0001706164-18-000005.txt : 20181017
0001706164-18-000005.hdr.sgml : 20181017
20181017154601
ACCESSION NUMBER: 0001706164-18-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180930
FILED AS OF DATE: 20181017
DATE AS OF CHANGE: 20181017
EFFECTIVENESS DATE: 20181017
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: 181126408
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
09-30-2018
09-30-2018
PenderFund Capital Management Ltd.
SUITE 1640, 1066 W. HASTINGS STREET
VANCOUVER
A1
V6E 3X1
13F HOLDINGS REPORT
028-18272
N
Gina Jones
CFO
236-521-2989
Gina Jones
Vancouver
A1
10-17-2018
0
69
238212
false
INFORMATION TABLE
2
PENDER13F3Q2018.xml
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
828
200000
SH
SOLE
200000
0
0
ACETO CORP
NOTE 2.000%11/0
004446AD2
3413
4478000
PRN
SOLE
4478000
0
0
ALPHABET INC
CAP STK CL C
02079K107
507
350
SH
SOLE
350
0
0
AMERICAN INTL GROUP INC
W EXP 01/19/202
026874156
5175
284614
SH
SOLE
284614
0
0
AMYRIS INC
NOTE 6.500% 5/1
03236MAC5
7526
7526000
PRN
SOLE
7526000
0
0
AMYRIS INC
NOTE 9.500% 4/1
03236MAF8
2500
2500000
PRN
SOLE
2500000
0
0
AMYRIS INC
NOTE 9.500% 4/1
03236MAG6
4000
4000000
PRN
SOLE
4000000
0
0
ASURE SOFTWARE INC
COM
04649U102
7798
558751
SH
SOLE
558751
0
0
BAIDU INC SPON ADR REP A
SPON ADR REP A
056752108
18713
74134
SH
SOLE
74134
0
0
BANK N S HALIFAX
COM
064149107
375
5040
SH
SOLE
5040
0
0
BERKSHIRE HATHAWAY INC
DEL CL B
084670702
259
900
SH
SOLE
900
0
0
BRANDYWINEGBL GLBAL INM OPRT
COM
10537L104
1729
158948
SH
SOLE
158948
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
1394
25194
SH
SOLE
25194
0
0
COLFAX CORP
COM
194014106
16323
372160
SH
SOLE
372160
0
0
DATA I O CORP
COM
237690102
3
500
SH
SOLE
500
0
0
DHX MEDIA LTD COM VAR VTG
COM VAR VTG
252406152
2270
1070600
SH
SOLE
1070600
0
0
EGAIN CORP
COM
28225C806
3949
421143
SH
SOLE
421143
0
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
2289
175000
SH
SOLE
175000
0
0
BLACKROCK MUNIYIELD CALI QLT
COM
09254N103
2242
175000
SH
SOLE
175000
0
0
BRAEMAR HOTELS & RESORTS INC
5.5 CUM CV PFD B
10482B200
2552
134647
SH
SOLE
134647
0
0
ENERGY FUELS INC
W EXP 09/20/202
292671179
450
200000
SH
SOLE
200000
0
0
GCI LIBERTY INC COM CLASS A
COM CLASS A
36164V305
464
7300
SH
SOLE
7300
0
0
GLOBAL EAGLE ENTMT INC
NORE 2.750% 2/1
37951DAB8
4398
5750000
PRN
SOLE
5750000
0
0
HANESBRANDS INC
COM
410345102
7455
336246
SH
SOLE
336246
0
0
HOWARD HUGHES CORP
COM
44267D107
18526
120882
SH
SOLE
120882
0
0
INVESCO PA VALUE MUN INCOME
COM
46132K109
1547
130081
SH
SOLE
130081
0
0
JD COM INC SPON ADR CL A
SPON ADR CL A
47215P106
14609
488400
SH
SOLE
488400
0
0
FIREEYE INC
NOTE 1.625% 6/0
31816QAD3
1840
2000000
PRN
SOLE
2000000
0
0
KKR & CO INC
CL A ADDED
48251W104
5210
159424
SH
SOLE
159424
0
0
KENNEDY-WILSON HLDGS INC
