0001706164-20-000001.txt : 20200205 0001706164-20-000001.hdr.sgml : 20200205 20200205143518 ACCESSION NUMBER: 0001706164-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200205 DATE AS OF CHANGE: 20200205 EFFECTIVENESS DATE: 20200205 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: 20578313 BUSINESS ADDRESS: STREET 1: SUITE 1830, 1066 W. HASTINGS STREET CITY: VANCOUVER STATE: A1 ZIP: V6E 3X2 BUSINESS PHONE: 6046881511 MAIL ADDRESS: STREET 1: SUITE 1830, 1066 W. HASTINGS STREET CITY: VANCOUVER STATE: A1 ZIP: V6E 3X2 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001706164 XXXXXXXX 12-31-2019 12-31-2019 PenderFund Capital Management Ltd.

SUITE 1830, 1066 W. HASTINGS STREET VANCOUVER A1 V6E 3X2

13F HOLDINGS REPORT 028-18272 N Gina Jones 236-521-2988 Gina Jones Vancouver A1 02-05-2020 0 56 356325 false INFORMATION TABLE 2 PENDER13F4Q2019.xml ABERDEEN ASIA PACIFIC INCOM COM 003009107 2262 410000 SH SOLE 410000 0 0 ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 1968 2000000 PRN SOLE 2000000 0 0 AVAYA HLDGS CORP NOTE 2.250% 6/1 05351XAB7 18189 15700000 PRN SOLE 15700000 0 0 BAIDU INC SPON ADR REP A 056752108 2576 15700 SH SOLE 15700 0 0 BLACKBERRY LTD COM 09228F103 7322 877080 SH SOLE 877080 0 0 BRAEMAR HOTELS & RESORTS INC 5.5 CUM CV PFD B 10482B200 1892 76720 SH SOLE 76720 0 0 BRANDYWINEGBL GLBAL INM OPRT COM 10537L104 2606 158948 SH SOLE 158948 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 2438 32500 SH SOLE 32500 0 0 BROOKFIELD BUSINESS PARTNERS UNIT LTD LP G16234109 1896 35280 SH SOLE 35280 0 0 BROOKFIELD BUSINESS PARTNERS UNIT LTD LP G16234109 1896 35280 SH SOLE 35280 0 0 BROOKFIELD PROPERTY PARTRS L UNIT LTD PARTN G16249107 10770 453875 SH SOLE 453875 0 0 CLOUDERA INC COM 18914U100 4407 291900 SH SOLE 291900 0 0 COLFAX CORP COM 194014106 1446 30617 SH SOLE 30617 0 0 COLONY CAP INC NEW CL A COM CL A COM 19626G108 5266 853974 SH SOLE 853974 0 0 DESPEGAR COM CORP ORD SHS G27358103 667 38100 SH SOLE 38100 0 0 EGAIN CORP COM 28225C806 11375 1106345 SH SOLE 1106345 0 0 ELEMENT SOLUTIONS INC COM 28618M106 6084 401233 SH SOLE 401233 0 0 ENBRIDGE INC COM 29250N105 1532 30885 SH SOLE 30885 0 0 ENERGY FUELS INC *W EXP 09/20/202 292671179 146 200000 SH SOLE 200000 0 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 1629 100000 SH SOLE 100000 0 0 GLOBAL EAGLE ENTMT INC NOTE 2.750% 2/1 37951DAB8 3065 5750000 PRN SOLE 5750000 0 0 GOPRO INC NOTE 3.500% 4/1 38268TAB9 1269 1000000 PRN SOLE 1000000 0 0 HANESBRANDS INC COM 410345102 6736 349411 SH SOLE 349411 0 0 HOWARD HUGHES CORP COM 44267D107 18592 112942 SH SOLE 112942 0 0 INFINERA CORPORATION NOTE 2.125% 9/0 45667GAC7 9806 7134000 PRN SOLE 7134000 0 0 INVESCO SR INCOME TR COM 46131H107 1671 300000 SH SOLE 300000 0 0 JD COM INC SPON ADR CL A 47215P106 12934 282805 SH SOLE 282805 0 0 KKR & CO INC CL A 48251W104 18269 482440 SH SOLE 482440 0 0 LEAF GROUP LTD COM 52177G102 6440 1240227 SH SOLE 1240227 0 0 LIBERTY LATIN AMERICA LTD COM CL A G9001E102 8287 330747 SH SOLE 330747 0 0 LILIS ENERGY INC COM 532403201 1394 2825000 SH SOLE 2825000 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 15494 761001 SH SOLE 761001 0 0 MIDDLEBY CORP COM 596278101 10663 75000 SH SOLE 75000 0 0 PAR TECHNOLOGY CORP COM 698884103 4493 112600 SH SOLE 112600 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 14659 15560000 PRN SOLE 15560000 0 0 PIONEER FLOATING RATE TR COM 72369J102 1424 100000 SH SOLE 100000 0 0 POINTS INTL LTD COM 730843208 3882 195857 SH SOLE 195857 0 0 QUMU CORP COM 749063103 1694 500000 SH SOLE 500000 0 0 SANDRIDGE ENERGY INC COM 80007P869 5099 926325 SH SOLE 926325 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 19118 239850 SH SOLE 239850 0 0 STARBUCKS CORP COM 855244109 308 2700 SH SOLE 2700 0 0 STARWOOD PPTY TR INC COM 85571B105 318 9850 SH SOLE 9850 0 0 SUNPOWER CORP DBCV 0.875% 6/0 867652AJ8 18780 15404000 PRN SOLE 15404000 0 0 SUNPOWER CORP DBCV 4.000% 1/1 867652AL3 15065 13867000 PRN SOLE 13867000 0 0 SYNALLOY CP DEL COM 871565107 3066 182917 SH SOLE 182917 0 0 TASEKO MINES LTD COM 876511106 388 615959 SH SOLE 615959 0 0 TUTOR PERINI CORP NOTE 2.875% 6/1 901109AD0 11705 9500000 PRN SOLE 9500000 0 0 TUTOR PERINI CORP COM 901109108 341 20400 SH SOLE 20400 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 13296 10500000 PRN SOLE 10500000 0 0 UPLAND SOFTWARE INC COM 91544A109 1650 35586 SH SOLE 35586 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 1119 60406 SH SOLE 60406 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 2247 150000 SH SOLE 150000 0 0 WYNN RESORTS LTD COM 983134107 8004 44400 SH SOLE 44400 0 0 YATRA ONLINE INC ORD SHS G98338109 221 54112 SH SOLE 54112 0 0 ZILLOW GROUP INC NOTE 1.500% 7/0 98954MAC5 11673 9380000 SH SOLE 9380000 0 0 ZILLOW INC C STK 98954M200 16788 281500 PRN SOLE 281500 0 0