Mattersight Corporation
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(Name of Issuer)
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Common Stock
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(Title of Class of Securities)
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577097108
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(CUSIP Number)
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April 26, 2017
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(Date of Event Which Requires Filing of this Statement)
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CUSIP No. 577097108
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13G
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Page 2 of 6 Pages
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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PenderFund Capital Management Ltd.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Canadian
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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1,830,100 (see Item 4)
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6
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SHARED VOTING POWER
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Nil
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7
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SOLE DISPOSITIVE POWER
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1,830,100 (see Item 4)
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8
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SHARED DISPOSITIVE POWER
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Nil
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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1,830,100 (see Item 4)
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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5.6%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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FI
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CUSIP No. 577097108
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13G
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Page 3 of 6 Pages
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Item 1(a). | Name of Issuer: |
Item 1(b). | Address of Issuer's Principal Executive Offices: |
Item 2(a). | Name of Person Filing: |
Item 2(b). | Address of Principal Business Office or, if none, Residence: |
Item 2(c). | Citizenship: |
Item 2(d). | Title of Class of Securities: |
Item 2(e). | CUSIP Number: |
CUSIP No. 577097108
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13G
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Page 4 of 6 Pages
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Item 3.
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If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
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(e) | ☒ | A non-U.S. institution that is the functional equivalent of any of the institutions listed in § 240.13d-1 (b)(1)(ii)(A) through (I), so long as the non-U.S. institution is subject to a regulatory scheme that is substantially comparable to the regulatory scheme applicable to the equivalent U.S. institution; |
Item 4. | Ownership. |
(a) | Amount beneficially owned: 1,830,100 |
(b) | Percent of class: 5.6% |
(c) | Number of shares as to which the person has: |
(i) | Sole power to vote or to direct the vote: 1,830,100 (see Note 1) |
(ii) | Shared power to vote or to direct the vote: Nil |
(iii) | Sole power to dispose or to direct the disposition of: 1,830,100 (see Note 1) |
(iv) | Shared power to dispose or to direct the disposition of: Nil |
CUSIP No. 577097108
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13G
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Page 5 of 6 Pages
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Item 5. | Ownership of Five Percent or Less of a Class. |
Item 6. | Ownership of More Than Five Percent on Behalf of Another Person. |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. |
Item 8. | Identification and Classification of Members of the Group. |
Item 9. | Notice of Dissolution of Group. |
Item 10.
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Certification.
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CUSIP No. 577097108
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13G
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Page 6 of 6 Pages
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PENDERFUND CAPITAL MANAGEMENT LTD.
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By:
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/s/ Kelvin Kwong
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Name: Kelvin Kwong
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Title: Chief Financial Officer
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