0001706164-23-000002.txt : 20230515
0001706164-23-000002.hdr.sgml : 20230515
20230515161616
ACCESSION NUMBER: 0001706164-23-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230331
FILED AS OF DATE: 20230515
DATE AS OF CHANGE: 20230515
EFFECTIVENESS DATE: 20230515
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: 23922615
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
X0202
13F-HR
LIVE
false
true
false
0001706164
XXXXXXXX
03-31-2023
03-31-2023
PenderFund Capital Management Ltd.
SUITE 1830, 1066 W. HASTINGS STREET
VANCOUVER
A1
V6E 3X2
13F HOLDINGS REPORT
028-18272
N
Gina Jones
CFO
236-521-2988
Gina Jones
Vancouver
A1
05-15-2023
0
130
318441
false
INFORMATION TABLE
2
PENDER13F1Q2023.xml
ABRDN ASIA PACIFIC INCOME FU
COM
003009107
7765
2160000
SH
SOLE
2160000
0
0
AEROJET ROCKETDYNE HLDGS INC
COM
007800105
665
8760
SH
SOLE
8760
0
0
AGROFRESH SOLUTIONS INC
COM
00856G109
1098
270846
SH
SOLE
270846
0
0
ALLEGO N V
*W EXP 03/16/202
N0796A118
0
250
SH
SOLE
250
0
0
ALTC ACQUISITION CORP
COM CL A
02156V109
477
34776
SH
SOLE
34776
0
0
ALTIMAR ACQUISITION CORP III
SHS CL A
G0370U108
263
19294
SH
SOLE
19294
0
0
ALTITUDE ACQUISITION CORP
COM CL A
02156Y103
665
48368
SH
SOLE
48368
0
0
AMERICAN ACQUISITION OPPT IN
CLASS A COM
02369M102
80
5832
SH
SOLE
5832
0
0
AMRYT PHARMA PLC
SPONSORED ADS
03217L106
1879
95370
SH
SOLE
95370
0
0
ANTERIX INC
COM
03676C100
5654
126500
SH
SOLE
126500
0
0
APOLLO STRATEGIC GRWT CPTL I
SHS CL A
G0412A102
212
15272
SH
SOLE
15272
0
0
ARGO GROUP INTL HLDGS LTD
COM
G0464B107
798
20170
SH
SOLE
20170
0
0
ARISZ ACQUISITION CORP
COMMON STOCK
040450108
284
20390
SH
SOLE
20390
0
0
ATLAS TECHNICAL CONSULTANTS
COM CLS A
049430101
972
59050
SH
SOLE
59050
0
0
AVIAT NETWORKS INC
COM NEW
05366Y201
6032
129524
SH
SOLE
129524
0
0
B RILEY PRIN 250 MERGER CORP
CLASS A COM
05602L104
158
11490
SH
SOLE
11490
0
0
BAIDU INC
SPON ADR REP A
056752108
5464
26790
SH
SOLE
26790
0
0
BANDWIDTH INC
NOTE 0.250% 3/0
05988JAB9
4222
4000000
PRN
SOLE
4000000
0
0
BANDWIDTH INC
NOTE 0.500% 4/0
05988JAD5
10542
12000000
PRN
SOLE
12000000
0
0
BANNER ACQUISITION CORP
CLASS A COM
06654K101
181
13102
SH
SOLE
13102
0
0
BERENSON ACQUISITION CORP I
CL A COM
083690107
59
4351
SH
SOLE
4351
0
0
BERKSHIRE GREY INC
COM CL A
084656107
746
401610
SH
SOLE
401610
0
0
BEYOND MEAT INC
NOTE 3/1
08862EAB5
2595
8000000
PRN
SOLE
8000000
0
0
BLACK KNIGHT INC
COM
09215C105
1569
20170
SH
SOLE
20170
0
0
BLACK MOUNTAIN ACQ CORP
CL A COM
