0001706164-21-000005.txt : 20210813 0001706164-21-000005.hdr.sgml : 20210813 20210813161704 ACCESSION NUMBER: 0001706164-21-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210813 DATE AS OF CHANGE: 20210813 EFFECTIVENESS DATE: 20210813 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: 211172375 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 06-30-2021 06-30-2021 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 08-13-2021 0 88 427168 false INFORMATION TABLE 2 PENDER13F2Q2021.xml ACCELERATE DIAGNOSTICS INC NOTE 2.500% 3/1 00430HAB8 7857 9560000 PRN SOLE 9560000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2502 8900 SH SOLE 8900 0 0 AVIAT NETWORKS INC COM 05366Y201 10566 260109 SH SOLE 260109 0 0 BAIDU INC SPON ADR REP A 056752108 15400 60930 SH SOLE 60930 0 0 BAUSCH HEALTH COS INC COM 071734107 7448 204725 SH SOLE 204725 0 0 BETTER CHOICE CO INC COM 08771Y303 148 27778 SH SOLE 27778 0 0 BRANDYWINEGBL GBL INCM OPP F COM 10537L104 1563 100000 SH SOLE 100000 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 3918 61950 SH SOLE 61950 0 0 BROOKFIELD PROPERTY PARTRS L UNIT LTD PARTN G16249107 641 27309 SH SOLE 27309 0 0 BURFORD CAP LTD ORD SHS G17977110 21503 1669570 SH SOLE 1669570 0 0 CANO HEALTH INC *W EXP 06/03/202 13781Y111 277 60498 SH SOLE 60498 0 0 CLOUDERA INC COM 18914U100 11371 578400 SH SOLE 578400 0 0 COLFAX CORP COM 194014106 813 14312 SH SOLE 14312 0 0 COLLIERS INTL GROUP INC SUB VTG SHS 194693107 514 3700 SH SOLE 3700 0 0 DECARBONIZATION PLUS ACQU II *W EXP 01/19/202 242794113 1 333 SH SOLE 333 0 0 DISCOVERY INC COM SER A 25470F104 6 160 SH SOLE 160 0 0 DISCOVERY INC COM SER C 25470F302 1351 37600 SH SOLE 37600 0 0 EAGLE BULK SHIPPING INC NOTE 5.000% 8/0 269442AB5 6212 3578000 PRN SOLE 3578000 0 0 EBIX INC COM 278715206 8653 205907 SH SOLE 205907 0 0 EGAIN CORP COM 28225C806 10077 708156 SH SOLE 708156 0 0 ENERGY FUELS INC *W EXP 09/20/202 292671179 882 200000 SH SOLE 200000 0 0 EROS STX GLOBAL CORPORATION SHS G3788M114 9 4800 SH SOLE 4800 0 0 ESM ACQUISITION CORPORATION *W EXP 02/02/202 G3195H112 0 233 SH SOLE 233 0 0 FIREEYE INC NOTE 0.875% 6/0 31816QAF8 4221 3000000 PRN SOLE 3000000 0 0 FIRSTSERVICE CORP COM 33767E202 532 2500 SH SOLE 2500 0 0 FLEXION THERAPEUTICS INC NOTE 3.375% 5/0 33938JAB2 10191 9000000 PRN SOLE 9000000 0 0 FLUOR CORP COM 343412102 4645 211700 SH SOLE 211700 0 0 FOLEY TRASIMENE ACQUISTN COR *W EXP 05/26/202 34431F112 150 58032 SH SOLE 58032 0 0 FTS INTERNATIONAL INC COM NEW CL A 30283W302 7786 222032 SH SOLE 222032 0 0 HANESBRANDS INC COM 410345102 1065 46000 SH SOLE 46000 0 0 HOWARD HUGHES CORP COM 44267D107 7398 61237 SH SOLE 61237 0 0 HUT 8 MNG CORP COM COM 44812T102 177 33000 SH SOLE 33000 0 0 IAC INTERACTIVECORP COM 44891N208 6639 34740 SH SOLE 34740 0 0 INFINERA CORP NOTE 2.125% 9/0 45667GAC7 1733 1134000 PRN SOLE 1134000 0 0 INFINERA CORP NOTE 2.500% 3/0 45667GAE3 1898 1000000 PRN SOLE 1000000 0 0 INTERACTIVE BROKERS GROUP IN COM CL A 45841N107 10918 134000 SH SOLE 134000 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 2.000% 5/1 45845PAB4 5424 6500000 PRN SOLE 6500000 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 10735 9605000 PRN SOLE 9605000 0 0 INTREXON CORP NOTE 3.500% 7/0 46122TAA0 10799 10000000 PRN SOLE 10000000 0 0 JAWS HURRICANE ACQUISITN COR UNIT 06/08/2026 47201B202 125 10000 SH SOLE 10000 0 0 JAWS MUSTANG ACQUISITION