0001706164-20-000002.txt : 20200427 0001706164-20-000002.hdr.sgml : 20200427 20200424185201 ACCESSION NUMBER: 0001706164-20-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200427 DATE AS OF CHANGE: 20200424 EFFECTIVENESS DATE: 20200427 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: 20816495 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 03-31-2020 03-31-2020 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 04-24-2020 0 57 320386 false INFORMATION TABLE 2 PENDER13F1Q2020.xml ABERDEEN ASIA-PACIFIC INCOME COM 003009107 2426 510000 SH SOLE 510000 0 0 ACCELERATE DIAGNOSTICS INC NOTE 2.500% 3/1 00430HAB8 7747 9860000 PRN SOLE 9860000 0 0 ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 1240 1000000 PRN SOLE 1000000 0 0 AVAYA HLDGS CORP NOTE 2.250% 6/1 05351XAB7 13326 11700000 PRN SOLE 11700000 0 0 BAIDU INC SPON ADR REP A 056752108 2186 15700 SH SOLE 15700 0 0 BLACKBERRY LTD COM 09228F103 5064 877080 SH SOLE 877080 0 0 BLACKROCK LTD DURATION INC T COM SHS 09249W101 5328 300000 SH SOLE 300000 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 5514 300000 SH SOLE 300000 0 0 BRAEMAR HOTELS & RESORTS INC 5.5 CUM CV PFD B 10482B200 794 101720 SH SOLE 101720 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 2206 35300 SH SOLE 35300 0 0 BROOKFIELD BUSINESS PARTNERS UNIT LTD LP G16234109 814 22880 SH SOLE 22880 0 0 BROOKFIELD PROPERTY PARTRS L UNIT LTD PARTN G16249107 5367 472475 SH SOLE 472475 0 0 CLOUDERA INC COM 18914U100 3233 291900 SH SOLE 291900 0 0 COLFAX CORP COM 194014106 853 30617 SH SOLE 30617 0 0 DESPEGAR COM CORP ORD SHS G27358103 304 38100 SH SOLE 38100 0 0 EBIX INC COM 278715206 6512 304936 SH SOLE 304936 0 0 EGAIN CORP COM 28225C806 12283 1190701 SH SOLE 1190701 0 0 ELEMENT SOLUTIONS INC COM 28618M106 4721 401233 SH SOLE 401233 0 0 ENBRIDGE INC COM 29250N105 1266 30885 SH SOLE 30885 0 0 ENERGY FUELS INC *W EXP 09/20/202 292671179 83 200000 SH SOLE 200000 0 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 669 50000 SH SOLE 50000 0 0 FIRSTSERVICE CORP COM 33767E202 109 1000 SH SOLE 1000 0 0 FLUOR CORP COM 343412102 1323 136100 SH SOLE 136100 0 0 HANESBRANDS INC COM 410345102 4294 387711 SH SOLE 387711 0 0 HOWARD HUGHES CORP COM 44267D107 7561 106347 SH SOLE 106347 0 0 INFINERA CORP NOTE 2.125% 9/0 45667GAC7 4915 4134000 PRN SOLE 4134000 0 0 INTELSAT S A NOTE 4.500% 6/1 45790VAB6 3710 11670000 PRN SOLE 11670000 0 0 INVESCO DYNAMIC CR OPPORTUNI COM 46132R104 2246 200000 SH SOLE 200000 0 0 INVESCO SR INCOME TR COM 46131H107 2719 600000 SH SOLE 600000 0 0 JD COM INC SPON ADR CL A 47215P106 9587 168205 SH SOLE 168205 0 0 KKR & CO INC CL A 48251W104 12354 374040 SH SOLE 374040 0 0 LEAF GROUP LTD COM 52177G102 2766 1466723 SH SOLE 1466723 0 0 LIBERTY LATIN AMERICA LTD COM CL A G9001E102 4897 330747 SH SOLE 330747 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 7797 518401 SH SOLE 518401 0 0 MICROSOFT CORP COM 594918104 2242 10100 SH SOLE 10100 0 0 NORTHROP GRUMMAN CORP COM 666807102 530 1200 SH SOLE 1200 0 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 6198 300000 SH SOLE 300000 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 5716 300000 SH SOLE 300000 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 5801 300000 SH SOLE 300000 0 0 PAR TECHNOLOGY CORP COM 698884103 2088 115400 SH SOLE 115400 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 23672 21060000 PRN SOLE 21060000 0 0 PIONEER FLOATING RATE TR COM 72369J102 1077 100000 SH SOLE 100000 0 0 SANDRIDGE ENERGY INC COM 80007P869 1172 926325 SH SOLE 926325 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 9747 158050 SH SOLE 158050 0 0 STARBUCKS CORP COM 855244109 258 2700 SH SOLE 2700 0 0 STARWOOD PPTY TR INC COM 85571B105 608 38450 SH SOLE 38450 0 0 SUNPOWER CORP DBCV 0.875% 6/0 867652AJ8 20302 14904000 PRN SOLE 14904000 0 0 SUNPOWER CORP DBCV 4.000% 1/1 867652AL3 18243 15106000 PRN SOLE 15106000 0 0 TEVA PHARMACEUTICAL FIN LLC DBCV 0.250% 2/0 88163VAE9 11097 8470000 PRN SOLE 8470000 0 0 TUTOR PERINI CORP NOTE 2.875% 6/1 901109AD0 8403 6400000 PRN SOLE 6400000 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 19004 14244000 PRN SOLE 14244000 0 0 TWITTER INC NOTE 0.250% 6/1 90184LAF9 11399 9000000 PRN SOLE 9000000 0 0 UPLAND SOFTWARE INC COM 91544A109 1343 35586 SH SOLE 35586 0 0 VOYA PRIME RATE TR SH BEN INT 92913A100 261 50000 SH SOLE 50000 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 4709 350000 SH SOLE 350000 0 0 ZILLOW GROUP INC NOTE 1.500% 7/0 98954MAC5 10642 8880000 PRN SOLE 8880000 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 9660 190574 SH SOLE 190574 0 0