CFO, CCO

0001706164-23-000001.txt : 20230210 0001706164-23-000001.hdr.sgml : 20230210 20230210133933 ACCESSION NUMBER: 0001706164-23-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230210 DATE AS OF CHANGE: 20230210 EFFECTIVENESS DATE: 20230210 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: 23610232 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 X0202 13F-HR LIVE false true false 0001706164 XXXXXXXX 12-31-2022 12-31-2022 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 02-10-2023 0 140 335435 false INFORMATION TABLE 2 PENDER13F4Q2022.xml 1LIFE HEALTHCARE INC COM 68269G107 563 24900 SH SOLE 24900 0 0 ABRDN ASIA PACIFIC INCOME FU COM 003009107 7692 2160000 SH SOLE 2160000 0 0 ACCELERATE DIAGNOSTICS INC NOTE 2.500% 3/1 00430HAB8 2413 1910000 PRN SOLE 1910000 0 0 AEROJET ROCKETDYNE HLDGS INC COM 007800105 182 2400 SH SOLE 2400 0 0 AFFIRM HLDGS INC NOTE 11/1 ADDED 00827BAB2 1127 1500000 PRN SOLE 1500000 0 0 AGROFRESH SOLUTIONS INC COM 00856G109 360 89800 SH SOLE 89800 0 0 ALTC ACQUISITION CORP COM CL A 02156V109 85 6346 SH SOLE 6346 0 0 ALTITUDE ACQUISITION CORP COM CL A 02156Y103 551 41000 SH SOLE 41000 0 0 ALTRA INDL MOTION CORP COM 02208R106 259 3200 SH SOLE 3200 0 0 ANTERIX INC COM 03676C100 5510 126500 SH SOLE 126500 0 0 APOLLO STRATEGIC GRWT CPTL I SHS CL A G0412A102 118 8700 SH SOLE 8700 0 0 ARES ACQUISITION CORPORATION COM CL A G33032106 87 6400 SH SOLE 6400 0 0 ARISZ ACQUISITION CORP COMMON STOCK 040450108 274 20390 SH SOLE 20390 0 0 ATLAS AIR WORLDWIDE HLDGS IN COM NEW 049164205 959 7030 SH SOLE 7030 0 0 ATLAS CORP SHARES Y0436Q109 371 17840 SH SOLE 17840 0 0 AVEO PHARMACEUTICALS INC COM NEW 053588307 563 27800 SH SOLE 27800 0 0 AVIAT NETWORKS INC COM NEW 05366Y201 5470 129524 SH SOLE 129524 0 0 B RILEY PRIN 250 MERGER CORP CLASS A COM 05602L104 119 8840 SH SOLE 8840 0 0 BAIDU INC SPON ADR REP A 056752108 5510 35580 SH SOLE 35580 0 0 BANDWIDTH INC NOTE 0.250% 3/0 05988JAB9 4114 4000000 PRN SOLE 4000000 0 0 BANDWIDTH INC NOTE 0.500% 4/0 05988JAD5 9431 11000000 PRN SOLE 11000000 0 0 BANNIX ACQUISITION CORP COM 066644105 224 16300 SH SOLE 16300 0 0 BENEFITFOCUS INC COM 08180D106 260 18350 SH SOLE 18350 0 0 BEYOND MEAT INC NOTE 3/1 08862EAB5 2849 8000000 PRN SOLE 8000000 0 0 BLACK KNIGHT INC COM 09215C105 514 6150 SH SOLE 6150 0 0 BLOCK INC CL A 852234103 2308 27130 SH SOLE 27130 0 0 BROAD CAPITAL ACQUISITION CO COM 11125B102 224 16173 SH SOLE 16173 0 0 BROOKFIELD ASSET MANAGMT LTD CL A LMT VTG SHS ADDED 113004105 458 11824 SH SOLE 11824 0 0 BROOKFIELD CORP CL A LTD VT SH ADDED 11271J107 2014 47300 SH SOLE 47300 0 0 BURFORD CAP LTD ORD SHS G17977110 9133 827772 SH SOLE 827772 0 0 CANO HEALTH INC *W EXP 06/03/202 13781Y111 16 53598 SH SOLE 53598 0 0 CHURCHILL CAPITAL CORP VI COM CL A 17143W101 720 53170 SH SOLE 53170 0 0 CHURCHILL CAPITAL CORP VII COM CL A 17144M102 853 63206 SH SOLE 63206 0 0 COINBASE GLOBAL INC COM CL A 19260Q107 139 2900 SH SOLE 2900 0 0 COLLIERS INTL GROUP INC SUB VTG SHS 194693107 1399 11250 SH SOLE 11250 0 0 COUPA SOFTWARE INC COM 22266L106 525 4900 SH SOLE 4900 0 0 DOCEBO INC COM 25609L105 5271 117820 SH SOLE 117820 0 0 D-WAVE QUANTUM INC COM 26740W109 1458 747838 SH SOLE 747838 0 0 EDIFY ACQUISITION CORP CL A 28059Q103 69 5013 SH SOLE 5013 0 0 EGAIN CORP COM NEW 28225C806 4952 405056 SH SOLE 405056 0 0 ELEVATE CREDIT INC COM 28621V101 257 108600 SH SOLE 108600 0 0 ELLIOTT