Form 13F-HR Penbrook Management LLC For: Sep 30
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The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
09-30-2021 |
| Check here if Amendment |
|
Amendment Number: |
|
| This Amendment (Check only one.): |
|
is a restatement. |
|
|
adds new holdings entries. |
| Institutional Investment Manager Filing
this Report: |
| Name: |
Penbrook Management LLC |
| Address: |
880 THIRD AVENUE |
|
16TH FLOOR |
|
|
|
NEW YORK
,
NY10022
|
| Form 13F File Number: |
028-12868 |
The institutional investment manager filing this report and
the person by whom it is signed hereby represent that the person
signing the report is authorized to submit it, that all information
contained herein is true, correct and complete, and that it is
understood that all required items, statements, schedules, lists, and
tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of
Reporting Manager: |
| Name: |
Barbara DiCostanzo |
| Title: |
Chief Compliance Officer |
| Phone: |
212-792-6965 |
| Signature, Place, and Date of Signing: |
| Barbara DiCostanzo |
New York
,
NY
|
10-26-2021 |
| [Signature] |
[City, State] |
[Date] |
|
| Report Type (Check only one.): |
| X |
13F HOLDINGS REPORT. (Check here if all holdings of
this reporting manager are reported in this report.) |
|
|
13F NOTICE. (Check here if no holdings reported are in
this report, and all holdings are reported by other reporting
manager(s).) |
|
|
13F COMBINATION REPORT. (Check here if a portion of
the holdings for this reporting manager are reported in this
report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included
Managers: |
0 |
|
|
|
Form 13F Information Table Entry Total: |
103 |
|
Form 13F Information Table Value Total: |
160,918 |
|
(thousands) |
|
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
|
|
|
Form 13F File Number |
Name |
| List of Other Included
Managers: |
|
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this
report is filed, other than the
manager filing this report.
|
|
[If there are no entries in this list, state “NONE” and omit the
column headings and list entries.]
|
|
No. |
Form 13F File Number |
Name |
The Securities and Exchange Commission has not necessarily
reviewed the information in this filing and has not determined
if it is accurate and complete.
The reader should not assume that the information is
accurate and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average
burden |
| hours per response:
|
23.8 |
|
|
| COLUMN 1 |
COLUMN 2 |
COLUMN 3 |
COLUMN 4 |
COLUMN 5 |
COLUMN 6 |
