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| Name: |
PenderFund Capital Management Ltd. |
| City: |
VANCOUVER |
| State: |
A1 |
| Zip: |
V6E 3X1 |
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 |
Ticker |
Company Name |
Position
Rank |
New/Closed
Postion |
Last
Close |
Value |
Shares Held |
% of
Portfolio |
Value
Change |
Change In
Shares Held |
% of Company |
Industry |
|
PAR |
Par Technology Corp |
1 |
- |
$43.59 |
$16,820,000 |
291,539 |
8.85% |
1,307,000 |
-4,810 |
0.919 |
Business Equipment |
|
|
BUR |
Burford Capital Ltd |
2 |
- |
$16.09 |
$16,743,000 |
810,005 |
8.81% |
639,000 |
-36,900 |
0.37 |
N/A |
|
|
SANG |
Sangoma Technologies Corp. ... |
3 |
- |
$3.03 |
$14,026,000 |
3,308,133 |
7.38% |
-596,000 |
210,300 |
3.676 |
N/A |
|
|
NEA |
Nuveen Insured Tax Free Adv... |
4 |
- |
$10.90 |
$13,261,000 |
909,800 |
6.98% |
2,085,000 |
59,800 |
0.409 |
Closed - End Fund - Debt |
|
|
NAD |
Nuveen Dividend Advantage M... |
5 |
- |
$11.22 |
$12,896,000 |
850,000 |
6.79% |
1,189,000 |
0 |
0.421 |
Closed - End Fund - E... |
|
|
NZF |
Nuveen Dividend Advantage M... |
6 |
- |
$12.07 |
$11,856,000 |
757,000 |
6.24% |
1,132,000 |
0 |
1.875 |
Closed - End Fund - Debt |
|
|
NVG |
Nuveen Insured Dividend Adv... |
7 |
- |
$12.00 |
$7,970,000 |
508,872 |
4.19% |
6,570,000 |
408,872 |
1.459 |
Closed - End Fund - Debt |
|
|
DCBO |
Docebo Ord Shs |
8 |
- |
$0.00 |
$7,539,000 |
117,820 |
3.97% |
1,049,000 |
0 |
0.36 |
N/A |
|
|
KKR |
KKR Financial Holdings LLC |
9 |
- |
$99.67 |
$6,260,000 |
57,020 |
3.29% |
315,000 |
-14,040 |
0.01 |
Asset Management |
|
|
EDD |
Morgan Stanley Emerging Mar... |
10 |
- |
$4.60 |
$6,099,000 |
987,746 |
3.21% |
498,000 |
19,828 |
1.471 |
Closed - End Fund - Debt |
|
|
FET |
Forum Energy Technologies, ... |
11 |
- |
$19.03 |
$5,849,000 |
199,122 |
3.08% |
-680,000 |
-1,000 |
3.234 |
Oil & Gas Equipment &... |
|
|
AVNW |
Aviat Networks Inc |
12 |
- |
$31.26 |
$5,605,000 |
129,524 |
2.95% |
116,000 |
0 |
1.161 |
Communication Equipment |
|
|
Z |
Zillow Group Inc |
13 |
- |
$41.65 |
$5,355,000 |
69,847 |
2.82% |
977,000 |
0 |
0.032 |
Business Services |
|
|
ESD |
Western Asset Emerging Mark... |
14 |
- |
$9.30 |
$5,115,000 |
419,136 |
2.69% |
523,000 |
11,836 |
0.231 |
Closed - End Fund - Debt |
|
|
WIW |
Western Asset Claymore Us T... |
15 |
- |
$8.54 |
$4,844,000 |
421,676 |
2.55% |
189,000 |
5,240 |
0.689 |
Closed - End Fund - Debt |
|
|
IBKR |
Interactive Brokers Group Inc |
16 |
- |
$113.50 |
$4,189,000 |
38,138 |
2.2% |
-250,000 |
380 |
0.037 |