COR *W EXP 01/30/202 G50737124 0 250 SH SOLE 250 0 0 JAWS SPITFIRE ACQUISITION CO *W EXP 12/01/202 G50740110 12 5000 SH SOLE 5000 0 0 JD.COM INC SPON ADR CL A 47215P106 9706 98105 SH SOLE 98105 0 0 KALEYRA INC COM 483379103 2107 138900 SH SOLE 138900 0 0 KARYOPHARM THERAPEUTICS INC NOTE 3.000%10/1 48576UAA4 3754 3000000 PRN SOLE 3000000 0 0 KENNEDY-WILSON HOLDINGS INC COM 489398107 1123 45600 SH SOLE 45600 0 0 KKR & CO INC COM 48251W104 12998 177008 SH SOLE 177008 0 0 LEAD EDGE GROWTH OPRTUNTS LT *W EXP 04/01/202 G54085116 4 2500 SH SOLE 2500 0 0 LEAD EDGE GROWTH OPRTUNTS LT COM G54085108 121 10000 SH SOLE 10000 0 0 LENDINGTREE INC NOTE 0.625% 6/0 52603BAA5 1470 1000000 PRN SOLE 1000000 0 0 LIBERTY LATIN AMERICA LTD COM CL A G9001E102 5119 297961 SH SOLE 297961 0 0 LIBERTY LATIN AMERICA LTD COM CL C G9001E128 5005 286361 SH SOLE 286361 0 0 LUX HEALTH TECH ACQUISITION *W EXP 11/30/202 55068A118 54 32999 SH SOLE 32999 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 12303 247801 SH SOLE 247801 0 0 MICROSTRATEGY INC CL A NEW 594972408 2636 3200 SH SOLE 3200 0 0 NORTHROP GRUMMAN CORP COM 666807102 1784 3960 SH SOLE 3960 0 0 OAKTREE ACQUISITION CORP II CL A SHS G6715X103 3 250 SH SOLE 250 0 0 ONE EQUITY PARTNERS OPEN WTR *W EXP 01/14/202 68237L113 2 1666 SH SOLE 1666 0 0 OPKO HEALTH INC NOTE 4.500% 2/1 68375NAD5 9871 6000000 PRN SOLE 6000000 0 0 PAR TECHNOLOGY CORP COM 698884103 12179 140481 SH SOLE 140481 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 24611 21060000 PRN SOLE 21060000 0 0 PERSHING SQUARE TONTINE HLDG *W EXP 07/24/202 71531R117 81 10332 SH SOLE 10332 0 0 PRIMAVERA CAPITAL ACQUIST CO *W EXP 01/19/202 G7255E117 3 2500 SH SOLE 2500 0 0 REINVENT TECHNOLOGY PARTNERS CL A G7483N129 6 500 SH SOLE 500 0 0 RENREN INC SPONSORED ADS 759892300 7 500 SH SOLE 500 0 0 SCIENCE STRATEGIC ACQ ALPHA *W EXP 01/20/202 808641112 2 1666 SH SOLE 1666 0 0 SHARPSPRING INC COM 820054104 8285 395702 SH SOLE 395702 0 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 1 50 SH SOLE 50 0 0 SHIP FIN INTL LTD NOTE 4.875% 5/0 824689AG8 10373 8656000 PRN SOLE 8656000 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G8251L113 127 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 SHS CL A G8251L105 2002 158300 SH SOLE 158300 0 0 SOFI TECHNOLOGIES INC *W EXP 05/28/202 83406F110 513 48600 SH SOLE 48600 0 0 SPARTAN ACQUISITION CORP III *W EXP 02/04/202 84677R114 0 250 SH SOLE 250 0 0 SQUARE INC CL A 852234103 10457 34600 SH SOLE 34600 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 12465 139550 SH SOLE 139550 0 0 SSR MNG INC NOTE 2.500% 4/0 784730AB9 9472 6250000 PRN SOLE 6250000 0 0 STARWOOD PPTY TR INC COM 85571B105 1247 38450 SH SOLE 38450 0 0 STITCH FIX INC COM CL A 860897107 15451 206705 SH SOLE 206705 0 0 SWK HLDGS CORP COM 78501P203 7 300 SH SOLE 300 0 0 TEXAS PACIFIC LAND CORPORATI COM 88262P102 8497 4285 SH SOLE 4285 0 0 THIMBLE POINT ACQUISITION CO *W EXP 02/04/202 88408P115 1 333 SH SOLE 333 0 0 TREBIA ACQUISITION CORP COM CL A G9027T109 3 250 SH SOLE 250 0 0 TRICIDA INC NOTE 3.500% 5/1 89610FAB7 13414 28408000 PRN SOLE 28408000 0 0 TWITTER INC COM 90184L102 5391 63200 SH SOLE 63200 0 0 UNIVERSAL TECHNICAL INST INC COM 913915104 9461 1175976 SH SOLE 1175976 0 0 VIMEO INC COMMON STOCK 92719V100 3426 56398 SH SOLE 56398 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 15462 102054 SH SOLE 102054 0 0