COLUMN 7 |
COLUMN 8 |
|
|
|
VALUE |
SHRS OR |
SH/ |
PUT/ |
INVESTMENT |
OTHER |
VOTING AUTHORITY |
| NAME OF ISSUER |
TITLE OF CLASS |
CUSIP |
(x$1000) |
PRN AMT |
PRN |
CALL |
DISCRETION |
MANAGER |
SOLE |
SHARED |
NONE |
| 2U INC COM |
Stock |
90214J101 |
956 |
28,470 |
SH |
|
SOLE |
|
0 |
0 |
28,470 |
| ABBVIE INC COM |
Stock |
00287Y109 |
783 |
7,262 |
SH |
|
SOLE |
|
0 |
0 |
7,262 |
| AFLAC INC COM |
Stock |
001055102 |
242 |
4,650 |
SH |
|
SOLE |
|
0 |
0 |
4,650 |
| AKERNA CORP COM |
Stock |
00973W102 |
30 |
10,700 |
SH |
|
SOLE |
|
0 |
0 |
10,700 |
| ALPHABET INC CAP STK CL A |
Stock |
02079K305 |
4,131 |
1,545 |
SH |
|
SOLE |
|
0 |
0 |
1,545 |
| ALPHABET INC CAP STK CL C |
Stock |
02079K107 |
4,161 |
1,561 |
SH |
|
SOLE |
|
0 |
0 |
1,561 |
| AMAZON COM INC COM |
Stock |
023135106 |
8,870 |
2,700 |
SH |
|
SOLE |
|
0 |
0 |
2,700 |
| ANTERO MIDSTREAM CORP COM |
Stock |
03676B102 |
104 |
10,000 |
SH |
|
SOLE |
|
0 |
0 |
10,000 |
| APPLE INC COM |
Stock |
037833100 |
2,029 |
14,336 |
SH |
|
SOLE |
|
0 |
0 |
14,336 |
| ARES CAPITAL CORP COM |
CEF |
04010L103 |
263 |
12,940 |
SH |
|
SOLE |
|
0 |
0 |
12,940 |
| ASPEN GROUP INC COM NEW |
Stock |
04530L203 |
1,614 |
289,800 |
SH |
|
SOLE |
|
0 |
0 |
289,800 |
| ATLAS TECHNICAL CONSULTANTS IN COM CLS A |
Stock |
049430101 |
1,214 |
119,395 |
SH |
|
SOLE |
|
0 |
0 |
119,395 |
| AUTOMATIC DATA PROCESSING INC COM |
Stock |
053015103 |
1,499 |
7,500 |
SH |
|
SOLE |
|
0 |
0 |
7,500 |
| AXCELIS TECHNOLOGIES INC COM NEW |
Stock |
054540208 |
3,001 |
63,800 |
SH |
|
SOLE |
|
0 |
0 |
63,800 |
| BARNES & NOBLE ED INC COM |
Stock |
06777U101 |
2,692 |
269,455 |
SH |
|
SOLE |
|
0 |
0 |
269,455 |
| BARRETT BUSINESS SVCS INC COM |
Stock |
068463108 |
465 |
6,100 |
SH |
|
SOLE |
|
0 |
0 |
6,100 |
| BECTON DICKINSON & CO COM |
Stock |
075887109 |
574 |
2,336 |
SH |
|
SOLE |
|
0 |
0 |
2,336 |
| BERKSHIRE HATHAWAY INC DEL CL B NEW |
Stock |
084670702 |
921 |
3,375 |
SH |
|
SOLE |
|
0 |
0 |
3,375 |
| BIOLIFE SOLUTIONS INC COM NEW |
Stock |
09062W204 |
2,061 |
48,695 |
SH |
|
SOLE |
|
0 |
0 |
48,695 |
| BLACK KNIGHT INC COM |
Stock |
09215C105 |
728 |
10,118 |
SH |
|
SOLE |
|
0 |
0 |
10,118 |
| BLACKROCK MUNIHOLDINGS FD INC COM |
CEF |
09253N104 |
2,020 |
13,461 |
SH |
|
SOLE |
|
0 |
0 |
13,461 |
| BLACKSTONE INC COM |
Stock |
09260D107 |
2,883 |
24,780 |
SH |
|
SOLE |
|
0 |
0 |
24,780 |
| BROOKS AUTOMATION INC NEW COM |
Stock |
114340102 |
4,228 |
41,310 |
SH |
|
SOLE |
|
0 |
0 |
41,310 |
| BUILDERS FIRSTSOURCE INC COM |
Stock |
12008R107 |
767 |
14,822 |
SH |
|
SOLE |
|
0 |
0 |
14,822 |
