CFO, CCO

0001706164-22-000001.txt : 20220216 0001706164-22-000001.hdr.sgml : 20220216 20220215202504 ACCESSION NUMBER: 0001706164-22-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220216 DATE AS OF CHANGE: 20220215 EFFECTIVENESS DATE: 20220216 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: 22641107 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 12-31-2021 12-31-2021 PenderFund Capital Management Ltd.

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

13F HOLDINGS REPORT 028-18272 N Gina Jones CFO, CCO 236-521-2988 Gina Jones Vancouver A1 02-15-2022 0 157 440535 false INFORMATION TABLE 2 PENDER13F4Q2021.xml 26 CAPITAL ACQUISITION CORP COM CL A 90138P100 80 6400 SH SOLE 6400 0 0 5 01 ACQUISITION CORP COM CL A 33836P105 41 3300 SH SOLE 3300 0 0 ACCELERATE ACQUISITION CORP COM CL A 00439D102 80 6500 SH SOLE 6500 0 0 ACCELERATE DIAGNOSTICS INC NOTE 2.500% 3/1 00430HAB8 5362 5560000 PRN SOLE 5560000 0 0 AEROJET ROCKETDYNE HLDGS INC COM 007800105 231 3910 SH SOLE 3910 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1788 11900 SH SOLE 11900 0 0 ALTC ACQUISITION CORP COM CL A 02156V109 79 6346 SH SOLE 6346 0 0 ALTIMETER GROWTH CORP 2 COM CL A G0371B109 80 6400 SH SOLE 6400 0 0 AMERICAN NATIONAL GROUP INC COM 02772A109 128 535 SH SOLE 535 0 0 ANTERIX INC COM 03676C100 52 700 SH SOLE 700 0 0 APOLLO STRATEGIC GRWT CPTL I SHS CL A G0412A102 79 6400 SH SOLE 6400 0 0 ARES ACQUISITION CORPORATION COM CL A G33032106 79 6400 SH SOLE 6400 0 0 ATLANTIC CAP BANCSHARES INC COM 048269203 204 5600 SH SOLE 5600 0 0 AUSTERLITZ ACQUISITION CORP COM CL A G0633U101 80 6500 SH SOLE 6500 0 0 AVANTI ACQUISITION CORP SHS CL A G0682V109 26 2100 SH SOLE 2100 0 0 AVIAT NETWORKS INC COM 05366Y201 10555 260109 SH SOLE 260109 0 0 B RILEY PRIN 250 MERGER CORP CLASS A COM 05602L104 80 6500 SH SOLE 6500 0 0 BAIDU INC SPON ADR REP A 056752108 12610 67000 SH SOLE 67000 0 0 BAUSCH HEALTH COS INC COM 071734107 7125 203925 SH SOLE 203925 0 0 BLOCK INC CL A 852234103 6566 32140 SH SOLE 32140 0 0 BLUESCAPE OPPORTUNITIES ACQU SHS G1195N105 16 1300 SH SOLE 1300 0 0 BOTTOMLINE TECH DEL INC COM 101388106 207 2900 SH SOLE 2900 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 3373 44150 SH SOLE 44150 0 0 BURFORD CAP LTD ORD SHS G17977110 18738 1402762 SH SOLE 1402762 0 0 CANO HEALTH INC *W EXP 06/03/202 13781Y111 173 57198 SH SOLE 57198 0 0 CASPER SLEEP INC COM 147626105 192 22700 SH SOLE 22700 0 0 CC NEUBERGER PRIN HLDGS II SHS CL A G3166T103 25 2000 SH SOLE 2000 0 0 CF ACQUISITION CORP IV COM CL A 12520T102 61 4900 SH SOLE 4900 0 0 CHURCHILL CAPITAL CORP VI COM CL A 17143W101 79 6400 SH SOLE 6400 0 0 CHURCHILL CAPITAL CORP VII COM CL A 17144M102 75 6071 SH SOLE 6071 0 0 CIT GROUP INC COM NEW 125581801 164 2530 SH SOLE 2530 0 0 COHN ROBBINS HOLDINGS CORP COM CL A G23726105 50 4000 SH SOLE 4000 0 0 COINBASE GLOBAL INC COM CL A 19260Q107 798 2500 SH SOLE 2500 0 0 COLFAX