0001706164-21-000003.txt : 20210212 0001706164-21-000003.hdr.sgml : 20210212 20210212164909 ACCESSION NUMBER: 0001706164-21-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 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: 21628778 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 12-31-2020 12-31-2020 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 02-12-2021 0 81 393371 false INFORMATION TABLE 2 PENDER13F4Q2020.xml ABERDEEN ASIA-PACIFIC INCOME COM 003009107 3455 610000 SH SOLE 610000 0 0 ACCELERATE DIAGNOSTICS INC NOTE 2.500% 3/1 00430HAB8 7880 10560000 PRN SOLE 10560000 0 0 ALASKA COMMUNICATIONS SYS GR COM 01167P101 1568 333802 SH SOLE 333802 0 0 AVAYA HLDGS CORP NOTE 2.250% 6/1 05351XAB7 4935 3700000 PRN SOLE 3700000 0 0 AVIAT NETWORKS INC COM 05366Y201 6612 152113 SH SOLE 152113 0 0 BAIDU INC SPON ADR REP A 056752108 15483 56250 SH SOLE 56250 0 0 BAUSCH HEALTH COS INC COM 071734107 8402 318125 SH SOLE 318125 0 0 BLACKROCK LTD DURATION INC T COM SHS 09249W101 3040 150000 SH SOLE 150000 0 0 BRANDYWINEGBL GBL INCM OPP F COM 10537L104 1590 100000 SH SOLE 100000 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 2786 52950 SH SOLE 52950 0 0 BROOKFIELD PROPERTY PARTRS L UNIT LTD PARTN G16249107 1525 82809 SH SOLE 82809 0 0 BURFORD CAP LTD ORD SHS G17977110 15946 1295463 SH SOLE 1295463 0 0 CLOUDERA INC COM 18914U100 6525 368500 SH SOLE 368500 0 0 COLFAX CORP COM 194014106 697 14312 SH SOLE 14312 0 0 COLLIERS INTL GROUP INC SUB VTG SHS 194693107 238 2100 SH SOLE 2100 0 0 EBIX INC COM 278715206 15180 314083 SH SOLE 314083 0 0 EGAIN CORP COM 28225C806 4095 272401 SH SOLE 272401 0 0 ENERGY FUELS INC *W EXP 09/20/202 292671179 524 200000 SH SOLE 200000 0 0 FIREEYE INC NOTE 0.875% 6/0 31816QAF8 13984 9000000 PRN SOLE 9000000 0 0 FIRST MAJESTIC SILVER CORP NOTE 1.875% 3/0 32076VAB9 18310 9500000 PRN SOLE 9500000 0 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 740 50000 SH SOLE 50000 0 0 FIRSTSERVICE CORP COM 33767E202 209 1200 SH SOLE 1200 0 0 FLUOR CORP COM 343412102 4303 211700 SH SOLE 211700 0 0 FOLEY TRASIMENE ACQUISTN COR *W EXP 05/26/202 34431F112 187 58032 SH SOLE 58032 0 0 FOLEY TRASIMENE ACQUISTN COR COM CL A 34431F104 2478 174100 SH SOLE 174100 0 0 FTS INTERNATIONAL INC COM NEW CL A 30283W302 4933 201856 SH SOLE 201856 0 0 GOGO INC COM 38046C109 4 300 SH SOLE 300 0 0 GRANITE CONSTR INC NOTE 2.750%11/0 387328AB3 14303 10300000 PRN SOLE 10300000 0 0 HANESBRANDS INC COM 410345102 854 46000 SH SOLE 46000 0 0 HOWARD HUGHES CORP COM 44267D107 9710 96647 SH SOLE 96647 0 0 IAC INTERACTIVECORP COM 44891N109 12687 52640 SH SOLE 52640 0 0 INFINERA CORP NOTE 2.125% 9/0 45667GAC7 5780 3634000 PRN SOLE 3634000 0 0 INTERACTIVE BROKERS GROUP IN COM CL A 45841N107 6995 90200 SH SOLE 90200 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 2.000% 5/1 45845PAB4 3839 5000000 PRN SOLE 5000000 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 9491 9605000 PRN SOLE 9605000 0 0 INVESCO SR INCOME TR COM 46131H107 1520 300000 SH SOLE 300000 0 0 JAWS ACQUISITION CORP *W EXP 99/99/999 G50744112 208 60498 SH SOLE 60498 0 0 JAWS SPITFIRE ACQUISITION CO UNIT 99/99/9999 G50740128 281 20000 SH SOLE 20000 0 0 JD.COM INC