CFO

0001706164-23-000003.txt : 20230811 0001706164-23-000003.hdr.sgml : 20230811 20230810190255 ACCESSION NUMBER: 0001706164-23-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230811 DATE AS OF CHANGE: 20230810 EFFECTIVENESS DATE: 20230811 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: 231161093 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 06-30-2023 06-30-2023 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 08-10-2023 0 114 321680 false INFORMATION TABLE 2 PENDER13F2Q2023.xml ABRDN ASIA PACIFIC INCOME FU COM 003009107 7371 2060755 SH SOLE 2060755 0 0 ABSOLUTE SOFTWARE CORP COM 00386B109 900 59268 SH SOLE 59268 0 0 AEROJET ROCKETDYNE HLDGS INC COM 007800105 784 10780 SH SOLE 10780 0 0 ALLEGO N V *W EXP 03/16/202 N0796A118 0 250 SH SOLE 250 0 0 ALSET CAPITAL ACQUISITION CO CLASS A COM 02115M109 3 182 SH SOLE 182 0 0 ALTC ACQUISITION CORP COM CL A 02156V109 481 34776 SH SOLE 34776 0 0 ALTIMAR ACQUISITION CORP III SHS CL A G0370U108 262 19294 SH SOLE 19294 0 0 ANTERIX INC COM 03676C100 5311 126500 SH SOLE 126500 0 0 ARCONIC CORPORATION COM 03966V107 1031 26320 SH SOLE 26320 0 0 ARGO GROUP INTL HLDGS LTD COM G0464B107 1261 32140 SH SOLE 32140 0 0 AVIAT NETWORKS INC COM NEW 05366Y201 5726 129524 SH SOLE 129524 0 0 BAIDU INC SPON ADR REP A 056752108 4787 26395 SH SOLE 26395 0 0 BANDWIDTH INC NOTE 0.250% 3/0 05988JAB9 4198 4000000 PRN SOLE 4000000 0 0 BANDWIDTH INC NOTE 0.500% 4/0 05988JAD5 16797 19500000 PRN SOLE 19500000 0 0 BERKSHIRE GREY INC COM CL A 084656107 1530 819020 SH SOLE 819020 0 0 BEYOND MEAT INC NOTE 3/1 08862EAB5 2914 8000000 PRN SOLE 8000000 0 0 BLACK KNIGHT INC COM 09215C105 1951 24660 SH SOLE 24660 0 0 BLUERIVER ACQUISITION CORP CL A ORD SHS G1261Q107 3 204 SH SOLE 204 0 0 BLUESCAPE OPPORTUNITIES ACQU SHS G1195N105 621 46852 SH SOLE 46852 0 0 BROOKFIELD CORP CL A LTD VT SH 11271J107 1815 40690 SH SOLE 40690 0 0 BURFORD CAP LTD ORD SHS G17977110 13805 855565 SH SOLE 855565 0 0 CANO HEALTH INC *W EXP 06/03/202 13781Y111 15 53598 SH SOLE 53598 0 0 CHINOOK THERAPEUTICS INC COM 16961L106 839 16480 SH SOLE 16480 0 0 CIRCOR INTL INC COM 17273K109 935 12500 SH SOLE 12500 0 0 COLOMBIER ACQUISITION CORP CL A 19533H108 555 40760 SH SOLE 40760 0 0 CORSAIR PARTNERING CORP SHS CL A G2540H108 71 5149 SH SOLE 5149 0 0 DICE THERAPEUTICS INC COM 23345J104 644 10467 SH SOLE 10467 0 0 DIVERSEY HLDGS LTD ORD SHS G28923103 1531 137750 SH SOLE 137750 0 0 DOCEBO INC COM 25609L105 6178 117820 SH SOLE 117820 0 0 EDIFY ACQUISITION CORP CL A 28059Q103 70 5013 SH SOLE 5013 0 0 EGAIN CORP COM NEW 28225C806 3363 338902 SH SOLE 338902 0 0 ELLIOTT OPPORTUNITY II CORP SHS CL A G30092103 156 11399 SH SOLE 11399 0 0 EMAGIN CORP COM NEW 29076N206 1024 390320 SH SOLE 390320 0 0 EMBARK TECHNOLOGY INC COM NEW 29079J202 906 239113 SH SOLE 239113 0 0 ESPERION