| CHEGG INC COM |
Stock |
163092109 |
1,661 |
24,415 |
SH |
|
SOLE |
|
0 |
0 |
24,415 |
| CHEMBIO DIAGNOSTICS INC COM NEW |
Stock |
163572209 |
887 |
354,670 |
SH |
|
SOLE |
|
0 |
0 |
354,670 |
| CISCO SYS INC COM |
Stock |
17275R102 |
1,361 |
25,000 |
SH |
|
SOLE |
|
0 |
0 |
25,000 |
| CNX RES CORP COM |
Stock |
12653C108 |
457 |
36,200 |
SH |
|
SOLE |
|
0 |
0 |
36,200 |
| COHU INC COM |
Stock |
192576106 |
543 |
17,000 |
SH |
|
SOLE |
|
0 |
0 |
17,000 |
| CONOCOPHILLIPS COM |
Stock |
20825C104 |
279 |
4,120 |
SH |
|
SOLE |
|
0 |
0 |
4,120 |
| CRESCENT PT ENERGY CORP COM |
Stock |
22576C101 |
1,523 |
330,250 |
SH |
|
SOLE |
|
0 |
0 |
330,250 |
| CRESTWOOD EQUITY PARTNERS LP UNIT LTD PARTNER |
Stock |
226344208 |
1,203 |
42,375 |
SH |
|
SOLE |
|
0 |
0 |
42,375 |
| CRYOPORT INC COM PAR $0.001 |
Stock |
229050307 |
2,387 |
35,895 |
SH |
|
SOLE |
|
0 |
0 |
35,895 |
| CVS HEALTH CORP COM |
Stock |
126650100 |
1,073 |
12,640 |
SH |
|
SOLE |
|
0 |
0 |
12,640 |
| CYBEROPTICS CORP COM |
Stock |
232517102 |
2,023 |
56,850 |
SH |
|
SOLE |
|
0 |
0 |
56,850 |
| DATA I O CORP COM |
Stock |
237690102 |
2,279 |
348,950 |
SH |
|
SOLE |
|
0 |
0 |
348,950 |
| DESIGNER BRANDS INC CL A |
Stock |
250565108 |
295 |
21,205 |
SH |
|
SOLE |
|
0 |
0 |
21,205 |
| DESKTOP METAL INC COM CL A |
Stock |
25058X105 |
421 |
58,750 |
SH |
|
SOLE |
|
0 |
0 |
58,750 |
| DISNEY WALT CO COM |
Stock |
254687106 |
313 |
1,850 |
SH |
|
SOLE |
|
0 |
0 |
1,850 |
| EASTSIDE DISTILLING INC COM |
Stock |
277802302 |
427 |
165,430 |
SH |
|
SOLE |
|
0 |
0 |
165,430 |
| EATON VANCE TAX ADVT DIV INCM COM |
CEF |
27828G107 |
556 |
20,239 |
SH |
|
SOLE |
|
0 |
0 |
20,239 |
| EMERSON ELEC CO COM |
Stock |
291011104 |
546 |
5,800 |
SH |
|
SOLE |
|
0 |
0 |
5,800 |
| ENERGY TRANSFER L P COM UT LTD PTN |
Stock |
29273V100 |
198 |
20,618 |
SH |
|
SOLE |
|
0 |
0 |
20,618 |
| EXAGEN INC COM |
Stock |
30068X103 |
1,193 |
87,750 |
SH |
|
SOLE |
|
0 |
0 |
87,750 |
| FACEBOOK INC CL A |
Stock |
30303M102 |
815 |
2,400 |
SH |
|
SOLE |
|
0 |
0 |
2,400 |
| FIDELITY NATIONAL FINANCIAL IN FNF GROUP COM |
Stock |
31620R303 |
2,030 |
44,779 |
SH |
|
SOLE |
|
0 |
0 |
44,779 |
| FIRST AMERN FINL CORP COM |
Stock |
31847R102 |
707 |
10,550 |
SH |
|
SOLE |
|
0 |
0 |
10,550 |
| FIRST BANCORP P R COM NEW |
Stock |
318672706 |
1,068 |
81,200 |
SH |
|
SOLE |
|
0 |
0 |
81,200 |
| FISERV INC COM |
Stock |
337738108 |
791 |
7,291 |
SH |
|
SOLE |
|
0 |
0 |
7,291 |
| FORD MTR CO DEL COM |
Stock |
345370860 |
430 |
30,375 |
SH |
|
SOLE |
|
0 |
0 |
30,375 |
| GLOBAL PARTNERS LP COM UNITS |
Stock |
