0001706164-19-000005.txt : 20190731
0001706164-19-000005.hdr.sgml : 20190731
20190731094632
ACCESSION NUMBER: 0001706164-19-000005
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190630
FILED AS OF DATE: 20190731
DATE AS OF CHANGE: 20190731
EFFECTIVENESS DATE: 20190731
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18272
FILM NUMBER: 19987563
BUSINESS ADDRESS:
STREET 1: SUITE 1640, 1066 W. HASTINGS STREET
CITY: VANCOUVER
STATE: A1
ZIP: V6E 3X1
BUSINESS PHONE: (604) 630-5447
MAIL ADDRESS:
STREET 1: SUITE 1640, 1066 W. HASTINGS STREET
CITY: VANCOUVER
STATE: A1
ZIP: V6E 3X1
13F-HR/A
1
primary_doc.xml
13F-HR/A
LIVE
false
true
false
0001706164
XXXXXXXX
06-30-2019
06-30-2019
true
1
RESTATEMENT
PenderFund Capital Management Ltd.
SUITE 1640, 1066 W. HASTINGS STREET
VANCOUVER
A1
V6E 3X1
13F HOLDINGS REPORT
028-18272
N
Gina Jones
CFO
2365212988
Gina Jones
Vancouver
A1
07-31-2019
0
67
280132
false
INFORMATION TABLE
2
PENDER13F2Q2019.xml
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
1730
410000
SH
SOLE
410000
0
0
ACORDA THERAPEUTICS INC
NOTE 1.750% 6/1
00484MAA4
1709
2000000
PRN
SOLE
2000000
0
0
ALPHABET INC
CAP STK CL C
02079K107
220
175
SH
SOLE
175
0
0
ASURE SOFTWARE INC
COM
04649U102
3632
402696
SH
SOLE
402696
0
0
BAIDU INC
SPON ADR REP A
056752108
8497
74341
SH
SOLE
74341
0
0
BLACKBERRY LTD
COM
09228F103
4774
445780
SH
SOLE
445780
0
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
4825
340000
SH
SOLE
340000
0
0
BLACKROCK MUNIYIELD CALI QLT
COM
09254N103
928
65000
SH
SOLE
65000
0
0
BRAEMAR HOTELS & RESORTS INC
5.5 CUM CV PFD B
10482B200
1985
106485
SH
SOLE
106485
0
0
BRANDYWINEGBL GLBAL INM OPRT
COM
10537L104
1891
158948
SH
SOLE
158948
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
663
10200
SH
SOLE
10200
0
0
BROOKFIELD PROPERTY PARTRS L UNIT LTD PARTN
COM
G16249107
9380
372966
SH
SOLE
372966
0
0
CARBONITE INC
COM
141337105
6682
370168
SH
SOLE
370168
0
0
CHESAPEAKE ENERGY CORP
NOTE 5.500% 9/1
165167CY1
706
500000
PRN
SOLE
500000
0
0
CLOUDERA INC
COM
18914U100
1740
290000
SH
SOLE
290000
0
0
COLFAX CORP
COM
194014106
957
33617
SH
SOLE
33617
0
0
COLONY CAP INC
CL A COM
19626G108
3684
658374
SH
SOLE
658374
0
0
EGAIN CORP
COM
28225C806
3528
438203
SH
SOLE
438203
0
0
ELEMENT SOLUTIONS INC
COM
28618M106
7748
766033
SH
SOLE
766033
0
0
ENERGY FUELS INC
*W EXP 09/20/202
292671179
154
200000
SH
SOLE
200000
0
0
FIRST TR SR FLG RTE INCM FD
COM
33733U108
1204
100000
SH
SOLE
100000
0
0
GLOBAL EAGLE ENTMT INC
NOTE 2.750% 2/1
37951DAB8
2827
5750000
PRN
SOLE
5750000
0
0
HANESBRANDS INC
COM
410345102
4192
262800
SH
SOLE
262800
0
0
HOWARD HUGHES CORP
COM
44267D107
16285
124042
SH
SOLE
124042
0
0
INFINERA CORPORATION
NOTE 2.125% 9/0
45667GAC7
132
15000000
PRN
SOLE
15000000
0
0
JD COM INC
SPON ADR CL A
47215P106
9997
314605
SH
SOLE
314605
0