Investment Brokerage ... |
|
|
SSNC |
Ss&c Technologies Holdings Inc |
18 |
- |
$63.00 |
$3,704,000 |
45,740 |
1.95% |
578,000 |
1,930 |
0.018 |
N/A |
|
|
PTON |
Peloton Interactive, Inc. |
19 |
- |
$0.00 |
$2,720,000 |
337,090 |
1.43% |
408,000 |
0 |
0.111 |
N/A |
|
|
EGAN |
Egain Communications Corp |
20 |
- |
$6.39 |
$2,557,000 |
231,617 |
1.35% |
-265,000 |
-107,285 |
0.749 |
Application Software |
|
|
BN |
BROOKFIELD Corp |
21 |
- |
$43.99 |
$1,272,000 |
23,940 |
0.67% |
-456,000 |
-16,750 |
0.002 |
N/A |
|
|
AEL |
American Equity Investment ... |
22 |
- |
$56.47 |
$1,195,000 |
16,160 |
0.63% |
18,000 |
0 |
0.018 |
Life & Health Insurance |
|
|
NWLI |
National Western Life Insur... |
23 |
New |
$490.19 |
$1,152,000 |
1,800 |
0.61% |
1,152,000 |
1,800 |
0.052 |
Life & Health Insurance |
|
|
NGMS |
Neogames S A Ord Shs |
25 |
- |
$0.00 |
$1,142,000 |
30,110 |
0.6% |
38,000 |
0 |
0.121 |
N/A |
|
|
IMGN |
Immunogen Inc |
26 |
New |
$31.23 |
$1,084,000 |
27,580 |
0.57% |
1,084,000 |
27,580 |
0.012 |
Drug Manufacturers - ... |
|
|
VERY |
Vericity, Inc. |
27 |
New |
$0.00 |
$1,037,000 |
69,985 |
0.55% |
1,037,000 |
69,985 |
0.47 |
N/A |
|
|
CHS |
Chicos Fas Inc |
28 |
New |
$7.59 |
$1,030,000 |
102,590 |
0.54% |
1,030,000 |
102,590 |
0.086 |
Apparel Stores |
|
|
AYX |
Alteryx Inc |
29 |
New |
$48.26 |
$900,000 |
14,400 |
0.47% |
900,000 |
14,400 |
0.027 |
N/A |
|
|
MCHP |
Microchip Technology Inc |
30 |
- |
$91.99 |
$856,000 |
7,160 |
0.45% |
-104,000 |
-1,900 |
0.001 |
Semiconductor - Speci... |
|
|
KRTX |
Karuna Therapeutics, Inc. |
31 |
New |
$0.00 |
$797,000 |
1,900 |
0.42% |
797,000 |
1,900 |
0.005 |
N/A |
|
|
HOLI |
Hollysys Automation Technol... |
32 |
New |
$23.52 |
$796,000 |
22,800 |
0.42% |
796,000 |
22,800 |
0.038 |
Industrial Electrical... |
|
|
SOVO |
Sovos Brands, Inc. |
33 |
- |
$22.98 |
$783,000 |
26,810 |
0.41% |
-38,000 |
0 |
0.027 |
N/A |
|
|
SSYS |
Stratasys Inc |
35 |
- |
$9.23 |
$773,000 |
40,840 |
0.41% |
18,000 |
0 |
0 |
Computer Peripherals |
|
|
BIDU |
Baidu Inc |
34 |
- |
$109.60 |
$773,000 |
4,900 |
0.41% |
-3,594,000 |
-19,030 |
0.076 |
Internet Service Prov... |
|
|
AMNB |
American National Bancshare... |
36 |
- |
$47.76 |
$760,000 |
11,770 |
0.4% |
226,000 |
1,400 |
0.107 |
Domestic Regional Banks |
|
|
ROVR |
Rover Group Ord Shs Class A |
37 |
New |
$10.99 |
$748,000 |
51,900 |
0.39% |
748,000 |
51,900 |
0.03 |
N/A |
|
|
NOA |
North American Construction... |
38 |
- |
$20.45 |
$674,000 |
24,380 |
0.35% |
88,000 |
4,480 |
0.084 |
Oil & Gas Equipment &... |