COM
489398107
9513
372256
SH
SOLE
372256
0
0
GOPRO INC
NOTE 3.500% 4/1
38268TAB9
144
150000
PRN
SOLE
150000
0
0
LEAF GROUP LTD
COM
52177G102
5426
425000
SH
SOLE
425000
0
0
LIBERTY BROADBAND CORP COM SER C
COM SER C
530307305
14965
141000
SH
SOLE
141000
0
0
MAXAR TECHNOLOGIES LTD
COM
57778L103
2361
59693
SH
SOLE
59693
0
0
MIDDLEBY CORP
COM
596278101
14191
91436
SH
SOLE
91436
0
0
KEYW HLDG CORP
NOTE 2.500% 7/1
493723AA8
1000
1000000
PRN
SOLE
1000000
0
0
MODEL N INC
COM
607525102
4948
250821
SH
SOLE
250821
0
0
NEWELL BRANDS INC
COM
651229106
175
7300
SH
SOLE
7300
0
0
NUVEEN MARYLAND QLT MUN INC
COM
67061Q107
3298
280000
SH
SOLE
280000
0
0
NUVEEN PENNSYLVANIA QLT MUN
COM
670972108
1245
100000
SH
SOLE
100000
0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
269
5130
SH
SOLE
5130
0
0
PHI INC COM NON VTG
COM NON VTG
69336T205
1084
87880
SH
SOLE
87880
0
0
POSCO
SPON ADR
693483109
4082
53600
SH
SOLE
53600
0
0
MODUSLINK GLOBAL SOLUTIONS I
NOTE 5.250% 3/0
60786LAB3
6153
6220000
PRN
SOLE
6220000
0
0
PIXELWORKS INC
COM
72581M305
3955
708164
SH
SOLE
708164
0
0
PLATFORM SPECIALTY PRODS COR
COM
72766Q105
15204
1043300
SH
SOLE
1043300
0
0
NUVEEN NEW YORK QLT MUN INC
COM
67066X107
2770
225000
SH
SOLE
225000
0
0
POINTS INTL LTD
COM
730843208
2321
138260
SH
SOLE
138260
0
0
QUANTUM CORP
COM
747906501
1889
584183
SH
SOLE
584183
0
0
SANDRIDGE ENERGY INC
COM
80007P869
217
20000
SH
SOLE
20000
0
0
SEACHANGE INTL INC
COM
811699107
3732
1710532
SH
SOLE
1710532
0
0
SIERRA WIRELESS INC
COM
826516106
13183
557640
SH
SOLE
557640
0
0
STARBUCKS CORP
COM
855244109
534
7200
SH
SOLE
7200
0
0
STARWOOD PPTY TR INC
COM
85571B105
354
12750
SH
SOLE
12750
0
0
SUNPOWER CORP
DBCV 0.875% 6/0
867652AJ8
425
518000
PRN
SOLE
518000
0
0
SUNPOWER CORP
DBCV 4.000% 1/1
867652AL3
10721
12737000
PRN
SOLE
12737000
0
0
TELUS CORP
COM
87971M103
304
6770
SH
SOLE
6770
0
0
SILVER STD RES INC
NOTE 2.875% 2/0
82823LAC0
2469
2500000
PRN
SOLE
2500000
0
0
TRIPADVISOR INC
COM
896945201
9646
166707
SH
SOLE
166707
0
0
TWITTER INC
NOTE 1.000% 9/1
90184LAD4
5539
6000000
PRN
SOLE
6000000
0
0
UNILEVER PLC
SPON ADR
904767704
243
3500
SH
SOLE
3500
0
0
UPLAND SOFTWARE INC
COM
91544A109
6496
148634
SH
SOLE
148634
0
0
VISA INC COM CL A
COM CL A
92826C839
263
1460
SH
SOLE
1460
0
0
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
1213
90406
SH
SOLE
90406
0
0
BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN
COM
G16249107
9481
359800
SH
SOLE
359800
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
1257
38300
SH
SOLE
38300
0
0
LIBERTY LATIN AMERICA LTD COM CL A
COM CL A
G9001E102
18302
660348
SH
SOLE
660348
0
0
YATRA ONLINE INC
ORD SHS
G98338109
441
62700
SH
SOLE
62700
0
0
NAVIOS MARITIME HOLDINGS INC
COM
Y62196103
3900
5719268
SH
SOLE
5719268
0
0