0001706164-21-000004.txt : 20210510 0001706164-21-000004.hdr.sgml : 20210510 20210510141321 ACCESSION NUMBER: 0001706164-21-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210510 DATE AS OF CHANGE: 20210510 EFFECTIVENESS DATE: 20210510 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: 21906272 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 03-31-2021 03-31-2021 PenderFund Capital Management Ltd.

SUITE 1830, 1066 W. HASTINGS STREET VANCOUVER A1 V6E 3X2

13F HOLDINGS REPORT 028-18272 N Gina Jones 236-521-2988 Gina Jones Vancouver A1 05-10-2021 0 92 411798 false INFORMATION TABLE 2 PENDER13F1Q2021.xml ACCELERATE DIAGNOSTICS INC NOTE 2.500% 3/1 00430HAB8 8851 10560000 PRN SOLE 10560000 0 0 ATLANTIC POWER CORP COM 04878Q863 3663 1008700 SH SOLE 1008700 0 0 AUSTERLITZ ACQUISITION CORP UNIT 99/99/9999 G0633D117 63 5000 SH SOLE 5000 0 0 AUSTERLITZ ACQUISITION CORP UNIT 99/99/9999 G0633U119 63 5000 SH SOLE 5000 0 0 AVAYA HLDGS CORP NOTE 2.250% 6/1 05351XAB7 5793 3700000 PRN SOLE 3700000 0 0 AVIAT NETWORKS INC COM 05366Y201 12464 139613 SH SOLE 139613 0 0 BAIDU INC SPON ADR REP A 056752108 13541 49530 SH SOLE 49530 0 0 BAUSCH HEALTH COS INC COM 071734107 10471 262625 SH SOLE 262625 0 0 BRANDYWINEGBL GBL INCM OPP F COM 10537L104 1516 100000 SH SOLE 100000 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 4089 73150 SH SOLE 73150 0 0 BROOKFIELD PROPERTY PARTRS L UNIT LTD PARTN G16249107 1270 56809 SH SOLE 56809 0 0 BURFORD CAP LTD ORD SHS G17977110 20485 1811170 SH SOLE 1811170 0 0 CLOUDERA INC COM 18914U100 5636 368500 SH SOLE 368500 0 0 CLOVER HEALTH INVESTMENTS CO *W EXP 04/21/202 18914F111 113 56741 SH SOLE 56741 0 0 COLFAX CORP COM 194014106 788 14312 SH SOLE 14312 0 0 COLLIERS INTL GROUP INC SUB VTG SHS 194693107 259 2100 SH SOLE 2100 0 0 DECARBONIZATION PLUS ACQU II UNIT 01/19/2026 242794204 13 1000 SH SOLE 1000 0 0 EAGLE BULK SHIPPING INC NOTE 5.000% 8/0 269442AB5 11494 7900000 PRN SOLE 7900000 0 0 EBIX INC COM 278715206 8532 211957 SH SOLE 211957 0 0 EGAIN CORP COM 28225C806 6017 504500 SH SOLE 504500 0 0 ENERGY FUELS INC *W EXP 09/20/202 292671179 732 200000 SH SOLE 200000 0 0 EROS STX GLOBAL CORPORATION SHS SHS G3788M114 7 3100 SH SOLE 3100 0 0 ESM ACQUISITION CORPORATION UNIT 99/99/9999 G3195H120 62 5000 SH SOLE 5000 0 0 FIREEYE INC NOTE 0.875% 6/0 31816QAF8 12829 9000000 PRN SOLE 9000000 0 0 FIRST MAJESTIC SILVER CORP NOTE 1.875% 3/0 32076VAB9 2067 1000000 PRN SOLE 1000000 0 0 FIRSTSERVICE CORP COM 33767E202 392 2100 SH SOLE 2100 0 0 FLEXION THERAPEUTICS INC NOTE 3.375% 5/0 33938JAB2 7015 6000000 PRN SOLE 6000000 0 0 FLUOR CORP COM 343412102 6143 211700 SH SOLE 211700 0 0 FOLEY TRASIMENE ACQUISTN COR *W EXP 05/26/202 34431F112 117 58032 SH SOLE 58032 0 0 FRONTIER ACQUISITION CORP UNIT 03/01/2026 G36826116 125 10000 SH SOLE 10000 0 0 FTS INTERNATIONAL INC COM NEW CL A 30283W302 6903 222032 SH SOLE 222032 0 0 GORES TECHNOLOGY PARTNERS II UNIT 03/16/2028 38287L206 13 1000 SH SOLE 1000 0 0 GRANITE CONSTR INC NOTE 2.750%11/0 387328AB3 9573 5425000 PRN SOLE 5425000 0 0 HANESBRANDS INC COM 410345102 1137 46000 SH SOLE 46000 0 0 HOWARD HUGHES CORP COM 44267D107 7751 64837 SH SOLE 64837 0 0 IAC INTERACTIVECORP COM 44891N109 9879 36340 SH SOLE 36340 0 0 INFINERA CORP NOTE 2.125% 9/0 45667GAC7 3197 2134000 PRN SOLE 2134000 0 0 INTERACTIVE BROKERS GROUP IN COM CL A 45841N107 12814 139600 SH SOLE 139600 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 2.000% 5/1 45845PAB4 5420 6500000 PRN SOLE 6500000 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 9986 9605000 PRN SOLE 9605000 0 0 INVESCO SR INCOME TR COM 46131H107 1583 300000 SH SOLE 300000 0 0 JAWS ACQUISITION CORP *W EXP 99/99/999 G50744112 242 60498 SH SOLE 60498 0 0 JAWS MUSTANG