CFO, CCO

0001706164-22-000003.txt : 20220815 0001706164-22-000003.hdr.sgml : 20220815 20220815123853 ACCESSION NUMBER: 0001706164-22-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220630 FILED AS OF DATE: 20220815 DATE AS OF CHANGE: 20220815 EFFECTIVENESS DATE: 20220815 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: 221164126 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 06-30-2022 06-30-2022 PenderFund Capital Management Ltd.

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

13F HOLDINGS REPORT 028-18272 N Gina Jones CFO, CCO 236-521-2988 Gina Jones Vancouver A1 08-15-2022 0 179 361688 false INFORMATION TABLE 2 PENDER13F2Q2022.xml 26 CAPITAL ACQUISITION CORP COM CL A 90138P100 81 6400 SH SOLE 6400 0 0 5 01 ACQUISITION CORP COM CL A 33836P105 42 3310 SH SOLE 3310 0 0 ACCELERATE ACQUISITION CORP COM CL A 00439D102 82 6500 SH SOLE 6500 0 0 ACCELERATE DIAGNOSTICS INC NOTE 2.500% 3/1 00430HAB8 4921 5560000 PRN SOLE 5560000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1551 10600 SH SOLE 10600 0 0 ALLEGHANY CORP MD COM 017175100 654 610 SH SOLE 610 0 0 ALTC ACQUISITION CORP COM CL A 02156V109 79 6346 SH SOLE 6346 0 0 ALTIMETER GROWTH CORP 2 COM CL A G0371B109 81 6400 SH SOLE 6400 0 0 AMERICAN CAMPUS CMNTYS INC COM 024835100 564 6800 SH SOLE 6800 0 0 ANTERIX INC COM 03676C100 6687 126500 SH SOLE 126500 0 0 APOLLO STRATEGIC GRWT CPTL I SHS CL A G0412A102 81 6400 SH SOLE 6400 0 0 ARES ACQUISITION CORPORATION COM CL A G33032106 81 6400 SH SOLE 6400 0 0 AUSTERLITZ ACQUISITION CORP COM CL A G0633U101 82 6500 SH SOLE 6500 0 0 AVANTI ACQUISITION CORP SHS CL A G0682V109 27 2100 SH SOLE 2100 0 0 AVIAT NETWORKS INC COM NEW 05366Y201 7223 224109 SH SOLE 224109 0 0 B RILEY PRIN 250 MERGER CORP CLASS A COM 05602L104 82 6500 SH SOLE 6500 0 0 BAIDU INC SPON ADR REP A 056752108 11029 57610 SH SOLE 57610 0 0 BEYOND MEAT INC NOTE 3/1 08862EAB5 6484 13000000 PRN SOLE 13000000 0 0 BLACK KNIGHT INC COM 09215C105 183 2180 SH SOLE 2180 0 0 BLOCK INC CL A 852234103 2332 29480 SH SOLE 29480 0 0 BLUEKNIGHT ENERGY PARTNERS L COM UNIT 09625U109 507 87200 SH SOLE 87200 0 0 BLUEROCK RESIDENTIAL GWT REI COM CL A 09627J102 795 23500 SH SOLE 23500 0 0 BLUESCAPE OPPORTUNITIES ACQU SHS G1195N105 17 1300 SH SOLE 1300 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 2044 35700 SH SOLE 35700 0 0 BURFORD CAP LTD ORD SHS G17977110 14661 1128830 SH SOLE 1128830 0 0 CANO HEALTH INC *W EXP 06/03/202 13781Y111 50 57198 SH SOLE 57198 0 0 CC NEUBERGER PRIN HLDGS II SHS CL A G3166T103 26 2000 SH SOLE 2000 0 0 CDK GLOBAL INC COM 12508E101 372 5270 SH SOLE 5270 0 0 CEDAR FAIR L P DEPOSITRY UNIT 150185106 