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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
ATAQ
126
DELISTED
Altimar Acquisition Corp III
ATAQ
– –
-19,294
Closed -$262K
QUOT
127
DELISTED
Quotient Technology Inc
QUOT
– –
-251,840
Closed -$1.28M
BKI
128
DELISTED
Black Knight, Inc. Common Stock
BKI
– –
-24,660
Closed -$1.95M
NUVA
129
DELISTED
NuVasive, Inc.
NUVA
– –
-12,770
Closed -$704K
FOCS
130
DELISTED
Focus Financial Partners Inc. Class A
FOCS
– –
-20,890
Closed -$1.45M
FORG
131
DELISTED
ForgeRock, Inc.
FORG
– –
-14,690
Closed -$400K
FRG
132
DELISTED
Franchise Group, Inc.
FRG
– –
-23,550
Closed -$894K
ARNC
133
DELISTED
Arconic Corporation
ARNC
– –
-26,320
Closed -$1.03M
KDNY
134
DELISTED
Chinook Therapeutics, Inc. Common Stock
KDNY
– –
-16,480
Closed -$839K
DICE
135
DELISTED
DICE Therapeutics, Inc. Common Stock
DICE
– –
-10,467
Closed -$644K
WTT
136
DELISTED
Wireless Telecom Group, Inc.
WTT
– –
-233,972
Closed -$651K
HMPT
137
DELISTED
Home Point Capital, Inc Common Stock
HMPT
– –
-435,533
Closed -$1.34M
UNVR
138
DELISTED
Univar Solutions Inc.
UNVR
– –
-25,660
Closed -$1.22M
SPPI
139
DELISTED
Spectrum Pharmaceuticals Inc
SPPI
– –
-333,220
Closed -$424K
AJRD
140
DELISTED
Aerojet Rocketdyne Holdings
AJRD
– –
-10,780
Closed -$784K
ABST
141
DELISTED
Absolute Software Corp
ABST
– –
-59,268
Closed -$900K
GRNA
142
DELISTED
GreenLight Biosciences Holdings, PBC Common Stock
GRNA
– –
-331,110
Closed -$131K
BGRY
143
DELISTED
Berkshire Grey, Inc. Class A Common Stock
BGRY
– –
-819,020
Closed -$1.53M
TESS
144
DELISTED
Tessco Technologies Inc
TESS
– –
-117,740
Closed -$1.4M
GLOP
145
DELISTED
GASLOG PARTNERS LP
GLOP
– –
-97,640
Closed -$1.11M
ISEE
146
DELISTED
IVERIC bio, Inc. Common Stock
ISEE
– –
-29,450
Closed -$1.53M
CORS
147
DELISTED
Corsair Partnering Corporation
CORS
– –
-5,149
Closed -$71K
DSEY
148
DELISTED
Diversey Holdings, Ltd. Ordinary Shares
DSEY
– –
-137,750
Closed -$1.53M
EOCW
149
DELISTED
Elliott Opportunity II Corp.
EOCW
– –
-11,399
Closed -$156K
DNAD
150
DELISTED
Social Capital Suvretta Holdings Corp. IV Class A Ordinary Shares
DNAD
– –
-9,910
Closed -$136K
3 4 5
6
7

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KCM
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SCP
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SFG
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WHGAM
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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.