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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
+9.34%
1 Year Est. Return
+31.05%
3 Year Est. Return
+130.01%
5 Year Est. Return
+118.66%
10 Year Est. Return
–
AUM
$335M
AUM Growth
+$15.8M
Cap. Flow
-$129M
Cap. Flow %
-38.34%
Top 10 Hldgs %
44.38%
Holding
212
New
29
Increased
46
Reduced
31
Closed
72

Top Buys

Rank Stock Value
1
SANG
Sangoma Technologies
SANG
+$3.77M
2
NZF icon
Nuveen Municipal Credit Income Fund
NZF
+$3.47M
3
EDD
Morgan Stanley Emerging Markets Domestic Debt Fund
EDD
+$2.15M
4
FAX
abrdn Asia-Pacific Income Fund
FAX
+$1.76M
5
EMD
Western Asset Emerging Markets Debt Fund
EMD
+$1.57M

Top Sells

Rank Stock Value
1
TPL icon
Texas Pacific Land
TPL
+$4.94M
2
MAXR
Maxar Technologies Inc. Common Stock
MAXR
+$4.22M
3
EBIX
Ebix Inc
EBIX
+$2.47M
4
JD icon
JD.com
JD
+$1.56M
5
IBKR icon
Interactive Brokers
IBKR
+$1.51M

Sector Composition

Rank Sector Weight
1 Technology 18.94%
2 Financials 9.59%
3 Communication Services 7.2%
4 Consumer Discretionary 2.96%
5 Real Estate 2.46%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HLAH
151
DELISTED
Hamilton Lane Alliance Holdings I, Inc. Class A Common Stock
HLAH
– –
-7,090
Closed -$97K
PV.WS
152
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
– –
-2,500
Closed –
SSAAW
153
DELISTED
Science Strategic Acquisition Corp. Alpha Warrant
SSAAW
– –
-1,666
Closed –
OEPWW
154
DELISTED
One Equity Partners Open Water I Corp. Warrant
OEPWW
– –
-1,666
Closed –
HTPA
155
DELISTED
Highland Transcend Partners I Corp.
HTPA
– –
-4,100
Closed -$56K
REVH
156
DELISTED
Revolution Healthcare Acquisition Corp. SAIL Class A Common Stock
REVH
– –
-7,067
Closed -$96K
ASZ
157
DELISTED
Austerlitz Acquisition Corporation II
ASZ
– –
-7,090
Closed -$96K
FVIV
158
DELISTED
Fortress Value Acquisition Corp. IV
FVIV
– –
-6,980
Closed -$95K
AERI
159
DELISTED
Aerie Pharmaceuticals
AERI
– –
-22,950
Closed -$480K
TEN
160
DELISTED
Tenneco Inc. Class A Voting Common Stock
TEN
– –
-23,400
Closed -$562K
ECOM
161
DELISTED
CHANNELADVISOR CORPORATION
ECOM
– –
-15,490
Closed -$485K
IS
162
DELISTED
ironSource Ltd.
IS
– –
-89,881
Closed -$427K
HAAC
163
DELISTED
Health Assurance Acquisition Corp. Class A Common Stock
HAAC
– –
-6,334
Closed -$87K
CYBE
164
DELISTED
Cyberoptics Corp
CYBE
– –
-7,520
Closed -$559K
STON
165
DELISTED
StoneMor Inc.
STON
– –
-162,300
Closed -$769K
USWS
166
DELISTED
U.S. Well Services, Inc. Class A Common Stock
USWS
– –
-21,530
Closed -$151K
PZN
167
DELISTED
Pzena Investment Management, Inc. Class A
PZN
– –
-23,991
Closed -$314K
LUXAW
168
DELISTED
Lux Health Tech Acquisition Corp. Warrants
LUXAW
– –
-30,633
Closed -$6K
TWTR
169
DELISTED
Twitter, Inc.
TWTR
– –
-5,520
Closed -$334K
ENPC
170
DELISTED
Executive Network Partnering Corporation
ENPC
– –
-17,200
Closed -$237K
PMVC
171
DELISTED
PMV Consumer Acquisition Corp.
PMVC
– –
-10,603
Closed -$146K
CCXI
172
DELISTED
ChemoCentryx, Inc.
CCXI
– –
-8,930
Closed -$637K
MN
173
DELISTED
MANNING & NAPIER, INC.
MN
– –
-42,880
Closed -$727K
ZY
174
DELISTED
Zymergen Inc. Common Stock
ZY
– –
-124,500
Closed -$478K
AVLR
175
DELISTED
Avalara, Inc.
AVLR
– –
-3,800
Closed -$482K
4 5 6
7
8

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PenderFund Capital Management's Q4 2022 Portfolio in Review

As of Q4 2022, PenderFund Capital Management held 212 positions worth $335M, up 4.9% from $320M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

PenderFund Capital Management withdrew a net $129M in Q4 2022, closing 72 positions and reducing 31 holdings. Its most notable exit was Ebix Inc, an estimated $2.47M position sold in full.

By sector, the portfolio is most concentrated in Technology at 19% of assets, down from 21% a quarter earlier, followed by Financials and Communication Services.

Against the trend, PenderFund Capital Management opened a new position in Nuveen Municipal Credit Income Fund worth $4.91M.

  • PenderFund Capital Management's largest Q4 2022 buy was Nuveen Municipal Credit Income Fund: 300,000 shares worth $4.91M.
  • PenderFund Capital Management added most to Sangoma Technologies in Q4 2022, an estimated $3.77M increase.
  • PenderFund Capital Management's biggest Q4 2022 reduction was Texas Pacific Land, cutting an estimated $4.94M.
  • PenderFund Capital Management fully exited Ebix Inc in Q4 2022, selling an estimated $2.47M.
  • PenderFund Capital Management's ten largest holdings make up 44% of its $335M portfolio in Q4 2022.
  • PenderFund Capital Management opened 29 new positions and closed 72 in Q4 2022.
  • PenderFund Capital Management's portfolio value rose 4.9% quarter-over-quarter to $335M.

Based on PenderFund Capital Management's 13F filing for Q4 2022, filed 10 Feb 2023.