CFO, CCO

0001706164-22-000002.txt : 20220517 0001706164-22-000002.hdr.sgml : 20220517 20220517093440 ACCESSION NUMBER: 0001706164-22-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220517 DATE AS OF CHANGE: 20220517 EFFECTIVENESS DATE: 20220517 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: 22932548 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 03-31-2022 03-31-2022 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 05-16-2022 0 172 408318 false INFORMATION TABLE 2 PENDER13F1Q2022.xml 26 CAPITAL ACQUISITION CORP COM CL A 90138P100 79 6400 SH SOLE 6400 0 0 5 01 ACQUISITION CORP COM CL A 33836P105 41 3310 SH SOLE 3310 0 0 ACCELERATE ACQUISITION CORP COM CL A 00439D102 79 6500 SH SOLE 6500 0 0 ACCELERATE DIAGNOSTICS INC NOTE 2.500% 3/1 00430HAB8 4636 5560000 PRN SOLE 5560000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1591 11700 SH SOLE 11700 0 0 ALLEGHANY CORP MD COM 017175100 371 350 SH SOLE 350 0 0 ALTC ACQUISITION CORP COM CL A 02156V109 77 6346 SH SOLE 6346 0 0 ALTIMETER GROWTH CORP 2 COM CL A G0371B109 79 6400 SH SOLE 6400 0 0 ALTITUDE ACQUISITION CORP COM CL A 02156Y103 99 7974 SH SOLE 7974 0 0 AMERICAN NATIONAL GROUP INC COM NEW 02772A109 410 1735 SH SOLE 1735 0 0 ANAPLAN INC COM 03272L108 455 5600 SH SOLE 5600 0 0 ANTERIX INC COM 03676C100 7123 98400 SH SOLE 98400 0 0 APOLLO STRATEGIC GRWT CPTL I SHS CL A G0412A102 78 6400 SH SOLE 6400 0 0 ARES ACQUISITION CORPORATION COM CL A G33032106 78 6400 SH SOLE 6400 0 0 AUSTERLITZ ACQUISITION CORP COM CL A G0633U101 79 6500 SH SOLE 6500 0 0 AVANTI ACQUISITION CORP SHS CL A G0682V109 26 2100 SH SOLE 2100 0 0 AVIAT NETWORKS INC COM NEW 05366Y201 10006 260109 SH SOLE 260109 0 0 B RILEY PRIN 250 MERGER CORP CLASS A COM 05602L104 79 6500 SH SOLE 6500 0 0 BAIDU INC SPON ADR REP A 056752108 10655 64420 SH SOLE 64420 0 0 BAOZUN INC NOTE 1.625% 5/0 06684LAB9 1385 1100000 PRN SOLE 1100000 0 0 BAUSCH HEALTH COS INC COM 071734107 5453 190925 SH SOLE 190925 0 0 BLOCK INC CL A 852234103 5008 29540 SH SOLE 29540 0 0 BLUEROCK RESIDENTIAL GWT REI COM CL A 09627J102 478 14400 SH SOLE 14400 0 0 BLUESCAPE OPPORTUNITIES ACQU SHS G1195N105 16 1300 SH SOLE 1300 0 0 BOTTOMLINE TECH DEL INC COM 101388106 510 7200 SH SOLE 7200 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 2945 41660 SH SOLE 41660 0 0 BURFORD CAP LTD ORD SHS ORD SHS G17977110 14688 1278419 SH SOLE 1278419 0 0 CANO HEALTH INC *W EXP 06/03/202 13781Y111 113 57198 SH SOLE 57198 0 0 CC NEUBERGER PRIN HLDGS II SHS CL A G3166T103 25 2000 SH SOLE 2000 0 0 CEDAR FAIR L P DEPOSITRY UNIT 150185106 41 600 SH SOLE 600 0 0 CEDAR REALTY TRUST INC COM NEW 150602605 152 4400 SH SOLE 4400 0 0 CERNER CORP COM 156782104 357 3050 SH SOLE 3050 0 0 CF ACQUISITION CORP IV COM CL A 12520T102 87 7100 SH SOLE 7100 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 79 6426 SH SOLE 6426 0 0 CITRIX SYS INC COM 177376100 467 3700 SH