THERAPEUTICS INC NE NOTE 4.000%11/1 29664WAB1 20870 31354000 PRN SOLE 31354000 0 0 FIRST LT ACQUISITION GROUP I CL A 320703101 922 66323 SH SOLE 66323 0 0 FIRST MAJESTIC SILVER CORP NOTE 0.375% 1/1 32076VAD5 19224 20000000 PRN SOLE 20000000 0 0 FIRSTSERVICE CORP NEW COM 33767E202 555 2720 SH SOLE 2720 0 0 FOCUS FINL PARTNERS INC COM CL A 34417P100 1453 20890 SH SOLE 20890 0 0 FORGEROCK INC CL A 34631B101 400 14690 SH SOLE 14690 0 0 FORUM ENERGY TECHNOLOGIES IN COM 34984V209 8501 250757 SH SOLE 250757 0 0 FRANCHISE GROUP INC COM 35180X105 894 23550 SH SOLE 23550 0 0 FTAC EMERALD ACQUISITION COR CLASS A COM 29103K100 136 9935 SH SOLE 9935 0 0 GASLOG PARTNERS LP UNIT LTD PTNRP Y2687W108 1115 97640 SH SOLE 97640 0 0 GREENHILL & CO INC COM 395259104 1269 65380 SH SOLE 65380 0 0 GREENLIGHT BIOSCIENCS HLDS P COMMON STOCK 39536G105 131 331110 SH SOLE 331110 0 0 HOME PT CAPITAL INCORPORATED COM 43734L106 1339 435533 SH SOLE 435533 0 0 HORIZON THERAPEUTICS PUB L SHS G46188101 516 3790 SH SOLE 3790 0 0 IAC INC COM NEW 44891N208 2171 26100 SH SOLE 26100 0 0 INFLECTION PT ACQUISITN CRP UNIT 08/29/2031 G4790U128 335 25000 SH SOLE 25000 0 0 INTERACTIVE BROKERS GROUP IN COM CL A 45841N107 4701 42718 SH SOLE 42718 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 2.000% 5/1 45845PAB4 12609 11795000 PRN SOLE 11795000 0 0 IVERIC BIO INC COM 46583P102 1535 29450 SH SOLE 29450 0 0 JAWS MUSTANG ACQUISITION COR *W EXP 01/30/202 G50737124 0 250 SH SOLE 250 0 0 JD.COM INC SPON ADR CL A 47215P106 2562 56665 SH SOLE 56665 0 0 KALEYRA INC COM 483379202 407 45570 SH SOLE 45570 0 0 KENNEDY-WILSON HOLDINGS INC COM 489398107 890 41150 SH SOLE 41150 0 0 KENSINGTON CAPITAL ACQUISITI SHS CL A G5251K103 509 36400 SH SOLE 36400 0 0 KKR & CO INC COM 48251W104 5640 76020 SH SOLE 76020 0 0 LANVIN GROUP HOLDINGS LIMITE *W EXP 01/14/202 G5380J118 1 2500 SH SOLE 2500 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 663 6250 SH SOLE 6250 0 0 MAGNITE INC NOTE 0.250% 3/1 55955DAB6 2257 2000000 PRN SOLE 2000000 0 0 MEDTECH ACQUISITION CORP COM CL A 58507N105 25 1768 SH SOLE 1768 0 0 MICROCHIP TECHNOLOGY INC. COM 595017104 1075 9060 SH SOLE 9060 0 0 MIDWEST HLDG INC COM NEW 59833J206 871 24558 SH SOLE 24558 0 0 MOBIV ACQUISITION CORP CLASS A COM 60742N106 387 27670 SH SOLE 27670 0 0 MORGAN STANLEY EMERGING MKTS COM 617477104 6057 974818 SH SOLE 974818 0 0 MOUNTAIN CREST ACQSITN CORP COM 62404B107 93 6777 SH SOLE 6777 0 0 NATIONAL INSTRS CORP COM 636518102 792 10410 SH SOLE 10410 0 0 NEOGAMES S A SHS L6673X107 1042 30110 SH SOLE 30110 0 0 NEXGEN ENERGY LTD COM 65340P106 71 11300 SH SOLE 11300 0 0 NORTH AMERN CONSTR GROUP LTD COM 656811106 504 19900 SH SOLE 19900 0 0 NORTHROP GRUMMAN CORP COM 666807102 453 750 SH SOLE 750 0 0 NUVASIVE INC COM 670704105 704 12770 SH SOLE 12770 0 0 