OPPORTUNITY II CORP SHS CL A G30092103 87 6399 SH SOLE 6399 0 0 ESPERION THERAPEUTICS INC NE NOTE 4.000%11/1 29664WAB1 15872 21104000 PRN SOLE 21104000 0 0 EVENTBRITE INC NOTE 0.750% 9/1 29975EAD1 11801 12500000 PRN SOLE 12500000 0 0 EVENTBRITE INC NOTE 5.000%12/0 29975EAB5 3761 3000000 PRN SOLE 3000000 0 0 EVO PMTS INC CL A COM 26927E104 545 11900 SH SOLE 11900 0 0 FIRST EAGLE ALTR CAP BDC INC COM 26943B100 299 51850 SH SOLE 51850 0 0 FIRST HORIZON CORPORATION COM 320517105 521 15700 SH SOLE 15700 0 0 FIRST LT ACQUISITION GROUP I CL A 320703101 731 53100 SH SOLE 53100 0 0 FIRST MAJESTIC SILVER CORP NOTE 0.375% 1/1 ADDED 32076VAD5 14395 12500000 PRN SOLE 12500000 0 0 FORGEROCK INC CL A 34631B101 749 24300 SH SOLE 24300 0 0 FORTRESS CAPITAL ACQUISITION SHS CL A G36427105 304 22255 SH SOLE 22255 0 0 FORUM ENERGY TECHNOLOGIES IN NOTE 9.000% 8/0 34984VAC4 25249 16998134 PRN SOLE 16998134 0 0 F-STAR THERAPEUTICS INC COM 30315R107 195 22760 SH SOLE 22760 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 121 8810 SH SOLE 8810 0 0 FUSION ACQUISITION CORP II COM CL A 36118N102 120 8820 SH SOLE 8820 0 0 GOLDEN ARROW MERGER CORP CLASS A COM 380799106 264 19450 SH SOLE 19450 0 0 GULFPORT ENERGY CORP COMMON SHARES 402635502 50 500 SH SOLE 500 0 0 HEALTH SCIENCES ACQ CORP 2 ORD SHS G4411D109 748 55300 SH SOLE 55300 0 0 HOWARD HUGHES CORP COM 44267D107 3397 32834 SH SOLE 32834 0 0 IAC INC COM NEW 44891N208 1725 28700 SH SOLE 28700 0 0 IMAGO BIOSCIENCES INC COM 45250K107 453 9300 SH SOLE 9300 0 0 INDEPENDENCE HOLDINGS CORP CLASS A ORD SHS G4761A101 120 8816 SH SOLE 8816 0 0 INTERACTIVE BROKERS GROUP IN COM CL A 45841N107 5287 53968 SH SOLE 53968 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 2.000% 5/1 45845PAB4 12029 11795000 PRN SOLE 11795000 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 108 7900 SH SOLE 7900 0 0 JD.COM INC SPON ADR CL A 47215P106 4358 57345 SH SOLE 57345 0 0 KENNEDY-WILSON HOLDINGS INC COM 489398107 1298 60940 SH SOLE 60940 0 0 KENSINGTON CAPITAL ACQUISITI SHS CL A G5251K103 502 36400 SH SOLE 36400 0 0 KHOSLA VENTURES ACQUT CO III COM CL A 482506102 117 8680 SH SOLE 8680 0 0 KKR & CO INC COM 48251W104 7875 125290 SH SOLE 125290 0 0 KNOWBE4 INC CL A 49926T104 186 5550 SH SOLE 5550 0 0 LANVIN GROUP HOLDINGS LIMITE *W EXP 99/99/999 ADDED G5380J118 0 2500 SH SOLE 2500 0 0 LAZARD GROWTH ACQUISITION CO CL A ORD SHS G54035103 121 8810 SH SOLE 8810 0 0 LEAD EDGE GROWTH OPRTUNTS LT *W EXP 04/01/202 G54085116 0 2500 SH SOLE 2500 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 909 8820 SH SOLE 8820 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 35 2800 SH SOLE 2800 0 0 MASON INDUSTRIAL TECHNOLGY I COM CL A 57520Y106 341 25180 SH SOLE 25180 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 9430 134720 SH SOLE 134720 0 0 MAXEON SOLAR TECHNOLOGIES LT NOTE 6.500% 7/1 57779BAB0 1508 990000 PRN SOLE 990000 0 0 MERIDIAN BIOSCIENCE INC COM 589584101 785 17450 SH SOLE 17450 0 0 MICROCHIP TECHNOLOGY INC. COM 595017104 1257 13220 SH SOLE 13220 0 0 MONEYGRAM INTL INC COM NEW 60935Y208 1035 70200 SH SOLE 70200 0 0 MORGAN STANLEY EMERGING MKTS COM 617477104 3944 661935 SH SOLE 661935 0 0 MOUNTAIN CREST ACQSITN CORP COM 62404B107 1128 83200 SH SOLE 83200 0 0 MSD ACQUISITION CORP CLASS A ORD SHS G5709C109 86 6300 SH SOLE 6300 0 0 MYOVANT SCIENCES LTD COM G637AM102 193 5300 SH SOLE 5300 0 0 NEXGEN ENERGY LTD