CORP COM 194014106 832 14312 SH SOLE 14312 0 0 COLLIERS INTL GROUP INC SUB VTG SHS 194693107 810 4300 SH SOLE 4300 0 0 COMPUTE HEALTH ACQUISITIN CO COM CL A 204833107 80 6500 SH SOLE 6500 0 0 COREPOINT LODGING INC COM 21872L104 79 4000 SH SOLE 4000 0 0 CORVUS GOLD INC COM 221013105 162 39600 SH SOLE 39600 0 0 DECARBONIZATION PLUS ACQU II *W EXP 01/19/202 242794113 1 333 SH SOLE 333 0 0 DISCOVERY INC COM SER C 25470F302 1089 37600 SH SOLE 37600 0 0 DUNE ACQUISITION CORP COM CL A 265334102 80 6400 SH SOLE 6400 0 0 E MERGE TECHNOLOGY ACQUISITI COM CL A 26873Y104 41 3300 SH SOLE 3300 0 0 EAGLE BULK SHIPPING INC NOTE 5.000% 8/0 269442AB5 5487 3063000 PRN SOLE 3063000 0 0 EBIX INC COM NEW 278715206 6053 157407 SH SOLE 157407 0 0 EGAIN CORP COM NEW 28225C806 7335 581018 SH SOLE 581018 0 0 ELLIOTT OPPORTUNITY II CORP SHS CL A G30092103 79 6399 SH SOLE 6399 0 0 ELMIRA SVGS BK ELMIRA N Y COM 289660102 165 5700 SH SOLE 5700 0 0 FIRSTMARK HORIZON ACQUISITIO CL A COM 33765Y101 80 6400 SH SOLE 6400 0 0 FIRSTSERVICE CORP NEW COM 33767E202 671 2700 SH SOLE 2700 0 0 FLAGSTAR BANCORP INC COM PAR .001 337930705 237 3900 SH SOLE 3900 0 0 FLUOR CORP NEW COM 343412102 6633 211700 SH SOLE 211700 0 0 FORTRESS CAPITAL ACQUISITION SHS CL A G36427105 4 335 SH SOLE 335 0 0 FORTRESS VALUE ACQUISI CORP COM CL A 34964K108 79 6400 SH SOLE 6400 0 0 FTAC HERA ACQUISITION CORP CLASS A ORD SHS G3728Y103 80 6500 SH SOLE 6500 0 0 FTS INTERNATIONAL INC COM NEW CL A 30283W302 7335 220900 SH SOLE 220900 0 0 FUSION ACQUISITION CORP II COM CL A 36118N102 80 6500 SH SOLE 6500 0 0 GCP APPLIED TECHNOLOGIES INC COM 36164Y101 160 4000 SH SOLE 4000 0 0 GO ACQUISITION CORP COM 362019101 50 4000 SH SOLE 4000 0 0 GOLDEN NUGGET ONLINE GAMIN COM CL A 38113L107 37 2900 SH SOLE 2900 0 0 GREAT WESTERN BANCORP INC COM 391416104 168 3900 SH SOLE 3900 0 0 GREENSKY INC CL A 39572G100 154 10700 SH SOLE 10700 0 0 HAMILTON LANE ALLIANCE HLDGS COM CL A 40749M103 80 6500 SH SOLE 6500 0 0 HEALTH ASSURN ACQUISITION CO COM CL A 42226W109 65 5280 SH SOLE 5280 0 0 HELLO GROUP INC NOTE 1.250% 7/0 60879BAB3 3834 3500000 PRN SOLE 3500000 0 0 HIGHLAND TRANSCEND PARTNERS COM CL A G44690108 49 3900 SH SOLE 3900 0 0 HOWARD HUGHES CORP COM 44267D107 7034 54637 SH SOLE 54637 0 0 HUDSON EXECUTIVE INVES III COM CL A 44376L107 80 6500 SH SOLE 6500 0 0 HUDSON EXECUTIVE INVS CORP I COM CL A 443760103 80 6500 SH SOLE 6500 0 0 IAC INTERACTIVECORP NEW COM NEW 44891N208 5704 34500 SH SOLE 34500 0 0 INDEPENDENCE HOLDINGS CORP CLASS A ORD SHS G4761A101 80 6506 SH SOLE 6506 0 0 INFINERA CORP NOTE 2.125% 9/0 45667GAC7 1716 1134000 PRN SOLE 1134000 0 0 INFINERA CORP NOTE 2.500% 3/0 45667GAE3 1870 1000000 PRN SOLE 1000000 0 0 INTERACTIVE BROKERS GROUP IN COM CL A 45841N107 13010 129500 SH SOLE 129500 0 0 JAWS HURRICANE ACQUISITN COR UNIT 06/08/2026 47201B202 126 10000 SH SOLE 10000 0 0 JAWS MUSTANG ACQUISITION COR *W EXP 01/30/202 G50737124 