SPON ADR CL A 47215P106 9578 85605 SH SOLE 85605 0 0 JUST ENERGY GROUP INC COM 48213W408 2917 488615 SH SOLE 488615 0 0 KENNEDY-WILSON HOLDINGS INC COM 489398107 884 38830 SH SOLE 38830 0 0 KKR & CO INC COM 48251W104 10367 201140 SH SOLE 201140 0 0 LEAF GROUP LTD COM 52177G102 7888 1332635 SH SOLE 1332635 0 0 LIBERTY LATIN AMERICA LTD COM CL A G9001E102 4390 309847 SH SOLE 309847 0 0 LIBERTY LATIN AMERICA LTD COM CL C G9001E128 1067 75574 SH SOLE 75574 0 0 LUX HEALTH TECH ACQUISITION UNIT 11/30/2027 55068A209 1493 100000 SH SOLE 100000 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 5480 111351 SH SOLE 111351 0 0 MICROSTRATEGY INC CL A NEW CL A 594972408 1138 2300 SH SOLE 2300 0 0 NORTHROP GRUMMAN CORP COM 666807102 931 2400 SH SOLE 2400 0 0 OPENDOOR TECHNOLOGIES INC *W EXP 12/18/202 683712111 442 45002 SH SOLE 45002 0 0 PAR TECHNOLOGY CORP COM 698884103 8295 103781 SH SOLE 103781 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 22444 20060000 PRN SOLE 20060000 0 0 PERSHING SQUARE TONTINE HLDG *W EXP 07/24/202 71531R117 126 10332 SH SOLE 10332 0 0 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 1553 44000 SH SOLE 44000 0 0 SHARPSPRING INC COM 820054104 5753 277602 SH SOLE 277602 0 0 SOCIAL CAP HEDSPIA HLDG CO I *W EXP 99/99/999 G8251K115 289 56741 SH SOLE 56741 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G8251L113 207 49750 SH SOLE 49750 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G82514111 6 1250 SH SOLE 1250 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G8252P113 218 48600 SH SOLE 48600 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8251L105 3116 199000 SH SOLE 199000 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8252P105 3078 194400 SH SOLE 194400 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G82514103 87 5000 SH SOLE 5000 0 0 SQUARE INC CL A 852234103 7923 28600 SH SOLE 28600 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 9672 104450 SH SOLE 104450 0 0 SSR MNG INC NOTE 2.500% 4/0 784730AB9 7558 4250000 PRN SOLE 4250000 0 0 STARWOOD PPTY TR INC COM 85571B105 945 38450 SH SOLE 38450 0 0 STITCH FIX INC COM CL A 860897107 12929 172975 SH SOLE 172975 0 0 SUNPOWER CORP DBCV 0.875% 6/0 867652AJ8 2495 1904000 PRN SOLE 1904000 0 0 SUNPOWER CORP DBCV 4.000% 1/1 867652AL3 1682 1000000 PRN SOLE 1000000 0 0 TEMPLETON GLOBAL INCOME FD COM 880198106 1400 200000 SH SOLE 200000 0 0 TEVA PHARMACEUTICAL FIN LLC DBCV 0.250% 2/0 88163VAE9 5123 4000000 PRN SOLE 4000000 0 0 TURMERIC ACQUISITION CORP UNIT 10/08/2025 G9127T116 13 1000 SH SOLE 1000 0 0 TURNING PT BRANDS INC COM 90041L105 3125 55100 SH SOLE 55100 0 0 TUTOR PERINI CORP NOTE 2.875% 6/1 901109AD0 1799 1425000 PRN SOLE 1425000 0 0 TWITTER INC COM 90184L102 5452 79100 SH SOLE 79100 0 0 TWITTER INC NOTE 0.250% 6/1 90184LAF9 4625 3000000 PRN SOLE 3000000 0 0 UNIVERSAL TECHNICAL INST INC COM 913915104 4635 563625 SH SOLE 563625 0 0 UPLAND SOFTWARE INC COM 91544A109 1728 29586 SH SOLE 29586 0 0 WESTERN ASSET EMERGING MKTS COM 95766A101 1769 100000 SH SOLE 100000 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 5529 350000 SH SOLE 350000 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 11925 72174 SH SOLE 72174 0 0