0001706164-18-000004.txt : 20180717 0001706164-18-000004.hdr.sgml : 20180717 20180717162123 ACCESSION NUMBER: 0001706164-18-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180717 DATE AS OF CHANGE: 20180717 EFFECTIVENESS DATE: 20180717 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PenderFund Capital Management Ltd. CENTRAL INDEX KEY: 0001706164 IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18272 FILM NUMBER: 18956701 BUSINESS ADDRESS: STREET 1: SUITE 1640, 1066 W. HASTINGS STREET CITY: VANCOUVER STATE: A1 ZIP: V6E 3X1 BUSINESS PHONE: (604) 630-5447 MAIL ADDRESS: STREET 1: SUITE 1640, 1066 W. HASTINGS STREET CITY: VANCOUVER STATE: A1 ZIP: V6E 3X1 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001706164 XXXXXXXX 06-30-2018 06-30-2018 PenderFund Capital Management Ltd.
SUITE 1640, 1066 W. HASTINGS STREET VANCOUVER A1 V6E 3X1
13F HOLDINGS REPORT 028-18272 N
Gina Jones CFO 236-521-2988 Gina Jones, Vancouver, 17 July 2018 Vancouver A1 07-17-2018 0 63 285980 false
INFORMATION TABLE 2 PENDER13F2Q2018.xml AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 5999 284614 SH SOLE 284614 0 0 ALPHABET INC CAP STK CL C 02079K107 548 350 SH SOLE 350 0 0 AMYRIS INC NOTE 6.500% 5/1 03236MAC5 5478 5526000 PRN SOLE 5526000 0 0 AMYRIS INC NOTE 9.500% 4/1 03236MAF8 1502 1500000 PRN SOLE 1500000 0 0 AMYRIS INC NOTE 9.500% 4/1 03236MAG6 4005 4000000 PRN SOLE 4000000 0 0 ASURE SOFTWARE INC COM 04649U102 5804 275551 SH SOLE 275551 0 0 BAIDU INC SPON ADR REP A 056752108 17149 49034 SH SOLE 49034 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 441 1750 SH SOLE 1750 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 2312 175000 SH SOLE 175000 0 0 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 2335 175000 SH SOLE 175000 0 0 BRAEMAR HOTELS & RESORTS INC 5.5 CUM CV PFD B 10482B200 2542 134647 PRN SOLE 134647 0 0 BRANDYWINEGBL GLBAL INM OPRT COM COM 10537L104 2038 178948 SH SOLE 178948 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH COM NEW 112585104 1687 30694 SH SOLE 30694 0 0 COLFAX CORP COM COM 194014106 15635 393040 SH SOLE 393040 0 0 DHX MEDIA LTD COM VAR VTG ADDED COM 252406152 1261 517000 SH SOLE 517000 0 0 DISCOVERY INC COM SER C SUB VTG SHS 25470F302 6990 210600 SH SOLE 210600 0 0 EGAIN CORP COM 28225C806 2553 146713 SH SOLE 146713 0 0 ENERGY FUELS INC *W EXP 09/20/202 292671179 300 200000 SH SOLE 200000 0 0 ENERGY XXI GULF COAST INC COM 29276K101 7681 650399 SH SOLE 650399 0 0 EXFO INC SUB VTG SHS 302046107 2443 523100 SH SOLE 523100 0 0 FIREEYE INC NOTE 1.625% 6/0 31816QAD3 1837 2000000 PRN SOLE 2000000 0 0 GCI LIBERTY INC COM CLASS A 36164V305 456 7300 SH SOLE 7300 0 0 GLOBAL EAGLE ENTMT INC NOTE 2.750% 2/1 