0 250 SH SOLE 250 0 0 JAWS MUSTANG ACQUISITION COR SHS CL A G50737108 79 6400 SH SOLE 6400 0 0 JD.COM INC SPON ADR CL A 47215P106 8589 96905 SH SOLE 96905 0 0 KALEYRA INC COM 483379103 728 57314 SH SOLE 57314 0 0 KARYOPHARM THERAPEUTICS INC NOTE 3.000%10/1 48576UAA4 3127 3000000 PRN SOLE 3000000 0 0 KENNEDY-WILSON HOLDINGS INC COM 489398107 1377 45600 SH SOLE 45600 0 0 KHOSLA VENTURES ACQUT CO III COM CL A 482506102 41 3300 SH SOLE 3300 0 0 KKR & CO INC COM 48251W104 11545 122508 SH SOLE 122508 0 0 KKR ACQUISITION HOLDING I CO COM CLASS A 48253T109 80 6500 SH SOLE 6500 0 0 KRATON CORP COM 50077C106 135 2300 SH SOLE 2300 0 0 LANDCADIA HOLDINGS IV INC CLASS A COM 51477A104 80 6500 SH SOLE 6500 0 0 LAZARD GROWTH ACQUISITION CO CL A ORD SHS G54035103 80 6500 SH SOLE 6500 0 0 LEAD EDGE GROWTH OPRTUNTS LT *W EXP 04/01/202 G54085116 2 2500 SH SOLE 2500 0 0 LENDINGTREE INC NOTE 0.500% 7/1 52603BAD9 5288 5000000 PRN SOLE 5000000 0 0 LENDINGTREE INC NOTE 0.625% 6/0 52603BAA5 8170 6500000 PRN SOLE 6500000 0 0 LEVEL ONE BANCORP INC COM 52730D208 200 4000 SH SOLE 4000 0 0 LUX HEALTH TECH ACQUISITION *W EXP 11/30/202 55068A118 35 32999 SH SOLE 32999 0 0 MAGELLAN HEALTH INC COM NEW 559079207 88 736 SH SOLE 736 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 56 2100 SH SOLE 2100 0 0 MANDIANT INC NOTE 0.875% 6/0 31816QAF8 3969 3000000 PRN SOLE 3000000 0 0 MASON INDUSTRIAL TECHNOLGY I COM CL A 57520Y106 80 6500 SH SOLE 6500 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 11721 313561 SH SOLE 313561 0 0 MCAFEE CORP COM CL A 579063108 108 3300 SH SOLE 3300 0 0 MICROSTRATEGY INC CL A NEW 594972408 2066 3000 SH SOLE 3000 0 0 MONEYGRAM INTL INC COM NEW 60935Y208 46 4600 SH SOLE 4600 0 0 NATERA INC COM 632307104 293 2478 SH SOLE 2478 0 0 NEOPHOTONICS CORP COM 64051T100 161 8300 SH SOLE 8300 0 0 NORTHROP GRUMMAN CORP COM 666807102 1792 3660 SH SOLE 3660 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 109 1557 SH SOLE 1557 0 0 OAKTREE ACQUISITION CORP II CL A SHS G6715X103 50 4000 SH SOLE 4000 0 0 ONE EQUITY PARTNERS OPEN WTR *W EXP 01/14/202 68237L113 1 1666 SH SOLE 1666 0 0 OPKO HEALTH INC NOTE 4.500% 2/1 68375NAD5 10677 6000000 PRN SOLE 6000000 0 0 PAE INC COM CL A 69290Y109 187 14900 SH SOLE 14900 0 0 PAR TECHNOLOGY CORP COM 698884103 10178 152481 SH SOLE 152481 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 24802 21060000 PRN SOLE 21060000 0 0 PARTNERS BANCORP COM 70213Q108 76 6148 SH SOLE 6148 0 0 PEAR THERAPEUTICS INC *W EXP 99/99/999 ADDED 704723113 0 333 SH SOLE 333 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 13907 307400 SH SOLE 307400 0 0 PEOPLES UNITED FINANCIAL INC COM 712704105 158 7000 SH SOLE 7000 0 0 PERSHING SQUARE TONTINE HLDG *W EXP 07/24/202 71531R117 17 10332 SH SOLE 10332 0 0 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 80 3200 SH SOLE 3200 0 0 PHILLIPS 66 PARTNERS LP COM UNIT REP INT 718549207 187 4100 SH SOLE 