ACQUISITION COR UNIT 99/99/9999 G50737116 13 1000 SH SOLE 1000 0 0 JAWS SPITFIRE ACQUISITION CO *W EXP 12/01/202 G50740110 12 5000 SH SOLE 5000 0 0 JAWS SPITFIRE ACQUISITION CO SHS CL A G50740102 258 20000 SH SOLE 20000 0 0 JD.COM INC SPON ADR CL A 47215P106 10927 103105 SH SOLE 103105 0 0 KENNEDY-WILSON HOLDINGS INC COM 489398107 1158 45600 SH SOLE 45600 0 0 KISMET ACQUISITION THREE COR UNIT 99/99/9999 G5276C128 62 5000 SH SOLE 5000 0 0 KISMET ACQUISITION TWO CORP UNIT 99/99/9999 G52807123 12 1000 SH SOLE 1000 0 0 KKR & CO INC COM 48251W104 11272 183608 SH SOLE 183608 0 0 L CATTERTON ASIA ACQUISITION UNIT 03/11/2026 G5346G109 250 20000 SH SOLE 20000 0 0 LEAD EDGE GROWTH OPRTUNTS LT UNIT 04/01/2026 G54085124 125 10000 SH SOLE 10000 0 0 LEAF GROUP LTD COM 52177G102 4823 595039 SH SOLE 595039 0 0 LIBERTY LATIN AMERICA LTD COM CL A G9001E102 6213 385361 SH SOLE 385361 0 0 LIBERTY LATIN AMERICA LTD COM CL C G9001E128 5050 309561 SH SOLE 309561 0 0 LUX HEALTH TECH ACQUISITION *W EXP 11/30/202 55068A118 62 32999 SH SOLE 32999 0 0 LUX HEALTH TECH ACQUISITION COM CL A 55068A100 40 3109 SH SOLE 3109 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 4836 101761 SH SOLE 101761 0 0 MICROSTRATEGY INC CL A 594972408 2474 2900 SH SOLE 2900 0 0 NORTHROP GRUMMAN CORP COM SHS CL A 666807102 1611 3960 SH SOLE 3960 0 0 ONE EQUITY PARTNERS OPEN WTR *W EXP 01/14/202 68237L113 1 1666 SH SOLE 1666 0 0 ONE EQUITY PARTNERS OPEN WTR CL A 68237L105 61 5000 SH SOLE 5000 0 0 OPENDOOR TECHNOLOGIES INC *W EXP 12/18/202 683712111 565 44002 SH SOLE 44002 0 0 OPKO HEALTH INC NOTE 4.500% 2/1 68375NAD5 3384 2000000 PRN SOLE 2000000 0 0 ORION ACQUISITION CORP UNIT 02/19/2026 68626A207 63 5000 SH SOLE 5000 0 0 PAR TECHNOLOGY CORP COM 698884103 8876 107981 SH SOLE 107981 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 23311 20060000 PRN SOLE 20060000 0 0 PERSHING SQUARE TONTINE HLDG *W EXP 07/24/202 71531R117 106 10332 SH SOLE 10332 0 0 PRIMAVERA CAPITAL ACQUIST CO UNIT 01/19/2026 G7255E125 64 5000 SH SOLE 5000 0 0 SCIENCE STRATEGIC ACQ ALPHA UNIT 01/20/2026 808641203 62 5000 SH SOLE 5000 0 0 SCORPIO TANKERS INC NOTE 3.000% 5/1 80918TAB5 9324 7370000 PRN SOLE 7370000 0 0 SHARPSPRING INC COM 820054104 5582 277602 SH SOLE 277602 0 0 SHIP FIN INTL LTD NOTE 4.875% 5/0 824689AG8 10728 8656000 PRN SOLE 8656000 0 0 SILVER SPIKE ACQUISITN CORP UNIT 02/26/2026 G8201H121 125 10000 SH SOLE 10000 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G8251L113 164 49750 SH SOLE 49750 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G82514111 4 1250 SH SOLE 1250 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G8252P113 335 48600 SH SOLE 48600 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8251L105 2376 176500 SH SOLE 176500 0 0 SPARTAN ACQUISITION CORP III UNIT 99/99/9999 84677R205 13 1000 SH SOLE 1000 0 0 SQUARE INC CL A 852234103 7447 26100 SH SOLE 26100 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 14211 161850 SH SOLE 161850 0 0 SSR MNG INC NOTE 2.500% 4/0 784730AB9 9231 6250000 PRN SOLE 6250000 0 0 STARWOOD PPTY TR INC COM 85571B105 1195 38450 SH SOLE 38450 0 0 STITCH FIX INC COM CL A 860897107 8853 142205 SH SOLE 142205 0 0 TEXAS PACIFIC LAND CORPORATI COM 88262P102 12674 6345 SH SOLE 6345 0 0 THIMBLE POINT ACQUISITION CO UNIT 99/99/9999 88408P206 13 1000 SH SOLE 1000 0 0 TREBIA ACQUISITION CORP COM CL A G9027T109 3 250 SH SOLE 250 0 0 TURNING PT BRANDS INC COM 90041L105 2931 44700 SH SOLE 44700 0 0 TUTOR PERINI CORP NOTE 2.875% 6/1 901109AD0 1832 1425000 PRN SOLE 1425000 0 0 TWITTER INC COM 90184L102 5573 69700 SH SOLE 69700 0 0 UNIVERSAL TECHNICAL INST INC COM 913915104 9086 1237982 SH SOLE 1237982 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 11299 69354 SH SOLE 69354 0 0