|
|
SBUX |
Starbucks Corp |
39 |
- |
$73.50 |
$665,000 |
5,230 |
0.35% |
17,000 |
0 |
0 |
Specialty Eateries |
|
|
BATL |
Battalion Oil Corp |
40 |
New |
$5.66 |
$656,000 |
51,500 |
0.35% |
656,000 |
51,500 |
0.317 |
Oil & Gas Drilling & ... |
|
|
GAN |
Gan Ltd |
41 |
New |
$0.00 |
$639,000 |
305,004 |
0.34% |
639,000 |
305,004 |
1.054 |
N/A |
|
|
SP |
SP Plus Corp |
42 |
New |
$51.53 |
$632,000 |
9,300 |
0.33% |
632,000 |
9,300 |
0.04 |
Consumer Services |
|
|
FSV |
FirstService Corporation |
43 |
- |
$151.04 |
$584,000 |
2,720 |
0.31% |
47,000 |
0 |
0.006 |
N/A |
|
|
SPLK |
Splunk Inc |
44 |
- |
$156.90 |
$577,000 |
2,860 |
0.3% |
466,000 |
2,300 |
0.002 |
Application Software |
|
|
WIA |
Western Asset Claymore Us T... |
45 |
- |
$8.02 |
$556,000 |
51,666 |
0.29% |
50,000 |
4,000 |
0.177 |
Closed - End Fund - Debt |
|
|
CSTR |
Capstar Financial Holdings,... |
46 |
New |
$20.10 |
$549,000 |
22,126 |
0.29% |
549,000 |
22,126 |
0.101 |
N/A |
|
|
CERE |
Cerevel Therapeutics Holdin... |
47 |
New |
$42.06 |
$528,000 |
9,400 |
0.28% |
528,000 |
9,400 |
0.006 |
N/A |
|
|
OLK |
Olink Holding Ab Publ Adr |
48 |
New |
$0.00 |
$521,000 |
15,620 |
0.27% |
521,000 |
15,620 |
0.013 |
N/A |
|
|
ORTX |
Orchard Therapeutics Plc |
50 |
New |
$0.00 |
$514,000 |
23,580 |
0.27% |
514,000 |
23,580 |
0 |
N/A |
|
|
CNSL |
Consolidated Communications... |
49 |
New |
$4.29 |
$514,000 |
89,200 |
0.27% |
514,000 |
89,200 |
0.218 |
Telecom Services - Do... |
|
|
MRTX |
Mirati Therapeutics, Inc. |
51 |
New |
$58.70 |
$511,000 |
6,570 |
0.27% |
511,000 |
6,570 |
0.01 |
Biotechnology |
|
|
FRLN |
Freeline Therapeutics Hldgs |
52 |
New |
$0.00 |
$509,000 |
60,401 |
0.27% |
509,000 |
60,401 |
0.097 |
N/A |
|
|
CPRI |
Capri Holdings Limited |
53 |
- |
$0.00 |
$502,000 |
7,540 |
0.26% |
-383,000 |
-4,840 |
0.005 |
Apparel Stores |
|
|
DMYY |
Dmy Squared Technology Grou... |
54 |
New |
$10.64 |
$490,000 |
34,900 |
0.26% |
490,000 |
34,900 |
0.552 |
N/A |
|
|
NOC |
Northrop Grumman Corp |
55 |
- |
$471.61 |
$465,000 |
750 |
0.24% |
17,000 |
0 |
0.006 |
Aerospace/Defense - M... |
|
|
STWD |
Starwood Property Trust, Inc. |
56 |
- |
$20.08 |
$465,000 |
16,700 |
0.24% |
-360,000 |
-14,700 |
0 |
Property Management |
|
|
DSKE |
Daseke Inc |
57 |
New |
$8.29 |
$463,000 |
43,144 |
0.24% |
463,000 |
43,144 |
0.066 |
N/A |
|
|
MMM |
3M Co |
58 |
- |
$96.35 |
$455,000 |
3,140 |
0.24% |
56,000 |
0 |
0.001 |
Conglomerates |
|
|
ESMT |
Engagesmart, Inc. |
59 |
New |
$23.05 |
$430,000 |
14,173 |
0.23% |
430,000 |
14,173 |
