $129M in Q1 2023, closing 51 positions and reducing 21 holdings. Its most notable exit was Universal Technical Institute, an estimated $3.67M position sold in full.

By sector, the portfolio is most concentrated in Technology at 18% of assets, down from 19% a quarter earlier, followed by Financials and Communication Services.

Against the trend, PenderFund Capital Management opened a new position in Forum Energy Technologies worth $8.62M.

  • PenderFund Capital Management's largest Q1 2023 buy was Forum Energy Technologies: 250,757 shares worth $8.62M.
  • PenderFund Capital Management added most to Nuveen Municipal Credit Income Fund in Q1 2023, an estimated $4.19M increase.
  • PenderFund Capital Management's biggest Q1 2023 reduction was Maxar Technologies Inc. Common Stock, cutting an estimated $5.71M.
  • PenderFund Capital Management fully exited Universal Technical Institute in Q1 2023, selling an estimated $3.67M.
  • PenderFund Capital Management's ten largest holdings make up 41% of its $318M portfolio in Q1 2023.
  • PenderFund Capital Management opened 44 new positions and closed 51 in Q1 2023.
  • PenderFund Capital Management's portfolio value fell 5.1% quarter-over-quarter to $318M.

Based on PenderFund Capital Management's 13F filing for Q1 2023, filed 15 May 2023.