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 10040 650000 SH SOLE 650000 0 0 OPKO HEALTH INC NOTE 4.500% 2/1 68375NAD5 19427 14000000 PRN SOLE 14000000 0 0 OXBRIDGE ACQUISITION CORP COM CL A G6855L109 1 45 SH SOLE 45 0 0 PAR TECHNOLOGY CORP COM 698884103 13291 304679 SH SOLE 304679 0 0 PARATEK PHARMACEUTICALS INC COM 699374302 684 233590 SH SOLE 233590 0 0 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 17187 13010000 PRN SOLE 13010000 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 3434 337090 SH SOLE 337090 0 0 QUOTIENT TECHNOLOGY INC COM 749119103 1281 251840 SH SOLE 251840 0 0 RADIUS GLOBAL INFRASTRCTRE I COM CL A 750481103 1531 77580 SH SOLE 77580 0 0 RMG ACQUISITION CORP III CL A SHS G76088106 61 4059 SH SOLE 4059 0 0 SANGOMA TECHNOLOGIES CORP COM NEW 80100R408 15427 3097833 SH SOLE 3097833 0 0 SEAGEN INC COM 81181C104 671 2630 SH SOLE 2630 0 0 SILVERBOX CORP III UNIT 02/28/2028 82836N206 13 1000 SH SOLE 1000 0 0 SNAP INC NOTE 0.125% 3/0 83304AAH9 2837 3000000 PRN SOLE 3000000 0 0 SNAP INC NOTE 5/0 83304AAF3 1974 2000000 PRN SOLE 2000000 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 136 9910 SH SOLE 9910 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 157 11440 SH SOLE 11440 0 0 SOUTHPORT ACQUISITION CORP CL A COM 84465L105 827 59330 SH SOLE 59330 0 0 SPECTRUM PHARMACEUTICALS INC COM 84763A108 424 333220 SH SOLE 333220 0 0 SPIRIT AIRLS INC COM 848577102 771 33930 SH SOLE 33930 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 3517 43810 SH SOLE 43810 0 0 SSR MINING IN NOTE 2.500% 4/0 784730AB9 9732 6800000 PRN SOLE 6800000 0 0 STARBUCKS CORP COM 855244109 686 5230 SH SOLE 5230 0 0 STARWOOD PPTY TR INC COM 85571B105 807 31400 SH SOLE 31400 0 0 SYNEOS HEALTH INC CL A 87166B102 931 16680 SH SOLE 16680 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 225 1680 SH SOLE 1680 0 0 TESSCO TECHNOLOGIES INC COM 872386107 1396 117740 SH SOLE 117740 0 0 TEXAS PACIFIC LAND CORPORATI COM 88262P102 3326 1907 SH SOLE 1907 0 0 THUNDER BRDG CAP PRTNRS IV I CLASS A COM 88605L107 180 13452 SH SOLE 13452 0 0 TRITIUM DCFC LIMITED *W EXP 01/13/202 Q9225T116 0 333 SH SOLE 333 0 0 TRITON INTL LTD CL A G9078F107 796 7220 SH SOLE 7220 0 0 U S XPRESS ENTERPRISES INC COM CL A 90338N202 1147 141005 SH SOLE 141005 0 0 UNIVAR SOLUTIONS INC COM 91336L107 1218 25660 SH SOLE 25660 0 0 VELO3D INC *W EXP 09/29/202 92259N112 2 5000 SH SOLE 5000 0 0 WESTERN ASSET EMERGING MKTS COM 95766A101 6510 570109 SH SOLE 570109 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 1 130 SH SOLE 130 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 3507 298811 SH SOLE 298811 0 0 WILLIAMS ROWLAND ACQUISITION COM 96951B102 0 1 SH SOLE 1 0 0 WIRELESS TELECOM GROUP INC COM 976524108 651 233972 SH SOLE 233972 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 5357 80447 SH SOLE 80447 0 0