34 600 SH SOLE 600 0 0 CEDAR REALTY TRUST INC COM NEW 150602605 274 7400 SH SOLE 7400 0 0 CF ACQUISITION CORP IV COM CL A 12520T102 90 7100 SH SOLE 7100 0 0 CHURCHILL CAPITAL CORP VI COM CL A 17143W101 81 6400 SH SOLE 6400 0 0 CHURCHILL CAPITAL CORP VII COM CL A 17144M102 81 6426 SH SOLE 6426 0 0 CITRIX SYS INC COM 177376100 625 5000 SH SOLE 5000 0 0 COHERENT INC COM 192479103 445 1300 SH SOLE 1300 0 0 COHN ROBBINS HOLDINGS CORP COM CL A G23726105 51 4000 SH SOLE 4000 0 0 COINBASE GLOBAL INC COM CL A 19260Q107 248 4100 SH SOLE 4100 0 0 COLLIERS INTL GROUP INC SUB VTG SHS 194693107 592 4200 SH SOLE 4200 0 0 COMPUTE HEALTH ACQUISITIN CO COM CL A 204833107 82 6500 SH SOLE 6500 0 0 CORNER GROWTH ACQUISITN CORP CLASS A ORD SHS G2426E104 239 18489 SH SOLE 18489 0 0 CORNERSTONE BLDG BRANDS INC COM 21925D109 501 15880 SH SOLE 15880 0 0 CREDICORP LTD COM G2519Y108 22 140 SH SOLE 140 0 0 DOCEBO INC COM 25609L105 2218 60000 SH SOLE 60000 0 0 E MERGE TECHNOLOGY ACQUISITI COM CL A 26873Y104 127 9874 SH SOLE 9874 0 0 EBIX INC COM NEW 278715206 2161 99353 SH SOLE 99353 0 0 EGAIN CORP COM NEW 28225C806 6420 511519 SH SOLE 511519 0 0 ELLIOTT OPPORTUNITY II CORP SHS CL A G30092103 80 6399 SH SOLE 6399 0 0 ESPERION THERAPEUTICS INC NE NOTE 4.000%11/1 29664WAB1 21367 29679000 PRN SOLE 29679000 0 0 EXTERRAN CORP COM 30227H106 541 97800 SH SOLE 97800 0 0 FIRSTSERVICE CORP NEW COM 33767E202 515 3300 SH SOLE 3300 0 0 FLAGSTAR BANCORP INC COM PAR .001 337930705 379 8300 SH SOLE 8300 0 0 FORTRESS CAPITAL ACQUISITION SHS CL A G36427105 4 335 SH SOLE 335 0 0 FORTRESS VALUE ACQUISI CORP COM CL A 34964K108 80 6400 SH SOLE 6400 0 0 FORUM ENERGY TECHNOLOGIES IN NOTE 9.000% 8/0 34984VAC4 21347 17123134 PRN SOLE 17123134 0 0 F-STAR THERAPEUTICS INC COM 30315R107 185 22950 SH SOLE 22950 0 0 FTAC EMERALD ACQUISITION COR CLASS A COM 29103K100 2 135 SH SOLE 135 0 0 FTAC HERA ACQUISITION CORP CLASS A ORD SHS G3728Y103 82 6500 SH SOLE 6500 0 0 FUSION ACQUISITION CORP II COM CL A 36118N102 82 6500 SH SOLE 6500 0 0 GO ACQUISITION CORP COM 362019101 307 23875 SH SOLE 23875 0 0 GTY TECHNOLOGY HOLDINGS INC COM 362409104 644 79980 SH SOLE 79980 0 0 GULFPORT ENERGY CORP COMMON SHARES 402635502 51 500 SH SOLE 500 0 0 HAMILTON LANE ALLIANCE HLDGS COM CL A 40749M103 82 6500 SH SOLE 6500 0 0 HEALTH ASSURN ACQUISITION CO COM CL A 42226W109 75 5880 SH SOLE 5880 0 0 HEALTHCARE TR AMER INC CL A NEW 42225P501 208 5800 SH SOLE 5800 0 0 HEMISPHERE MEDIA GROUP INC CL A 42365Q103 626 63710 SH SOLE 63710 0 0 HIGHLAND TRANSCEND PARTNERS COM CL A G44690108 49 3900 SH SOLE 3900 0 0 HOEGH LNG PARTNERS LP COM UNIT LTD Y3262R100 189 16300 SH SOLE 