4100 0 0 PONTEM CORPORATION SHS CL A G71707106 26 2100 SH SOLE 2100 0 0 PRECIGEN INC NOTE 3.500% 7/0 46122TAA0 22865 22400000 PRN SOLE 22400000 0 0 PRIMAVERA CAPITAL ACQUIST CO *W EXP 01/19/202 G7255E117 2 2500 SH SOLE 2500 0 0 REVOLUTION HEALTHCAR AQ CORP CLASS A COM 76155Y108 80 6477 SH SOLE 6477 0 0 RMG ACQUISITION CORP III CL A SHS G76088106 26 2100 SH SOLE 2100 0 0 ROGERS CORP COM 775133101 155 450 SH SOLE 450 0 0 SANGOMA TECHNOLOGIES CORP COM NEW ADDED 80100R408 30591 1401970 SH SOLE 1401970 0 0 SCIENCE STRATEGIC ACQ ALPHA *W EXP 01/20/202 808641112 1 1666 SH SOLE 1666 0 0 SCION TECH GROWTH I CL A SHS G31067104 79 6400 SH SOLE 6400 0 0 SFL CORPORATION LTD NOTE 4.875% 5/0 824689AG8 10974 8656000 PRN SOLE 8656000 0 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 142 3710 SH SOLE 3710 0 0 SIERRA WIRELESS INC COM 826516106 6525 292600 SH SOLE 292600 0 0 SLAM CORP CL A SHS G8210L105 41 3300 SH SOLE 3300 0 0 SOCIAL CAP SUVRETTA HLD CRPI CLASS A ORD SHS G8253W109 32 2530 SH SOLE 2530 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 79 6400 SH SOLE 6400 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253T106 72 5700 SH SOLE 5700 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 80 6400 SH SOLE 6400 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G8251L113 120 48500 SH SOLE 48500 0 0 SPARTAN ACQUISITION CORP III *W EXP 02/04/202 84677R114 0 250 SH SOLE 250 0 0 SPIRE GLOBAL INC COM CL A 848560108 1267 296433 SH SOLE 296433 0 0 SPX FLOW INC COM 78469X107 142 1300 SH SOLE 1300 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 13538 130550 SH SOLE 130550 0 0 SSR MNG INC NOTE 2.500% 4/0 784730AB9 6342 4000000 PRN SOLE 4000000 0 0 STARWOOD PPTY TR INC COM 85571B105 1053 34250 SH SOLE 34250 0 0 STATE AUTO FINL CORP COM 855707105 131 2000 SH SOLE 2000 0 0 STITCH FIX INC COM CL A 860897107 19628 820000 SH SOLE 820000 0 0 TABULA RASA HEALTHCARE INC NOTE 1.750% 2/1 873379AA9 8481 8000000 PRN SOLE 8000000 0 0 TCW SPECIAL PURPOSE ACQU COR COM CL A 87301L106 80 6500 SH SOLE 6500 0 0 TEXAS PACIFIC LAND CORPORATI COM 88262P102 6517 4125 SH SOLE 4125 0 0 TRICIDA INC NOTE 3.500% 5/1 89610FAB7 17304 24408000 PRN SOLE 24408000 0 0 TRISTATE CAP HLDGS INC COM 89678F100 161 4200 SH SOLE 4200 0 0 TWITTER INC COM 90184L102 5150 94200 SH SOLE 94200 0 0 UNIVERSAL TECHNICAL INST INC COM 913915104 10743 1086085 SH SOLE 1086085 0 0 VECTOR ACQUISITION CORP II CL A SHS G9460A104 2 146 SH SOLE 146 0 0 VELO3D INC *W EXP 12/01/202 92259N112 10 5000 SH SOLE 5000 0 0 VERSO CORP CL A 92531L207 161 4700 SH SOLE 4700 0 0 VIRGIN GROUP ACQUISIT CORP I SHS CL A G9460K102 55 4400 SH SOLE 4400 0 0 WARBURG PINCUS CAPTAL CORP I SHS CL A G9460M108 80 6500 SH SOLE 6500 0 0 WARBURG PINCUS CAPTAL CORP I SHS CL A G9461D107 4 329 SH SOLE 329 0 0 WELBILT INC COM 949090104 213 7080 SH SOLE 7080 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 16153 199970 SH SOLE 199970 0 0