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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
OEPWW
176
DELISTED
One Equity Partners Open Water I Corp. Warrant
OEPWW
$0 ﹤0.01%
1,666
– –
CRHC
177
DELISTED
Cohn Robbins Holdings Corp.
CRHC
– –
-4,000
Closed -$51K
CTXS
178
DELISTED
Citrix Systems Inc
CTXS
– –
-5,000
Closed -$625K
HMLP
179
DELISTED
HOEGH LNG PARTNERS LP
HMLP
– –
-16,300
Closed -$189K
IPOF.WS
180
DELISTED
Social Capital Hedosophia Holdings Corp. VI Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
IPOF.WS
– –
-48,500
Closed -$30K
HMTV
181
DELISTED
Hemisphere Media Group, Inc.
HMTV
– –
-63,710
Closed -$626K
ETAC
182
DELISTED
E.Merge Technology Acquisition Corp. Class A Common Stock
ETAC
– –
-9,874
Closed -$127K
TUFN
183
DELISTED
Tufin Software Technologies Ltd.
TUFN
– –
-22,600
Closed -$365K
CDR
184
DELISTED
Cedar Realty Trust, Inc
CDR
– –
-7,400
Closed -$274K
BKEP
185
DELISTED
Blueknight Energy Partners L.P.
BKEP
– –
-87,200
Closed -$507K
TPTX
186
DELISTED
Turning Point Therapeutics, Inc. Common Stock
TPTX
– –
-5,180
Closed -$502K
SAIL
187
DELISTED
SailPoint Technologies Holdings, Inc. Common Stock
SAIL
– –
-6,100
Closed -$492K
GOAC
188
DELISTED
GO Acquisition Corp. Class A Common Stock
GOAC
– –
-23,875
Closed -$307K
LEAP
189
DELISTED
Ribbit LEAP, Ltd.
LEAP
– –
-7,660
Closed -$98K
OBCI
190
DELISTED
Ocean Bio-Chem Inc
OBCI
– –
-13,122
Closed -$218K
ACC
191
DELISTED
American Campus Communities, Inc.
ACC
– –
-6,800
Closed -$564K
NPTN
192
DELISTED
NEOPHOTONICS CORP
NPTN
– –
-30,300
Closed -$614K
MTOR
193
DELISTED
MERITOR, Inc.
MTOR
– –
-10,500
Closed -$491K
MILE
194
DELISTED
Metromile, Inc. Common Stock
MILE
– –
-264,100
Closed -$312K
WBT
195
DELISTED
Welbilt, Inc.
WBT
– –
-7,880
Closed -$242K
PSTH.WS
196
DELISTED
Pershing Square Tontine Holdings, Ltd. Warrants, exercisable for one share of Class A Common Stock f
PSTH.WS
– –
-10,332
Closed -$6K
PSTH
197
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
– –
-28,550
Closed -$734K
CNR
198
DELISTED
Cornerstone Building Brands, Inc.
CNR
– –
-15,880
Closed -$501K
PRPB
199
DELISTED
CC Neuberger Principal Holdings II Class A Ordinary Shares
PRPB
– –
-2,000
Closed -$26K
NTUS
200
DELISTED
Natus Medical Inc
NTUS
– –
-5,800
Closed -$245K
5 6 7
8
9

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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.