16300 0 0 HOWARD HUGHES CORP COM 44267D107 3438 39252 SH SOLE 39252 0 0 HUDSON EXECUTIVE INVES III COM CL A 44376L107 82 6500 SH SOLE 6500 0 0 HUDSON EXECUTIVE INVS CORP I COM CL A 443760103 82 6500 SH SOLE 6500 0 0 IAC INTERACTIVECORP NEW COM NEW 44891N208 3073 31430 SH SOLE 31430 0 0 INDEPENDENCE HOLDINGS CORP CLASS A ORD SHS G4761A101 82 6506 SH SOLE 6506 0 0 INTERACTIVE BROKERS GROUP IN COM CL A 45841N107 7078 99960 SH SOLE 99960 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 2.000% 5/1 45845PAB4 10081 11795000 PRN SOLE 11795000 0 0 INVESCO INDIA EXCHANGE-TRADE INDIA ETF 46137R109 53 1800 SH SOLE 1800 0 0 ISHARES TR MSCI INDIA ETF 46429B598 53 1050 SH SOLE 1050 0 0 JAWS HURRICANE ACQUISITN COR *W EXP 03/26/202 47201B111 1 2500 SH SOLE 2500 0 0 JAWS MUSTANG ACQUISITION COR *W EXP 01/30/202 G50737124 0 250 SH SOLE 250 0 0 JAWS MUSTANG ACQUISITION COR SHS CL A G50737108 81 6400 SH SOLE 6400 0 0 JD.COM INC SPON ADR CL A 47215P106 7583 91735 SH SOLE 91735 0 0 KENNEDY-WILSON HOLDINGS INC COM 489398107 1061 43500 SH SOLE 43500 0 0 KHOSLA VENTURES ACQUT CO III COM CL A 482506102 80 6400 SH SOLE 6400 0 0 KKR & CO INC COM 48251W104 7795 130828 SH SOLE 130828 0 0 KKR ACQUISITION HOLDING I CO COM CLASS A 48253T109 82 6500 SH SOLE 6500 0 0 KOHLS CORP COM 500255104 41 900 SH SOLE 900 0 0 LANDCADIA HOLDINGS IV INC CLASS A COM 51477A104 82 6500 SH SOLE 6500 0 0 LAZARD GROWTH ACQUISITION CO CL A ORD SHS G54035103 82 6500 SH SOLE 6500 0 0 LEAD EDGE GROWTH OPRTUNTS LT *W EXP 04/01/202 G54085116 1 2500 SH SOLE 2500 0 0 LUX HEALTH TECH ACQUISITION *W EXP 11/30/202 55068A118 6 32999 SH SOLE 32999 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 52 2800 SH SOLE 2800 0 0 MARAVAI LIFESCIENCES HLDGS I COM CL A 56600D107 44 1200 SH SOLE 1200 0 0 MASON INDUSTRIAL TECHNOLGY I COM CL A 57520Y106 82 6500 SH SOLE 6500 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 9650 288331 SH SOLE 288331 0 0 MAXEON SOLAR TECHNOLOGIES LT NOTE 6.500% 7/1 57779BAB0 1017 740000 PRN SOLE 740000 0 0 MERITOR INC COM 59001K100 491 10500 SH SOLE 10500 0 0 METROMILE INC COM 591697107 312 264100 SH SOLE 264100 0 0 MICROSTRATEGY INC CL A NEW 594972408 571 2700 SH SOLE 2700 0 0 MONEYGRAM INTL INC COM NEW 60935Y208 541 42000 SH SOLE 42000 0 0 MORGAN STANLEY EMERGING MKTS COM 617477104 289 50000 SH SOLE 50000 0 0 MSD ACQUISITION CORP CLASS A ORD SHS G5709C109 79 6300 SH SOLE 6300 0 0 NATERA INC COM 632307104 113 2478 SH SOLE 2478 0 0 NATIONAL SEC GROUP INC COM 637546102 279 13249 SH SOLE 13249 0 0 NATUS MED INC DEL COM 639050103 245 5800 SH SOLE 5800 0 0 NEOPHOTONICS CORP COM 64051T100 614 30300 SH SOLE 30300 0 0 NEXGEN ENERGY