0.009 |
N/A |
|
|
DG |
Dollar General Corp |
60 |
- |
$137.52 |
$407,000 |
2,260 |
0.21% |
-33,000 |
-800 |
0 |
Discount, Variety Stores |
|
|
FIAC |
Focus Impact Acquisition Corp. |
61 |
New |
$0.00 |
$364,000 |
25,100 |
0.19% |
364,000 |
25,100 |
0.109 |
N/A |
|
|
GHIX |
Gores Holdings Ix, Inc. |
62 |
New |
$0.00 |
$359,000 |
25,800 |
0.19% |
359,000 |
25,800 |
0.049 |
N/A |
|
|
IPXX |
Inflection Point Acquisitio... |
63 |
- |
$10.51 |
$342,000 |
25,000 |
0.18% |
-5,000 |
0 |
0.1 |
N/A |
|
|
GRCL |
Gracell Biotechnologies Adr... |
64 |
New |
$0.00 |
$300,000 |
22,570 |
0.16% |
300,000 |
22,570 |
0.034 |
N/A |
|
|
ICVX |
Icosavax, Inc. |
65 |
New |
$0.00 |
$280,000 |
13,388 |
0.15% |
280,000 |
13,388 |
0.034 |
N/A |
|
|
NVAC |
Northview Acquisition Corp |
66 |
New |
$0.00 |
$246,000 |
16,600 |
0.13% |
246,000 |
16,600 |
0.069 |
N/A |
|
|
MSSA |
Metal Sky Star Acquisition ... |
67 |
New |
$11.42 |
$239,000 |
16,500 |
0.13% |
239,000 |
16,500 |
0.112 |
N/A |
|
|
EGLE |
Eagle Bulk Shipping Inc |
68 |
New |
$62.60 |
$213,000 |
2,900 |
0.11% |
213,000 |
2,900 |
0.023 |
Water Transportation |
|
|
TGH |
Textainer Group Holdings Li... |
69 |
New |
$49.99 |
$182,000 |
2,790 |
0.1% |
182,000 |
2,790 |
0.005 |
Business Services |
|
|
CCLP |
CSI Compressco LP |
70 |
New |
$2.42 |
$179,000 |
82,906 |
0.09% |
179,000 |
82,906 |
0.175 |
Oil & Gas Equipment &... |
|
|
ICLK |
Iclick Interactive Asia Gro... |
71 |
New |
$0.00 |
$158,000 |
31,200 |
0.08% |
158,000 |
31,200 |
0.347 |
N/A |
|
|
RYZB |
Rayzebio, Inc. |
72 |
New |
$62.49 |
$148,000 |
1,800 |
0.08% |
148,000 |
1,800 |
0.003 |
N/A |
|
|
PGTI |
Pgt, Inc. |
73 |
New |
$41.99 |
$129,000 |
2,400 |
0.07% |
129,000 |
2,400 |
0.004 |
General Building Mate... |
|
|
TARO |
Taro Pharmaceutical Industr... |
74 |
New |
$42.28 |
$122,000 |
2,200 |
0.06% |
122,000 |
2,200 |
0.006 |
Drug Manufacturers - ... |
|
|
IMAQ |
International Media Acquisi... |
75 |
New |
$11.71 |
$112,000 |
7,448 |
0.06% |
112,000 |
7,448 |
0.031 |
N/A |
|
|
ATEX |
Anterix Ord Shs |
76 |
- |
$42.99 |
$102,000 |
2,300 |
0.05% |
-5,252,000 |
-123,320 |
0.013 |
N/A |
|
|
RAIN |
Rain Therapeutics Inc. |
77 |
New |
$0.00 |
$61,000 |
38,650 |
0.03% |
61,000 |
38,650 |
0.146 |
N/A |
|
|
NXE |
NexGen Energy Ltd |
78 |
- |
$7.68 |
$50,000 |
5,400 |
0.03% |
-42,000 |
-5,900 |
0.001 |
N/A |
|
|
HA |
Hawaiian Holdings Inc |
79 |
New |
$13.14 |
$49,000 |
2,600 |
0.03% |
49,000 |
2,600 |
0.005 |
Regional Airlines |
|
|
EAR |
Eargo, Inc. |
80 |
New |
$0.00 |
$44,000 |
12,807 |
0.02% |
44,000 |