0
JEFFERIES FINL GROUP INC
COM
47233W109
312
14500
SH
SOLE
14500
0
0
JUST ENERGY GROUP INC
COM
48213W101
1949
403600
SH
SOLE
403600
0
0
KENNEDY-WILSON HLDGS INC
COM
489398107
5285
248256
SH
SOLE
248256
0
0
KKR & CO INC
CL A
48251W104
16634
614940
SH
SOLE
614940
0
0
LEAF GROUP LTD
COM
52177G102
6622
985345
SH
SOLE
985345
0
0
LIBERTY LATIN AMERICA LTD
COM CL A
G9001E102
4841
295547
SH
SOLE
295547
0
0
MAXAR TECHNOLOGIES INC
COM
57778K105
13833
1377756
SH
SOLE
50000
0
0
MIDDLEBY CORP
COM
596278101
6057
44500
SH
SOLE
1377756
0
0
MODEL N INC
COM
607525102
2406
111051
SH
SOLE
44500
0
0
NUVEEN MARYLAND QLT MUN INC
COM
67061Q107
4271
325000
SH
SOLE
111051
0
0
NUVEEN NEW YORK AMT QLT MUNI
COM
670656107
2115
160000
SH
SOLE
325000
0
0
NUVEEN NEW YORK QLT MUN INC
COM
67066X107
2111
150000
SH
SOLE
160000
0
0
NUVEEN PENNSYLVANIA QLT MUN
COM
670972108
2426
175000
SH
SOLE
150000
0
0
NUVEEN QUALITY MUNCP INCOME
COM
67066V101
2990
210000
SH
SOLE
175000
0
0
PAR TECHNOLOGY CORP
COM
698884103
3645
141000
SH
SOLE
210000
0
0
PARATEK PHARMACEUTICALS
INC NOTE 4.750% 5/0
699374AB0
6228
9060000
PRN
SOLE
141000
0
0
PDVWIRELESS INC
COM
69290R104
0
50
SH
SOLE
9060000
0
0
PIONEER FLOATING RATE TR
COM
72369J102
1051
100000
SH
SOLE
50
0
0
PIXELWORKS INC
COM
72581M305
2166
707934
SH
SOLE
100000
0
0
POINTS INTL LTD
COM
730843208
3390
217457
SH
SOLE
707934
0
0
PRETIUM RES INC
NOTE 2.250% 3/1
74139CAB8
3658
3708000
PRN
SOLE
217457
0
0
SANDRIDGE ENERGY INC
COM
80007P869
4183
637674
SH
SOLE
3708000
0
0
SIERRA WIRELESS INC
COM
826516106
10673
681540
SH
SOLE
637674
0
0
SILVER STD RES INC
NOTE 2.875% 2/0
82823LAC0
5432
5369000
PRN
SOLE
681540
0
0
SS&C TECHNOLOGIES HLDGS INC
COM
78467J100
14019
232550
SH
SOLE
5369000
0
0
STARBUCKS CORP
COM
855244109
263
2700
SH
SOLE
232550
0
0
STARWOOD PPTY TR INC
COM
85571B105
227
9850
SH
SOLE
2700
0
0
SUNPOWER CORP
DBCV 0.875% 6/0
867652AJ8
5291
5805000
PRN
SOLE
9850
0
0
SUNPOWER CORP
DBCV 4.000% 1/1
867652AL3
10356
11867000
PRN
SOLE
5805000
0
0
SYNALLOY CP DEL
COM
871565107
238
14764
SH
SOLE
11867000
0
0
SYNCHRONOSS TECHNOLOGIES INC
NOTE 0.750% 8/1
87157BAA1
452
450000
PRN
SOLE
14764
0
0
TRIPADVISOR INC
COM
896945201
10753
231547
SH
SOLE
450000
0
0
TWITTER INC
NOTE 1.000% 9/1
90184LAD4
2050
2000000
PRN
SOLE
5625268
0
0
UPLAND SOFTWARE INC
COM
91544A109
1680
35586
SH
SOLE
231547
0
0
VISA INC
COM CL A
92826C839
267
1460
SH
SOLE
2000000
0
0
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
865
60406
SH
SOLE
35586
0
0
WESTERN AST INFL LKD OPP & I
COM
95766R104
562
50000
SH
SOLE
1460
0
0
WYNN RESORTS LTD
COM
983134107
5057
36300
SH
SOLE
60406
0
0
YATRA ONLINE INC
ORD SHS
G98338109
244
54112
SH
SOLE
50000
0
0
ZILLOW GROUP INC
CL C CAP STK
98954M200
13542
273300
SH
SOLE
36300
0
0
ZILLOW GROUP INC
NOTE 1.500% 7/0
98954MAC5
1918
2000000
PRN
SOLE
54112
0
0