COM 65340P106 66 11300 SH SOLE 11300 0 0 NORTH AMERN CONSTR GROUP LTD COM 656811106 812 44910 SH SOLE 44910 0 0 NORTHROP GRUMMAN CORP COM 666807102 1212 1640 SH SOLE 1640 0 0 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 4907 300000 SH SOLE 300000 0 0 O2MICRO INTERNATIONAL LIMITE SPONS ADR 67107W100 293 48400 SH SOLE 48400 0 0 OPKO HEALTH INC NOTE 4.500% 2/1 68375NAD5 16880 14000000 PRN SOLE 14000000 0 0 PAR TECHNOLOGY CORP COM 698884103 8115 229881 SH SOLE 229881 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 18638 15510000 PRN SOLE 15510000 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 3624 337090 SH SOLE 337090 0 0 PONTEM CORPORATION SHS CL A G71707106 40 2900 SH SOLE 2900 0 0 POSHMARK INC COM CL A 73739W104 279 11540 SH SOLE 11540 0 0 PROFESSIONAL HLDG CORP CL A COM 743139107 446 11870 SH SOLE 11870 0 0 QUMU CORP COM 749063103 183 151046 SH SOLE 151046 0 0 RMG ACQUISITION CORP III CL A SHS G76088106 58 4255 SH SOLE 4255 0 0 SANGOMA TECHNOLOGIES CORP COM NEW 80100R408 15136 2383607 SH SOLE 2383607 0 0 SEASPINE HLDGS CORP COM 81255T108 693 61260 SH SOLE 61260 0 0 SEMLER SCIENTIFIC INC COM 81684M104 375 8400 SH SOLE 8400 0 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 3161 81020 SH SOLE 81020 0 0 SHOCKWAVE MED INC COM 82489T104 45 160 SH SOLE 160 0 0 SIERRA WIRELESS INC COM 826516106 889 22650 SH SOLE 22650 0 0 SLAM CORP CL A SHS G8210L105 120 8810 SH SOLE 8810 0 0 SNAP INC NOTE 0.750% 8/0 83304AAB2 1156 1000000 PRN SOLE 1000000 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 118 8680 SH SOLE 8680 0 0 SOCIAL CAP SUVRETTA HLDS C RP CLASS A ORD SHS G8253U103 118 8680 SH SOLE 8680 0 0 SOUTH JERSEY INDS INC COM 838518108 198 4120 SH SOLE 4120 0 0 SPIRIT AIRLS INC COM 848577102 417 15800 SH SOLE 15800 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 243 10000 SH SOLE 10000 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 6371 90380 SH SOLE 90380 0 0 SSR MNG INC NOTE 2.500% 4/0 784730AB9 6114 4000000 PRN SOLE 4000000 0 0 STARBUCKS CORP COM 855244109 1490 11090 SH SOLE 11090 0 0 STARWOOD PPTY TR INC COM 85571B105 1176 47400 SH SOLE 47400 0 0 STITCH FIX INC COM CL A 860897107 175 41580 SH SOLE 41580 0 0 STORE CAP CORP COM 862121100 966 22250 SH SOLE 22250 0 0 TABULA RASA HEALTHCARE INC NOTE 1.750% 2/1 873379AA9 1910 1789000 PRN SOLE 1789000 0 0 TEGNA INC COM 87901J105 542 18900 SH SOLE 18900 0 0 TEXAS PACIFIC LAND CORPORATI COM 88262P102 4529 1427 SH SOLE 1427 0 0 TRITIUM DCFC LIMITED *W EXP 01/13/202 Q9225T116 0 333 SH SOLE 333 0 0 UNIVERSAL TECHNICAL INST INC COM 913915104 3675 403862 SH SOLE 403862 0 0 USERTESTING INC COM 91734E101 709 69700 SH SOLE 69700 0 0 VECTOR ACQUISITION CORP II CL A SHS G9460A104 87 6346 SH SOLE 6346 0 0 VELO3D INC *W EXP 09/29/202 92259N112 1 5000 SH SOLE 5000 0 0 WARBURG PINCUS CAPTAL CORP I SHS CL A G9460M108 110 8040 SH SOLE 8040 0 0 WARBURG PINCUS CAPTAL CORP I SHS CL A G9461D107 88 6429 SH SOLE 6429 0 0 WARNER BROS DISCOVERY INC COM SER A 934423104 347 27000 SH SOLE 27000 0 0 WELSBACH TECH METALS ACQU CO COM 950415109 400 28931 SH SOLE 28931 0 0 WESTERN ASSET EMERGING MKTS COM 95766A101 5055 409810 SH SOLE 409810 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 252 21588 SH SOLE 21588 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 3507 283708 SH SOLE 283708 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 6266 143677 SH SOLE 143677 0 0