37946R109 |
480 |
22,680 |
SH |
|
SOLE |
|
0 |
0 |
22,680 |
| GRAFTECH INTL LTD COM |
Stock |
384313508 |
1,331 |
129,000 |
SH |
|
SOLE |
|
0 |
0 |
129,000 |
| HARVARD BIOSCIENCE INC COM |
Stock |
416906105 |
349 |
50,000 |
SH |
|
SOLE |
|
0 |
0 |
50,000 |
| HESS MIDSTREAM LP CL A SHS |
Stock |
428103105 |
913 |
32,380 |
SH |
|
SOLE |
|
0 |
0 |
32,380 |
| IDENTIV INC COM NEW |
Stock |
45170X205 |
2,567 |
136,272 |
SH |
|
SOLE |
|
0 |
0 |
136,272 |
| IMMERSION CORP COM |
Stock |
452521107 |
961 |
140,470 |
SH |
|
SOLE |
|
0 |
0 |
140,470 |
| INTELLICHECK INC COM NEW |
Stock |
45817G201 |
2,125 |
259,430 |
SH |
|
SOLE |
|
0 |
0 |
259,430 |
| INTEVAC INC COM |
Stock |
461148108 |
884 |
184,900 |
SH |
|
SOLE |
|
0 |
0 |
184,900 |
| INTRUSION INC COM NEW |
Stock |
46121E205 |
314 |
77,330 |
SH |
|
SOLE |
|
0 |
0 |
77,330 |
| INVESCO MUN TR COM |
CEF |
46131J103 |
402 |
30,000 |
SH |
|
SOLE |
|
0 |
0 |
30,000 |
| INVESCO QQQ TRUST |
ETF |
46090E103 |
1,419 |
3,965 |
SH |
|
SOLE |
|
0 |
0 |
3,965 |
| INVESCO S&P 500 EQUAL WEIGHT ETF |
ETF |
46137V357 |
923 |
6,160 |
SH |
|
SOLE |
|
0 |
0 |
6,160 |
| ISHARES BIOTECHNOLOGY FUND |
ETF |
464287556 |
737 |
4,560 |
SH |
|
SOLE |
|
0 |
0 |
4,560 |
| KOPIN CORP COM |
Stock |
500600101 |
1,645 |
322,700 |
SH |
|
SOLE |
|
0 |
0 |
322,700 |
| LANDMARK INFRASTRCTUR PARTR LP COM UNIT LTD |
Stock |
51508J108 |
569 |
34,830 |
SH |
|
SOLE |
|
0 |
0 |
34,830 |
| MAVERIX METALS INC COM NEW |
Stock |
57776F405 |
201 |
45,000 |
SH |
|
SOLE |
|
0 |
0 |
45,000 |
| MESOBLAST LTD SPONS ADR |
ADR |
590717104 |
1,481 |
246,450 |
SH |
|
SOLE |
|
0 |
0 |
246,450 |
| MFS INTER INCOME TR SH BEN INT |
CEF |
55273C107 |
424 |
117,029 |
SH |
|
SOLE |
|
0 |
0 |
117,029 |
| MICROSOFT CORP COM |
Stock |
594918104 |
10,653 |
37,786 |
SH |
|
SOLE |
|
0 |
0 |
37,786 |
| MOODYS CORP COM |
Stock |
615369105 |
5,398 |
15,200 |
SH |
|
SOLE |
|
0 |
0 |
15,200 |
| NAVIGATOR HLDGS LTD SHS |
Stock |
Y62132108 |
985 |
110,650 |
SH |
|
SOLE |
|
0 |
0 |
110,650 |
| NOVARTIS AG SPONSORED ADR |
ADR |
66987V109 |
528 |
6,460 |
SH |
|
SOLE |
|
0 |
0 |
6,460 |
| NOVO-NORDISK A S ADR |
ADR |
670100205 |
16,480 |
171,650 |
SH |
|
SOLE |
|
0 |
0 |
171,650 |
| NUANCE COMMUNICATIONS INC COM |
Stock |
67020Y100 |
1,787 |
32,470 |
SH |
|
SOLE |
|
0 |
0 |
32,470 |
| NUVEEN MUN VALUE FD INC COM |
CEF |
670928100 |
300 |
26,500 |
SH |
|
SOLE |
|
0 |
0 |
26,500 |
| NUVEEN N Y MUN VALUE FD COM |
CEF |
67062M105 |
2,142 |
213,727 |
SH |
|
SOLE |
|
0 |
0 |
213,727 |
| NUVVE HOLDING CORP COM |
Stock |
67079Y100 |
2,222 |
205,785 |
SH |
