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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
-4.81%
1 Year Est. Return
+31.05%
3 Year Est. Return
+130.01%
5 Year Est. Return
+118.66%
10 Year Est. Return
–
AUM
$320M
AUM Growth
-$42M
Cap. Flow
-$125M
Cap. Flow %
-38.95%
Top 10 Hldgs %
45.1%
Holding
220
New
41
Increased
73
Reduced
24
Closed
41

Top Buys

Rank Stock Value
1
QBTS icon
D-Wave Quantum Inc. Common Stock
QBTS
+$5.99M
2
FAX
abrdn Asia-Pacific Income Fund
FAX
+$4.05M
3
WIW
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
+$2.07M
4
EMD
Western Asset Emerging Markets Debt Fund
EMD
+$1.81M
5
DCBO
Docebo
DCBO
+$1.76M

Top Sells

Rank Stock Value
1
SWIR
Sierra Wireless
SWIR
+$5.3M
2
AVNW icon
Aviat Networks
AVNW
+$2.49M
3
BUR icon
Burford Capital
BUR
+$1.68M
4
IBKR icon
Interactive Brokers
IBKR
+$1.59M
5
BIDU icon
Baidu
BIDU
+$1.3M

Sector Composition

Rank Sector Weight
1 Technology 21.29%
2 Financials 11.38%
3 Communication Services 8.41%
4 Consumer Discretionary 3.74%
5 Energy 3.23%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NXDT
151
NexPoint Diversified Real Estate Trust
NXDT
$239M
$38K 0.01%
+2,200
New +$34.2K
PNTM
152
DELISTED
Pontem Corporation
PNTM
$32K 0.01%
2,300
+200
+10% +$1.98K
PRPL icon
153
Purple Innovation
PRPL
$41.5M
$28K 0.01%
+200
New +$17.4K
KNBE
154
DELISTED
KnowBe4, Inc. Class A Common Stock
KNBE
$26K 0.01%
+900
New +$16.6K
VLD.WS
155
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
$6K ﹤0.01%
5,000
– –
LUXAW
156
DELISTED
Lux Health Tech Acquisition Corp. Warrants
LUXAW
$6K ﹤0.01%
30,633
-2,366
-7% -$335
FLD
157
Fold Holdings
FLD
$24.9M
$2K ﹤0.01%
135
– –
HCNEW
158
DELISTED
Jaws Hurricane Acquisition Corp. Warrant
HCNEW
$1K ﹤0.01%
2,500
– –
FUN icon
159
Cedar Fair
FUN
$1.68B
– –
-600
Closed -$34K
HR icon
160
Healthcare Realty
HR
$6.87B
– –
-5,800
Closed -$208K
KSS icon
161
Kohl's
KSS
$2.2B
– –
-900
Closed -$41K
NTRA icon
162
Natera
NTRA
$45.8B
– –
-2,478
Closed -$113K
PROK icon
163
ProKidney
PROK
$339M
– –
-7,094
Closed -$91K
TXMD icon
164
TherapeuticsMD
TXMD
$24.3M
– –
-24,410
Closed -$313K
UNIT
165
Uniti Group
UNIT
$2.32B
– –
-2,800
Closed -$34K
JWSM.WS
166
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
– –
TRON
167
DELISTED
Corner Growth Acquisition Corp. 2 Class A Ordinary Share
TRON
– –
-18,489
Closed -$239K
AKLI
168
DELISTED
Akili Inc
AKLI
– –
-6,400
Closed -$81K
DCFCW
169
DELISTED
Tritium DCFC Limited Warrant
DCFCW
$0 ﹤0.01%
333
– –
BOAC
170
DELISTED
Bluescape Opportunities Acquisition Corp.
BOAC
– –
-1,300
Closed -$17K
STCN
171
DELISTED
Steel Connect, Inc. Common Stock
STCN
– –
-19,363
Closed -$312K
PEARW
172
DELISTED
Pear Therapeutics, Inc. Warrant
PEARW
$0 ﹤0.01%
333
– –
LEGAW
173
DELISTED
Lead Edge Growth Opportunities, Ltd Warrant
LEGAW
$0 ﹤0.01%
2,500
– –
PV.WS
174
DELISTED
Primavera Capital Acquisition Corporation Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
PV.WS
$0 ﹤0.01%
2,500
– –
SSAAW
175
DELISTED
Science Strategic Acquisition Corp. Alpha Warrant
SSAAW
$0 ﹤0.01%
1,666
– –
5 6
7
8 9

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BPC
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KCM
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SCP
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SFG
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FTC
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WHGAM
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WCM
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PenderFund Capital Management's Q3 2022 Portfolio in Review

As of Q3 2022, PenderFund Capital Management held 220 positions worth $320M, down 12% from $362M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

PenderFund Capital Management withdrew a net $125M in Q3 2022, closing 41 positions and reducing 24 holdings. Its most notable exit was Points.com Inc. Common Shares, an estimated $753K position sold in full.

By sector, the portfolio is most concentrated in Technology at 21% of assets, down from 22% a quarter earlier, followed by Financials and Communication Services.

Against the trend, PenderFund Capital Management opened a new position in D-Wave Quantum Inc. Common Stock worth $8.14M.

  • PenderFund Capital Management's largest Q3 2022 buy was D-Wave Quantum Inc. Common Stock: 747,838 shares worth $8.14M.
  • PenderFund Capital Management added most to Western Asset Inflation-Linked Opportunities & Income Fund in Q3 2022, an estimated $2.07M increase.
  • PenderFund Capital Management's biggest Q3 2022 reduction was Sierra Wireless, cutting an estimated $5.3M.
  • PenderFund Capital Management fully exited Points.com Inc. Common Shares in Q3 2022, selling an estimated $753K.
  • PenderFund Capital Management's ten largest holdings make up 45% of its $320M portfolio in Q3 2022.
  • PenderFund Capital Management opened 41 new positions and closed 41 in Q3 2022.
  • PenderFund Capital Management's portfolio value fell 12% quarter-over-quarter to $320M.

Based on PenderFund Capital Management's 13F filing for Q3 2022, filed 14 Nov 2022.