12,807 |
0.034 |
N/A |
|
|
SGML |
Sigma Lithium Ord Shs |
81 |
New |
$17.20 |
$42,000 |
1,000 |
0.02% |
42,000 |
1,000 |
0.001 |
N/A |
|
|
BRAG |
Bragg Gaming Group Ord Shs |
82 |
New |
$0.00 |
$33,000 |
4,800 |
0.02% |
33,000 |
4,800 |
0.024 |
N/A |
|
|
LL |
Lumber Liquidators Inc |
83 |
- |
$1.53 |
$27,000 |
5,210 |
0.01% |
5,000 |
0 |
0.018 |
Home Improvement Stores |
|
|
FEXD |
Fintech Ecosystem Developme... |
84 |
- |
$0.00 |
$25,000 |
1,721 |
0.01% |
0 |
0 |
0.015 |
N/A |
|
|
SBXC |
Silverbox Corp Iii |
85 |
- |
$10.55 |
$14,000 |
1,000 |
0.01% |
0 |
0 |
0.007 |
N/A |
|
|
DUET |
Duet Acquisition Corp. |
86 |
New |
$0.00 |
$4,000 |
305 |
0% |
4,000 |
305 |
0.003 |
N/A |
|
|
SHAP |
Spree Acquisition 1 Ord Shs... |
87 |
New |
$0.00 |
$3,000 |
200 |
0% |
3,000 |
200 |
0.001 |
N/A |
|
|
PBAX |
Phoenix Biotech Acquisition... |
89 |
New |
$0.00 |
$1,000 |
100 |
0% |
1,000 |
100 |
0 |
N/A |
|
|
APTM |
Alpha Partners Technology M... |
88 |
New |
$0.00 |
$1,000 |
56 |
0% |
1,000 |
56 |
0.001 |
N/A |
|
|
SQNS |
Sequans Communications Spon... |
141 |
Closed |
$0.50 |
$0 |
0 |
0% |
-954,000 |
-248,238 |
0 |
Semiconductor - Integ... |
|
|
AAIC |
Arlington Asset Investment ... |
98 |
Closed |
$3.69 |
$0 |
0 |
0% |
-419,000 |
-72,090 |
0 |
Investment Brokerage ... |
|
|
PLM |
Polymet Mining Corp |
128 |
Closed |
$2.10 |
$0 |
0 |
0% |
-1,076,000 |
-380,905 |
0 |
Industrial Metals & M... |
|
|
TWNK |
Hostess Brands Inc |
118 |
Closed |
$33.30 |
$0 |
0 |
0% |
-67,000 |
-1,490 |
0 |
N/A |
|
|
KLR |
Kaleyra, Inc. |
147 |
Closed |
$7.24 |
$0 |
0 |
0% |
-908,000 |
-92,360 |
0 |
N/A |
|
|
HT |
Hersha Hospitality Trust |
104 |
Closed |
$9.99 |
$0 |
0 |
0% |
-896,000 |
-66,867 |
0 |
REIT - Hotel/Motel |
|
|
THRN |
Thorne Healthtech, Inc. |
134 |
Closed |
$10.19 |
$0 |
0 |
0% |
-1,105,000 |
-79,830 |
0 |
N/A |
|
|
IAC |
IAC/InterActiveCorp |
113 |
Closed |
$55.07 |
$0 |
0 |
0% |
-1,786,000 |
-26,100 |
0 |
Internet Software & S... |
|
|
HZNP |
Horizon Pharma, Inc. |
121 |
Closed |
$28.30 |
$0 |
0 |
0% |
-680,000 |
-4,330 |
0 |
Drug Manufacturers - ... |
|
|
ARCE |
Arco Platform Ltd |
110 |
Closed |
$13.98 |
$0 |
0 |
0% |
-581,000 |
-31,023 |
0 |
N/A |
|
|
TMKR |
Tastemaker Acquisition Ord ... |
117 |
New |
$0.00 |
$0 |
8 |
0% |
0 |
8 |
0 |
N/A |
|
|
SAVE |
Spirit Airlines, Inc. |
140 |
Closed |
$3.40 |
$0 |
0 |
0% |
-760,000 |
-33,930 |
0 |
Major Airlines |
|
|
BCOR |
Blucora Inc |
97 |
Closed |
$25.99 |
$0 |
0 |
0% |
-1,461,000 |
-42,064 |
0 |
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