09216A108
123
8783
SH
SOLE
8783
0
0
BLOCK INC
CL A
852234103
2517
27130
SH
SOLE
27130
0
0
BLUE SAFARI GRP ACQUISITN CO
CLASS A ORD SHS
G1195R106
775
52830
SH
SOLE
52830
0
0
BLUERIVER ACQUISITION CORP
CL A ORD SHS
G1261Q107
2
126
SH
SOLE
126
0
0
BLUESCAPE OPPORTUNITIES ACQU
SHS
G1195N105
219
16257
SH
SOLE
16257
0
0
BROOKFIELD CORP
CL A LTD VT SH
11271J107
1457
33090
SH
SOLE
33090
0
0
BURFORD CAP LTD
ORD SHS
G17977110
10734
718082
SH
SOLE
718082
0
0
CANO HEALTH INC
*W EXP 06/03/202
13781Y111
12
53598
SH
SOLE
53598
0
0
CARDIOVASCULAR SYS INC DEL
COM
141619106
814
30330
SH
SOLE
30330
0
0
CHEMBIO DIAGNOSTICS INC
COM NEW
163572209
88
147459
SH
SOLE
147459
0
0
CHURCHILL CAPITAL CORP VI
COM CL A
17143W101
1432
104780
SH
SOLE
104780
0
0
CHURCHILL CAPITAL CORP
VII COM CL A
17144M102
1436
104766
SH
SOLE
104766
0
0
COINBASE GLOBAL INC
COM CL A
19260Q107
265
2900
SH
SOLE
2900
0
0
COLLIERS INTL GROUP INC
SUB VTG SHS
194693107
767
5380
SH
SOLE
5380
0
0
CORNER GROWTH ACQUISITION CO
CL A SHS
G2425N105
96
7060
SH
SOLE
7060
0
0
CVENT HOLDING CORP
COMMON STOCK
126677103
1390
123110
SH
SOLE
123110
0
0
DIVERSEY HLDGS LTD
ORD SHS
G28923103
814
74410
SH
SOLE
74410
0
0
DOCEBO INC
COM
25609L105
6482
117820
SH
SOLE
117820
0
0
DUET ACQUISITION CORP
CLASS A COM
26431Q106
530
37860
SH
SOLE
37860
0
0
EDIFY ACQUISITION CORP
CL A
28059Q103
69
5013
SH
SOLE
5013
0
0
EGAIN CORP
COM NEW
28225C806
3740
364623
SH
SOLE
364623
0
0
ELLIOTT OPPORTUNITY II CORP
SHS CL A
G30092103
158
11399
SH
SOLE
11399
0
0
ESPERION THERAPEUTICS INC NE
NOTE 4.000%11/1
29664WAB1
9826
17454000
PRN
SOLE
17454000
0
0
FIRST HORIZON CORPORATION
COM
320517105
836
34810
SH
SOLE
34810
0
0
FIRST LT ACQUISITION GROUP I
CL A
320703101
921
66323
SH
SOLE
66323
0
0
FIRST MAJESTIC SILVER CORP
NOTE 0.375% 1/1
32076VAD5
18245
17500000
PRN
SOLE
17500000
0
0
FIRSTSERVICE CORP NEW
COM
33767E202
518
2720
SH
SOLE
2720
0
0
FOCUS FINL PARTNERS INC
COM CL A
34417P100
739
10550
SH
SOLE
10550
0
0
FORGEROCK INC
CL A
34631B101
1042
37430
SH
SOLE
37430
0
0
FORUM ENERGY TECHNOLOGIES IN
COM
34984V209
8618
250757
SH
SOLE
250757
0
0
FORUM ENERGY TECHNOLOGIES IN
NOTE 9.000% 8/0
34984VAC4
9838
7377675
PRN
SOLE
7377675
0
0
FTAC EMERALD ACQUISITION COR
CLASS A COM
29103K100
137
9935
SH
SOLE
9935
0
0
GOLDENBRIDGE ACQUISITION LTD
SHS
G3970D104
31
2130
SH
SOLE
2130
0
0
HAWKS ACQUISITION CORP
CL A
42032P108
773
56230
SH
SOLE
56230
0
0
HORIZON THERAPEUTICS PUB L
SHS
G46188101
398
2700
SH
SOLE