SOLE 3700 0 0 COHN ROBBINS HOLDINGS CORP COM CL A G23726105 50 4000 SH SOLE 4000 0 0 COINBASE GLOBAL INC COM CL A 19260Q107 973 4100 SH SOLE 4100 0 0 COLLIERS INTL GROUP INC SUB VTG SHS 194693107 684 4200 SH SOLE 4200 0 0 COMPUTE HEALTH ACQUISITIN CO COM CL A 204833107 79 6500 SH SOLE 6500 0 0 CORNER GROWTH ACQUISITN CORP CLASS A ORD SHS G2426E104 0 10 SH SOLE 10 0 0 DISCOVERY INC COM SER C 25470F302 1174 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 111 8979 SH SOLE 8979 0 0 EBIX INC COM NEW 278715206 4692 113207 SH SOLE 113207 0 0 EGAIN CORP COM NEW 28225C806 8183 565218 SH SOLE 565218 0 0 ELLIOTT OPPORTUNITY II CORP SHS CL A G30092103 78 6399 SH SOLE 6399 0 0 ELMIRA SVGS BK ELMIRA N Y COM 289660102 315 10987 SH SOLE 10987 0 0 ESPERION THERAPEUTICS INC NE NOTE 4.000%11/1 29664WAB1 19704 29679000 PRN SOLE 29679000 0 0 EXTERRAN CORP COM 30227H106 191 24600 SH SOLE 24600 0 0 FERRO CORP COM 315405100 342 12584 SH SOLE 12584 0 0 FIRSTSERVICE CORP NEW COM 33767E202 597 3300 SH SOLE 3300 0 0 FLAGSTAR BANCORP INC COM PAR .001 337930705 207 3900 SH SOLE 3900 0 0 FORTRESS CAPITAL ACQUISITION SHS CL A G36427105 4 335 SH SOLE 335 0 0 FORTRESS VALUE ACQUISI CORP COM CL A 34964K108 78 6400 SH SOLE 6400 0 0 FORUM ENERGY TECHNOLOGIES IN NOTE 9.000% 8/0 34984VAC4 8899 7123134 PRN SOLE 7123134 0 0 FTAC HERA ACQUISITION CORP CLASS A ORD SHS G3728Y103 80 6500 SH SOLE 6500 0 0 FUSION ACQUISITION CORP II COM CL A 36118N102 80 6500 SH SOLE 6500 0 0 GO ACQUISITION CORP COM 362019101 102 8278 SH SOLE 8278 0 0 GULFPORT ENERGY CORP COMMON SHARES 402635502 56 500 SH SOLE 500 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 72 5880 SH SOLE 5880 0 0 HEALTHCARE TR AMER INC CL A NEW 42225P501 255 6500 SH SOLE 6500 0 0 HELLO GROUP INC NOTE 1.250% 7/0 60879BAB3 3965 3500000 PRN SOLE 3500000 0 0 HIGHLAND TRANSCEND PARTNERS COM CL A G44690108 48 3900 SH SOLE 3900 0 0 HOUGHTON MIFFLIN HARCOURT CO COM 44157R109 126 4800 SH SOLE 4800 0 0 HOWARD HUGHES CORP COM 44267D107 6273 48432 SH SOLE 48432 0 0 HUDSON EXECUTIVE INVES III COM CL A 44376L107 79 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 3940 31430 SH SOLE 31430 0 0 INDEPENDENCE HOLDINGS CORP CLASS A ORD SHS G4761A101 80 6506 SH SOLE 6506 0 0 INTERACTIVE BROKERS GROUP IN COM CL A 45841N107 9121 110700 SH SOLE 110700 0 0 INTERSECT ENT INC COM 46071F103 172 4900 SH SOLE 4900 0 0 INTRICON CORP COM 46121H109 167 5600 SH SOLE 5600 0 0 JAWS HURRICANE ACQUISITN COR *W EXP 03/26/202 47201B111 2 2500 SH SOLE 2500 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 78 6400 SH SOLE 6400 0 0 JD.COM INC SPON ADR CL A 47215P106 6649 91905 SH SOLE 91905 0 0 KARYOPHARM THERAPEUTICS INC NOTE 3.000%10/1 48576UAA4 1615 1500000 PRN SOLE 1500000 0 0 KENNEDY-WILSON HOLDINGS INC COM 489398107 1326 43500 SH SOLE 43500 0 0 KHOSLA VENTURES ACQUT CO III COM CL A 482506102 78 6400 SH SOLE 6400 0 0 KKR & CO INC COM 48251W104 