LTD COM 65340P106 52 11300 SH SOLE 11300 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 622 20800 SH SOLE 20800 0 0 NORTH AMERN CONSTR GROUP LTD COM 656811106 407 28770 SH SOLE 28770 0 0 NORTHROP GRUMMAN CORP COM 666807102 2162 3510 SH SOLE 3510 0 0 OCEAN BIO CHEM INC COM 674631106 218 13122 SH SOLE 13122 0 0 ONE EQUITY PARTNERS OPEN WTR *W EXP 01/14/202 68237L113 0 1666 SH SOLE 1666 0 0 OPKO HEALTH INC NOTE 4.500% 2/1 68375NAD5 13406 10000000 PRN SOLE 10000000 0 0 PAR TECHNOLOGY CORP COM 698884103 13458 278881 SH SOLE 278881 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 17925 15960000 PRN SOLE 15960000 0 0 PARTNERS BANCORP COM 70213Q108 159 13667 SH SOLE 13667 0 0 PEAR THERAPEUTICS INC *W EXP 12/03/202 704723113 0 333 SH SOLE 333 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 3515 297475 SH SOLE 297475 0 0 PERSHING SQUARE TONTINE HLDG *W EXP 07/24/202 71531R117 6 10332 SH SOLE 10332 0 0 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 734 28550 SH SOLE 28550 0 0 POINTS COM INC COM 73085G109 753 23420 SH SOLE 23420 0 0 PONTEM CORPORATION SHS CL A G71707106 27 2100 SH SOLE 2100 0 0 PRECIGEN INC NOTE 3.500% 7/0 46122TAA0 20939 20400000 PRN SOLE 20400000 0 0 PRIMAVERA CAPITAL ACQUIST CO *W EXP 01/19/202 G7255E117 1 2500 SH SOLE 2500 0 0 PRUDENTIAL BANCORP INC NEW COM 74431A101 446 22900 SH SOLE 22900 0 0 REVOLUTION HEALTHCAR AQ CORP CLASS A COM 76155Y108 81 6477 SH SOLE 6477 0 0 RIBBIT LEAP LTD SHS CL A G7552B105 98 7660 SH SOLE 7660 0 0 RMG ACQUISITION CORP III CL A SHS G76088106 40 3155 SH SOLE 3155 0 0 ROGERS CORP COM 775133101 472 1400 SH SOLE 1400 0 0 SAILPOINT TECHNOLOGIES HLDGS COM 78781P105 492 6100 SH SOLE 6100 0 0 SANGOMA TECHNOLOGIES CORP COM NEW 80100R408 17381 1597500 SH SOLE 1597500 0 0 SCIENCE STRATEGIC ACQ ALPHA *W EXP 01/20/202 808641112 0 1666 SH SOLE 1666 0 0 SCION TECH GROWTH I CL A SHS G31067104 81 6400 SH SOLE 6400 0 0 SEMLER SCIENTIFIC INC COM 81684M104 424 11700 SH SOLE 11700 0 0 SFL CORPORATION LTD NOTE 4.875% 5/0 824689AG8 11445 8656000 PRN SOLE 8656000 0 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 639 16840 SH SOLE 16840 0 0 SHOCKWAVE MED INC COM 82489T104 39 160 SH SOLE 160 0 0 SIERRA WIRELESS INC COM 826516106 6200 205629 SH SOLE 205629 0 0 SLAM CORP CL A SHS G8210L105 82 6500 SH SOLE 6500 0 0 SOCIAL CAP SUVRETTA HLD CRPI CLASS A ORD SHS G8253W109 91 7094 SH SOLE 7094 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 80 6400 SH SOLE 6400 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253T106 81 6400 SH SOLE 6400 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 80 6400 SH SOLE 6400 