2700
0
0
HOWARD HUGHES CORP
COM
44267D107
3550
32834
SH
SOLE
32834
0
0
IAC INC
COM NEW
44891N208
2001
28700
SH
SOLE
28700
0
0
INDUS REALTY TRUST INC
COM
45580R103
1185
13230
SH
SOLE
13230
0
0
INTERACTIVE BROKERS GROUP IN
COM CL A
45841N107
5487
49178
SH
SOLE
49178
0
0
INTERCEPT PHARMACEUTICALS IN
NOTE 2.000% 5/1
45845PAB4
13303
11795000
PRN
SOLE
11795000
0
0
JAWS HURRICANE ACQUISITN COR
*W EXP 03/26/202
47201B111
1
2500
SH
SOLE
2500
0
0
JAWS MUSTANG ACQUISITION COR
*W EXP 01/30/202
G50737124
0
250
SH
SOLE
250
0
0
JD.COM INC
SPON ADR CL A
47215P106
3360
56665
SH
SOLE
56665
0
0
JOUNCE THERAPEUTICS INC
COM
481116101
616
246310
SH
SOLE
246310
0
0
KENNEDY-WILSON HOLDINGS INC
COM
489398107
923
41150
SH
SOLE
41150
0
0
KENSINGTON CAPITAL ACQUISITI
SHS CL A
G5251K103
513
36400
SH
SOLE
36400
0
0
KIMBALL INTL INC
CL B
494274103
784
46810
SH
SOLE
46810
0
0
KKR & CO INC
COM
48251W104
7000
98620
SH
SOLE
98620
0
0
LANVIN GROUP HOLDINGS LIMITE
*W EXP 01/14/202
G5380J118
1
2500
SH
SOLE
2500
0
0
LIBERTY BROADBAND CORP
COM SER C
530307305
690
6250
SH
SOLE
6250
0
0
MAGNACHIP SEMICONDUCTOR CORP
COM
55933J203
35
2800
SH
SOLE
2800
0
0
MAXAR TECHNOLOGIES INC
COM
57778K105
1594
23130
SH
SOLE
23130
0
0
MAXEON SOLAR TECHNOLOGIES LT
NOTE 6.500% 7/1
57779BAB0
1586
740000
PRN
SOLE
740000
0
0
MICROCHIP TECHNOLOGY INC.
COM
595017104
1026
9060
SH
SOLE
9060
0
0
MOMENTIVE GLOBAL INC
COM
60878Y108
1029
81680
SH
SOLE
81680
0
0
MONEYGRAM INTL INC
COM NEW
60935Y208
1543
109700
SH
SOLE
109700
0
0
MORGAN STANLEY EMERGING MKTS
COM
617477104
4654
761935
SH
SOLE
761935
0
0
NEOLEUKIN THERAPEUTICS INC
COM
64049K104
6
6709
SH
SOLE
6709
0
0
NEXGEN ENERGY LTD
COM
65340P106
59
11300
SH
SOLE
11300
0
0
NORTH AMERN CONSTR GROUP LTD
COM
656811106
1012
44910
SH
SOLE
44910
0
0
NORTHROP GRUMMAN CORP
COM
666807102
468
750
SH
SOLE
750
0
0
NUVASIVE INC
COM
670704105
419
7500
SH
SOLE
7500
0
0
NUVEEN MUNICIPAL CREDIT INC
COM SH BEN INT
67070X101
10498
650000
SH
SOLE
650000
0
0
OPKO HEALTH INC
NOTE 4.500% 2/1
68375NAD5
17548
14000000
PRN
SOLE
14000000
0
0
OXBRIDGE ACQUISITION CORP
COM CL A
G6855L109
0
4
SH
SOLE
4
0
0
PAR TECHNOLOGY CORP
COM
698884103
12748
277761
SH
SOLE
277761
0
0
PARATEK PHARMACEUTICALS INC
NOTE 4.750% 5/0
699374AB0
15930
15510000
PRN
SOLE
15510000
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
5167
337090
SH
SOLE
337090
0
0
PROVENTION BIO INC
COM
74374N102
920
28250
SH
SOLE
28250
0
0
QUALTRICS INTL INC
COM CL A
747601201
337
