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