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G8251L113 30 48500 SH SOLE 48500 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8251L105 243 19000 SH SOLE 19000 0 0 SOCIEDAD QUIMICA Y MINERA DE SPON ADR SER B 833635105 41 380 SH SOLE 380 0 0 SOUTH JERSEY INDS INC COM 838518108 366 8320 SH SOLE 8320 0 0 SPIRIT AIRLS INC COM 848577102 203 6600 SH SOLE 6600 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 217 10000 SH SOLE 10000 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 7330 98060 SH SOLE 98060 0 0 STARBUCKS CORP COM 855244109 786 7990 SH SOLE 7990 0 0 STARWOOD PPTY TR INC COM 85571B105 886 32950 SH SOLE 32950 0 0 STEEL CONNECT INC COM 858098106 312 180720 SH SOLE 180720 0 0 STITCH FIX INC COM CL A 860897107 1112 174893 SH SOLE 174893 0 0 STONEMOR INC COM 86184W106 559 127000 SH SOLE 127000 0 0 SUNRUN INC NOTE 2/0 86771WAB1 16677 17870000 PRN SOLE 17870000 0 0 TABULA RASA HEALTHCARE INC NOTE 1.750% 2/1 873379AA9 3577 4000000 PRN SOLE 4000000 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 42 400 SH SOLE 400 0 0 TCW SPECIAL PURPOSE ACQU COR COM CL A 87301L106 490 39020 SH SOLE 39020 0 0 TENNECO INC CL A VTG COM STK 880349105 406 18400 SH SOLE 18400 0 0 TEXAS PACIFIC LAND CORPORATI COM 88262P102 8035 4195 SH SOLE 4195 0 0 THERAPEUTICSMD INC COM NEW ADDED 88338N206 313 24410 SH SOLE 24410 0 0 TRICIDA INC NOTE 3.500% 5/1 89610FAB7 12306 17908000 PRN SOLE 17908000 0 0 TRITIUM DCFC LIMITED *W EXP 01/13/202 Q9225T116 1 333 SH SOLE 333 0 0 TUFIN SOFTWARE TECHNOLOGIE SHS SHS M8893U102 365 22600 SH SOLE 22600 0 0 TURNING POINT THERAPEUTICS I COM 90041T108 502 5180 SH SOLE 5180 0 0 TWITTER INC COM 90184L102 184 3820 SH SOLE 3820 0 0 UNITI GROUP INC COM 91325V108 34 2800 SH SOLE 2800 0 0 UNIVERSAL TECHNICAL INST INC COM 913915104 5802 632154 SH SOLE 632154 0 0 US WELL SERVICES INC CL A NEW 91274U200 156 129072 SH SOLE 129072 0 0 VECTOR ACQUISITION CORP II CL A SHS G9460A104 80 6346 SH SOLE 6346 0 0 VELO3D INC *W EXP 12/01/202 92259N112 2 5000 SH SOLE 5000 0 0 VY GLOBAL GROWTH COM CL A G9444H100 304 23900 SH SOLE 23900 0 0 WARBURG PINCUS CAPTAL CORP I SHS CL A G9460M108 82 6500 SH SOLE 6500 0 0 WARBURG PINCUS CAPTAL CORP I SHS CL A G9461D107 81 6429 SH SOLE 6429 0 0 WARNER BROS DISCOVERY INC COM SER A ADDED 934423104 650 37600 SH SOLE 37600 0 0 WELBILT INC COM 949090104 242 7880 SH SOLE 7880 0 0 WESTERN ASSET EMERGING MKTS COM 95766A101 284 25000 SH SOLE 25000 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 259 20600 SH SOLE 20600 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 919 67799 SH SOLE 67799 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 7874 192660 SH SOLE 192660 0 0