14000
SH
SOLE
14000
0
0
RADIUS GLOBAL INFRASTRCTRE I
COM CL A
750481103
1404
70810
SH
SOLE
70810
0
0
REDWOODS ACQUISITION CORP
COM
758083109
580
41558
SH
SOLE
41558
0
0
RMG ACQUISITION CORP III
CL A SHS
G76088106
55
4059
SH
SOLE
4059
0
0
SANGOMA TECHNOLOGIES CORP
COM NEW
80100R408
12185
2398707
SH
SOLE
2398707
0
0
SEAGEN INC
COM
81181C104
397
1450
SH
SOLE
1450
0
0
SEMLER SCIENTIFIC INC
COM
81684M104
153
4200
SH
SOLE
4200
0
0
SHAW COMMUNICATIONS INC
CL B CONV
82028K200
972
24030
SH
SOLE
24030
0
0
SILVERBOX CORP III
UNIT 02/28/2028
82836N206
14
1000
SH
SOLE
1000
0
0
SISECAM RESOURCES LP
COM UNIT LTD
172464109
1220
35942
SH
SOLE
35942
0
0
SNAP INC
NOTE 0.125% 3/0
83304AAH9
2865
3000000
PRN
SOLE
3000000
0
0
SNAP INC
NOTE 5/0
83304AAF3
1983
2000000
PRN
SOLE
2000000
0
0
SOCIAL CAP SUVRETTA HLDS CP
CLASS A ORD SHS
G8253Y105
137
9910
SH
SOLE
9910
0
0
SOCIAL CAP SUVRETTA HLDS CRP
CLASS A ORD SHS
G8253U103
158
11440
SH
SOLE
11440
0
0
SPIRIT AIRLS INC
COM
848577102
787
33930
SH
SOLE
33930
0
0
SS&C TECHNOLOGIES HLDGS INC
COM
78467J100
5310
69570
SH
SOLE
69570
0
0
SSR MINING IN
NOTE 2.500% 4/0
784730AB9
7435
5000000
PRN
SOLE
5000000
0
0
STARBUCKS CORP
COM
855244109
736
5230
SH
SOLE
5230
0
0
STARWOOD PPTY TR INC
COM
85571B105
751
31400
SH
SOLE
31400
0
0
STITCH FIX INC
COM CL A
860897107
287
41580
SH
SOLE
41580
0
0
SUMO LOGIC INC
COM
86646P103
794
49050
SH
SOLE
49050
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADS
874039100
754
6000
SH
SOLE
6000
0
0
TEGNA INC
COM
87901J105
532
23280
SH
SOLE
23280
0
0
TEXAS PACIFIC LAND CORPORATI
COM
88262P102
3281
1427
SH
SOLE
1427
0
0
TRAVELCENTERS OF AMERICA INC
COM NEW
89421B109
1070
9150
SH
SOLE
9150
0
0
TREAN INS GROUP INC
COM
89457R101
799
96580
SH
SOLE
96580
0
0
TRITIUM DCFC LIMITED
*W EXP 01/13/202
Q9225T116
0
333
SH
SOLE
333
0
0
U S XPRESS ENTERPRISES INC
COM CL A
90338N202
783
97489
SH
SOLE
97489
0
0
UNIVAR SOLUTIONS INC
COM
91336L107
819
17290
SH
SOLE
17290
0
0
VELO3D INC
*W EXP 09/29/202
92259N112
3
5000
SH
SOLE
5000
0
0
WARNER BROS DISCOVERY INC
COM SER A
934423104
551
27000
SH
SOLE
27000
0
0
WELSBACH TECH METALS ACQU CO
COM
950415109
719
51231
SH
SOLE
51231
0
0
WESTERN ASSET EMERGING MKTS
COM
95766A101
6461
556522
SH
SOLE
556522
0
0
WESTERN ASST INFLTN LKD INM
COM SH BEN INT
95766Q106
1
128
SH
SOLE
128
0
0
WESTERN AST INFL LKD OPP & I
COM
95766R104
3554
287378
SH
SOLE
287378
0
0
ZILLOW GROUP INC
CL C CAP STK
98954M200
6676
111077
SH
SOLE
111077
0
0