37951DAB8 4582 6250000 PRN SOLE 6250000 0 0 GOPRO INC NOTE 3.500% 4/1 ADDED 38268TAB9 139 150000 PRN SOLE 150000 0 0 HANESBRANDS INC COM 410345102 225 7700 SH SOLE 7700 0 0 INVESCO PA VALUE MUN INCOME COM 46132K109 2693 225000 SH SOLE 225000 0 0 KENNEDY-WILSON HLDGS INC COM 489398107 10672 372256 SH SOLE 372256 0 0 KEYW HLDG CORP NOTE 2.500% 7/1 493723AA8 1003 1000000 PRN SOLE 1000000 0 0 LEAF GROUP LTD COM 52177G102 6414 425000 SH SOLE 425000 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 14755 141000 SH SOLE 141000 0 0 MATTERSIGHT CORP COM 577097108 9803 2833126 SH SOLE 2833126 0 0 MODEL N INC COM 607525102 3622 139843 SH SOLE 139843 0 0 MSG NETWORK INC CL A COM 553573106 6 200 SH SOLE 200 0 0 NEWELL BRANDS INC COM 651229106 266 7300 SH SOLE 7300 0 0 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 2729 225000 SH SOLE 225000 0 0 NUVEEN NEW YORK QLT MUN INC COM 67066X107 2833 225000 SH SOLE 225000 0 0 OAKTREE CAP GROUP LLC UNIT CL A COM 674001201 428 7930 SH SOLE 7930 0 0 PIXELWORKS INC COM NEW 72581M305 3344 708624 SH SOLE 708624 0 0 PLATFORM SPECIALTY PRODS COR COM 72766Q105 17012 1061400 SH SOLE 1061400 0 0 POINTS INTL LTD COM NEW 730843208 3145 138260 SH SOLE 138260 0 0 POSCO SPONSORED ADR 693483109 4994 53600 SH SOLE 53600 0 0 QUANTUM CORP COM 747906501 1341 556049 SH SOLE 556049 0 0 QUARTERHILL INC COM 747713105 536 399700 SH SOLE 399700 0 0 SANDRIDGE ENERGY INC COM 80007P869 533 30049 SH SOLE 30049 0 0 SEACHANGE INTL INC COM 811699107 6252 1441722 SH SOLE 1441722 0 0 SIERRA WIRELESS INC COM 826516106 15899 709440 SH SOLE 709440 0 0 SILVER STD RES INC NOTE 2.875 2/0 82823LAC0 2485 2500000 PRN SOLE 2500000 0 0 STARBUCKS CORP COM 855244109 484 7200 SH SOLE 7200 0 0 STARWOOD PPTY TR INC COM 85571B105 374 12750 SH SOLE 12750 0 0 MODUSLINK GLOBAL SOLUTIONS I NOTE 5.250% 3/0 60786LAB3 6153 6220000 PRN SOLE 6220000 0 0 SUNPOWER CORP DBCV 4.000% 1/1 867652AL3 6676 7862000 PRN SOLE 7862000 0 0 SYNTEL INC COM 87162H103 11662 235564 SH SOLE 235564 0 0 TELUS CORP COM 87971M103 327 6770 SH SOLE 6770 0 0 TEMPLETON GLOBAL INCOME FD COM 880198106 307 50000 SH SOLE 50000 0 0 BANK N S HALIFAX COM 064149107 384 5040 SH SOLE 5040 0 0 HOWARD HUGHES CORP COM 44267D107 15916 85282 SH SOLE 85282 0 0 MIDDLEBY CORP COM 596278101 11801 89855 SH SOLE 89855 0 0 TRIPADVISOR INC COM 896945201 13560 172807 SH SOLE 172807 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 1940 2000000 PRN SOLE 2000000 0 0 UNILEVER PLC SPON ADR 904767704 254 3500 SH SOLE 3500 0 0 UPLAND SOFTWARE INC COM 91544A109 7537 163463 SH SOLE 163463 0 0 VISA INC COM CL A 92826C839 433 2360 SH SOLE 2360 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 1465 110406 SH SOLE 110406 0 0