8103 110858 SH SOLE 110858 0 0 KKR ACQUISITION HOLDING I CO COM CLASS A 48253T109 80 6500 SH SOLE 6500 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 1 2500 SH SOLE 2500 0 0 LENDINGTREE INC NOTE 0.500% 7/1 52603BAD9 1289 1250000 PRN SOLE 1250000 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 17 32999 SH SOLE 32999 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 59 2800 SH SOLE 2800 0 0 MASON INDUSTRIAL TECHNOLGY I COM CL A 57520Y106 79 6500 SH SOLE 6500 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 15439 313861 SH SOLE 313861 0 0 MAXEON SOLAR TECHNOLOGIES LT NOTE 6.500% 7/1 57779BAB0 1039 740000 PRN SOLE 740000 0 0 MERITOR INC COM 59001K100 311 7000 SH SOLE 7000 0 0 MICROSTRATEGY INC CL A NEW 594972408 1824 3000 SH SOLE 3000 0 0 MIMECAST LTD ORD SHS G14838109 497 5000 SH SOLE 5000 0 0 MONEYGRAM INTL INC COM NEW 60935Y208 252 19100 SH SOLE 19100 0 0 MSD ACQUISITION CORP CLASS A ORD SHS G5709C109 77 6300 SH SOLE 6300 0 0 NATERA INC COM 632307104 126 2478 SH SOLE 2478 0 0 NATIONAL SEC GROUP INC COM 637546102 217 10845 SH SOLE 10845 0 0 NEOPHOTONICS CORP COM 64051T100 388 20400 SH SOLE 20400 0 0 NEXGEN ENERGY LTD COM 65340P106 59 8400 SH SOLE 8400 0 0 NORTHROP GRUMMAN CORP COM 666807102 1962 3510 SH SOLE 3510 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 14791 10000000 PRN SOLE 10000000 0 0 ORTHO CLINICAL DIAGNOSTICS H ORD SHS G6829J107 247 10600 SH SOLE 10600 0 0 PAR TECHNOLOGY CORP COM 698884103 14064 278881 SH SOLE 278881 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 22713 20060000 PRN SOLE 20060000 0 0 PARTNERS BANCORP COM 70213Q108 71 6148 SH SOLE 6148 0 0 PEAR THERAPEUTICS INC *W EXP 12/03/202 704723113 0 333 SH SOLE 333 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 11492 347900 SH SOLE 347900 0 0 PEOPLES UNITED FINANCIAL INC COM 712704105 307 12300 SH SOLE 12300 0 0 PERSHING SQUARE TONTINE HLDG *W EXP 07/24/202 71531R117 12 10332 SH SOLE 10332 0 0 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 296 11900 SH SOLE 11900 0 0 PONTEM CORPORATION SHS CL A G71707106 26 2100 SH SOLE 2100 0 0 PRECIGEN INC NOTE 3.500% 7/0 46122TAA0 20312 20400000 PRN SOLE 20400000 0 0 PRIMAVERA CAPITAL ACQUIST CO *W EXP 01/19/202 G7255E117 1 2500 SH SOLE 2500 0 0 PRUDENTIAL BANCORP INC NEW COM 74431A101 226 11000 SH SOLE 11000 0 0 RENEWABLE ENERGY GROUP INC COM NEW 75972A301 409 5400 SH SOLE 5400 0 0 REVOLUTION HEALTHCAR AQ CORP CLASS A COM 76155Y108 79 6477 SH SOLE 6477 0 0 RMG ACQUISITION CORP III CL A SHS G76088106 39 3155 SH SOLE 3155 0 0 ROGERS CORP COM 775133101 476 1400 SH SOLE 1400 0 0 SANGOMA TECHNOLOGIES CORP COM NEW 80100R408 29966 1685400 SH SOLE 1685400 0 0 SCIENCE STRATEGIC ACQ ALPHA *W EXP 01/20/202 808641112 0 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 11126 8656000 PRN SOLE 8656000 0 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 462 11920 SH SOLE 11920 0 0 SHOCKWAVE MED