|
SOLE |
|
0 |
0 |
205,785 |
| ONCOCYTE CORP COM |
Stock |
68235C107 |
2,055 |
577,200 |
SH |
|
SOLE |
|
0 |
0 |
577,200 |
| ONEOK INC NEW COM |
Stock |
682680103 |
837 |
14,435 |
SH |
|
SOLE |
|
0 |
0 |
14,435 |
| OPTIMIZERX CORP COM NEW |
Stock |
68401U204 |
613 |
7,166 |
SH |
|
SOLE |
|
0 |
0 |
7,166 |
| ORION ENERGY SYS INC COM |
Stock |
686275108 |
1,645 |
422,872 |
SH |
|
SOLE |
|
0 |
0 |
422,872 |
| PCTEL INC COM |
Stock |
69325Q105 |
401 |
64,500 |
SH |
|
SOLE |
|
0 |
0 |
64,500 |
| PHOTRONICS INC COM |
Stock |
719405102 |
1,920 |
140,850 |
SH |
|
SOLE |
|
0 |
0 |
140,850 |
| POPULAR INC COM NEW |
Stock |
733174700 |
1,676 |
21,575 |
SH |
|
SOLE |
|
0 |
0 |
21,575 |
| POWER INTEGRATIONS INC COM |
Stock |
739276103 |
1,386 |
14,000 |
SH |
|
SOLE |
|
0 |
0 |
14,000 |
| PRETIUM RES INC COM |
Stock |
74139C102 |
492 |
51,000 |
SH |
|
SOLE |
|
0 |
0 |
51,000 |
| PUTNAM MASTER INTER INCOME TR SH BEN INT |
CEF |
746909100 |
802 |
197,152 |
SH |
|
SOLE |
|
0 |
0 |
197,152 |
| REGENERON PHARMACEUTICALS COM |
Stock |
75886F107 |
770 |
1,272 |
SH |
|
SOLE |
|
0 |
0 |
1,272 |
| ROYAL DUTCH SHELL PLC SPONS ADR A |
ADR |
780259206 |
584 |
13,100 |
SH |
|
SOLE |
|
0 |
0 |
13,100 |
| SEABRIDGE GOLD INC COM |
Stock |
811916105 |
1,370 |
88,660 |
SH |
|
SOLE |
|
0 |
0 |
88,660 |
| SINCLAIR BROADCAST GROUP INC CL A |
Stock |
829226109 |
387 |
12,200 |
SH |
|
SOLE |
|
0 |
0 |
12,200 |
| SONY GROUP CORPORATION SPONSORED ADR |
ADR |
835699307 |
2,289 |
20,700 |
SH |
|
SOLE |
|
0 |
0 |
20,700 |
| SPDR S&P 500 ETF |
ETF |
78462F103 |
1,614 |
3,762 |
SH |
|
SOLE |
|
0 |
0 |
3,762 |
| SYNCHRONY FINANCIAL COM |
Stock |
87165B103 |
1,508 |
30,850 |
SH |
|
SOLE |
|
0 |
0 |
30,850 |
| TARGA RES CORP COM |
Stock |
87612G101 |
1,280 |
26,025 |
SH |
|
SOLE |
|
0 |
0 |
26,025 |
| THE ONE GROUP HOSPITALITY INC COM |
Stock |
88338K103 |
889 |
83,205 |
SH |
|
SOLE |
|
0 |
0 |
83,205 |
| THOMSON REUTERS CORP. COM NEW |
Stock |
884903709 |
3,551 |
32,146 |
SH |
|
SOLE |
|
0 |
0 |
32,146 |
| USA COMPRESSION PARTNERS LP COMUNIT LTDPAR |
Stock |
90290N109 |
1,694 |
102,225 |
SH |
|
SOLE |
|
0 |
0 |
102,225 |
| VERIZON COMMUNICATIONS INC COM |
Stock |
92343V104 |
1,510 |
27,949 |
SH |
|
SOLE |
|
0 |
0 |
27,949 |
| VERMILION ENERGY INC COM |
Stock |
923725105 |
717 |
72,550 |
SH |
|
SOLE |
|
0 |
0 |
72,550 |
| WILEY JOHN & SONS INC CL A |
Stock |
968223206 |
318 |
6,100 |
SH |
|
SOLE |
|
0 |
0 |
6,100 |
| WILLIAMS COS INC COM |
Stock |
969457100 |
688 |
26,530 |
SH |
|
SOLE |
|
0 |
0 |
26,530 |
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