0001706164-19-000007.txt : 20191029 0001706164-19-000007.hdr.sgml : 20191029 20191029123607 ACCESSION NUMBER: 0001706164-19-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191029 DATE AS OF CHANGE: 20191029 EFFECTIVENESS DATE: 20191029 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: 191175552 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 09-30-2019 09-30-2019 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 10-29-2019 0 64 297251 false
INFORMATION TABLE 2 PENDER13F3Q2019.xml ABERDEEN ASIA PACIFIC IN COM 003009107 1734 410000 SH SOLE 410000 0 0 ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 1571 2000000 PRN SOLE 2000000 0 0 AVAYA HLDGS CORP NOTE 2.250% 6/1 ADDED 05351XAB7 17290 19700000 PRN SOLE 19700000 0 0 BAIDU INC SPON ADR REP A 056752108 7081 68541 SH SOLE 68541 0 0 BLACKBERRY LTD COM 09228F103 5670 856980 SH SOLE 856980 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 2525 180000 SH SOLE 180000 0 0 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 926 65000 SH SOLE 65000 0 0 BRAEMAR HOTELS & RESORTS INC 5.5 CUM CV PFD B 10482B200 1575 76866 SH SOLE 76866 0 0 BRANDYWINEGBL GLBAL INM OPRT COM 10537L104 1959 158948 SH SOLE 158948 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 474 6700 SH SOLE 6700 0 0 BROOKFIELD PROPERTY PARTRS L UNIT LTD PARTN COM G16249107 8705 346666 SH SOLE 346666 0 0 CARBONITE INC COM 141337105 12293 761200 SH SOLE 761200 0 0 CARBONITE INC NOTE 2.500% 4/0 141337AB1 11907 12500000 PRN SOLE 12500000 0 0 CHESAPEAKE ENERGY CORP NOTE 5.500% 9/1 165167CY1 693 500000 PRN SOLE 500000 0 0 CLOUDERA INC COM 18914U100 3889 432400 SH SOLE 432400 0 0 COLFAX CORP COM 194014106 1068 33617 SH SOLE 33617 0 0 COLONY CAP INC NEW CL A CL A COM 19626G108 4346 773374 SH SOLE 773374 0 0 DESPEGAR CORP ORD SHS G27358103 434 38100 SH SOLE 38100 0 0 EGAIN CORP NEW COM 28225C806 5948 794085 SH SOLE 794085 0 0 ELEMENT SOLUTIONS INC COM 28618M106 4221 401233 SH SOLE 401233 0 0 ENERGY FUELS INC *W EXP 09/20/202 292671179 149 200000 SH SOLE 200000 0 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 1198 100000 SH SOLE 100000 0 0 GLOBAL EAGLE ENTMT INC NOTE 2.750% 2/1 37951DAB8 2735 5750000 PRN SOLE 5750000 0 0 GOPRO INC NOTE 3.500% 4/1 38268TAB9 958 1000000 PRN SOLE 1000000 0 0 HANESBRANDS INC COM 410345102 4867 306611 SH SOLE 306611 0 0 HOWARD HUGHES CORP COM 44267D107 10640 96842 SH SOLE 96842 0 0 INFINERA CORPORATION NOTE 2.125% 9/0 45667GAC7 7100 8134000 PRN SOLE 8134000 0 0 JD INC SPON ADR CL A 47215P106 8957 288205 SH SOLE 288205 0 0 JUST ENERGY GROUP INC COM 48213W101 1108 353000 SH SOLE 353000 0 0 KENNEDY-WILSON HLDGS INC COM 489398107 3199 142958 SH SOLE 142958 0 0 KKR & CO INC CL A 48251W104 13355 472340 SH SOLE 472340 0 0 LEAF GROUP LTD COM 52177G102 4056 1240227 SH SOLE 1240227 0 0 LIBERTY LATIN AMERICA LTD COM CL A G9001E102 6408 340647 SH SOLE 340647 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 10462 1015756 SH SOLE 1015756 0 0 MIDDLEBY CORP COM 596278101 8016 66300 SH SOLE 66300 0 0 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 799 60000 SH SOLE 60000 0 0 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 2136 160000 SH SOLE 160000 0 0 NUVEEN PENNSYLVANIA QLT MUN COM 670972108 702 50000 SH SOLE 50000 0 0 NUVEEN QUALITY MUNCP IN E COM 67066V101 862 60000 SH SOLE 60000 0 0 PAR TECHNOLOGY CORP COM 698884103 3379 141000 SH SOLE 141000 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 9300 13060000 PRN SOLE 13060000 0 0 PIONEER FLOATING RATE TR COM 72369J102 1041 100000 SH SOLE 100000 0 0 PIXELWORKS INC NEW COM 72581M305 927 225000 SH SOLE 225000 0 0 POINTS INTL LTD NEW COM 730843208 3112 217457 SH SOLE 217457 0 0 SANDRIDGE ENERGY INC NEW COM 80007P869 4256 929156 SH SOLE 929156 0 0 SIERRA WIRELESS INC COM 826516106 10189 713039 SH SOLE 713039 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 12576 248250 SH SOLE 248250 0 0 STARBUCKS CORP COM 855244109 225 2700 SH SOLE 2700 0 0 STARWOOD PPTY TR INC COM 85571B105 241 9850 SH SOLE 9850 0 0 SUNPOWER CORP DBCV 0.875% 6/0 867652AJ8 9219 10042000 PRN SOLE 10042000 0 0 SUNPOWER CORP DBCV 4.000% 1/1 867652AL3 12366 13867000 PRN SOLE 13867000 0 0 SYNALLOY CP DEL COM 871565107 2434 165005 SH SOLE 165005 0 0 TASEKO MINES LTD COM 876511106 1903 3338319 SH SOLE 3338319 0 0 TRIPADVISOR INC COM 896945201 8191 208647 SH SOLE 208647 0 0 TUTOR PERINI CORP COM 901109108 338 20400 SH SOLE 20400 0 0 TUTOR PERINI CORP NOTE 2.875% 6/1 901109AD0 7760 8000000 PRN SOLE 8000000 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 5388 5500000 PRN SOLE 5500000 0 0 UPLAND SOFTWARE INC COM 91544A109 1345 35586 SH SOLE 35586 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 838 60406 SH SOLE 60406 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 556 50000 SH SOLE 50000 0 0 WYNN RESORTS LTD COM 983134107 5188 44400 SH SOLE 44400 0 0 YATRA ONLINE INC ORD SHS G98338109 214 54112 SH SOLE 54112 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 9443 283000 SH SOLE 283000 0 0 ZILLOW GROUP INC NOTE 1.500% 7/0 98954MAC5 4806 5380000 PRN SOLE 5380000 0 0