INC COM 82489T104 41 160 SH SOLE 160 0 0 SIERRA WIRELESS INC COM 826516106 6604 292600 SH SOLE 292600 0 0 SLAM CORP CL A SHS G8210L105 79 6500 SH SOLE 6500 0 0 SOC TELEMED INC COM CL A 78472F101 111 29700 SH SOLE 29700 0 0 SOCIAL CAP SUVRETTA HLD CRPI CLASS A ORD SHS G8253W109 88 7094 SH SOLE 7094 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 78 6400 SH SOLE 6400 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253T106 79 6400 SH SOLE 6400 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 78 6400 SH SOLE 6400 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G8251L113 75 48500 SH SOLE 48500 0 0 SOUTH JERSEY INDS INC COM 838518108 359 8320 SH SOLE 8320 0 0 SPIRIT AIRLS INC COM 848577102 115 4200 SH SOLE 4200 0 0 SPIRIT OF TEX BANCSHARES INC COM 84861D103 204 6200 SH SOLE 6200 0 0 SPX FLOW INC COM 78469X107 172 1600 SH SOLE 1600 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 10265 109450 SH SOLE 109450 0 0 SSR MNG INC NOTE 2.500% 4/0 784730AB9 5233 3000000 PRN SOLE 3000000 0 0 STARWOOD PPTY TR INC COM 85571B105 996 32950 SH SOLE 32950 0 0 STITCH FIX INC COM CL A 860897107 6438 511400 SH SOLE 511400 0 0 SUMMER INFANT INC COM NEW 865646301 79 5422 SH SOLE 5422 0 0 SUNRUN INC NOTE 2/0 ADDED 86771WAB1 12880 12870000 PRN SOLE 12870000 0 0 TABULA RASA HEALTHCARE INC NOTE 1.750% 2/1 873379AA9 7520 8000000 PRN SOLE 8000000 0 0 TCW SPECIAL PURPOSE ACQU COR COM CL A 87301L106 323 26500 SH SOLE 26500 0 0 TENNECO INC CL A VTG COM STK 880349105 357 15600 SH SOLE 15600 0 0 TEXAS PACIFIC LAND CORPORATI COM 88262P102 7218 4270 SH SOLE 4270 0 0 TREEHOUSE FOODS INC COM 89469A104 28 700 SH SOLE 700 0 0 TRICIDA INC NOTE 3.500% 5/1 89610FAB7 12479 19408000 PRN SOLE 19408000 0 0 TRISTATE CAP HLDGS INC COM 89678F100 245 5900 SH SOLE 5900 0 0 TRITIUM DCFC LIMITED *W EXP 01/13/202 ADDED Q9225T116 1 333 SH SOLE 333 0 0 TWITTER INC COM 90184L102 4116 85100 SH SOLE 85100 0 0 UNITI GROUP INC COM 91325V108 48 2800 SH SOLE 2800 0 0 UNIVERSAL TECHNICAL INST INC COM 913915104 8712 787454 SH SOLE 787454 0 0 US ECOLOGY INC COM 91734M103 389 6500 SH SOLE 6500 0 0 VECTOR ACQUISITION CORP II CL A SHS G9460A104 77 6346 SH SOLE 6346 0 0 VELO3D INC *W EXP 12/01/202 92259N112 13 5000 SH SOLE 5000 0 0 VEONEER INC COM 92336X109 134 2900 SH SOLE 2900 0 0 VIRGIN GROUP ACQUISIT CORP I SHS CL A G9460K102 54 4400 SH SOLE 4400 0 0 VONAGE HLDGS CORP COM 92886T201 174 6875 SH SOLE 6875 0 0 VY GLOBAL GROWTH COM CL A G9444H100 296 23900 SH SOLE 23900 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 79 6429 SH SOLE 6429 0 0 WELBILT INC COM 949090104 234 7880 SH SOLE 7880 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 301 20600 SH SOLE 20600 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 1018 67799 SH SOLE 67799 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 11873 192670 SH SOLE 192670 0 0 ZYNGA INC CL A 98986T108 262 22700 SH SOLE 22700 0 0