13F-HR filed by PenderFund Capital Management Ltd.
PenderFund Capital Management Ltd. filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-01-24, with 70 holding rows worth $302,439,000 by the sum of the rows.
- Accession
- 0001706164-19-000001
- Filer
- CIK 1706164
- Filed
- 2019-01-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 70 entries on the cover page, a total value of $310,282,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $302,439,000 with VALUE read as thousands by filing date, 13F file number 028-18272. The quarter's positions are built on this report. The resolved quarter.
The cover page states a total of $310,282,000, 3% more than the sum of the rows, $302,439,000. This page uses the sum of the rows.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| MIDDLEBYCORP | 596278101 | STOK | 102,836 | $15,995,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 1,020,500 | $15,561,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KKR & CO INC | 48251W104 | COM | 495,940 | $14,974,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 222,800 | $14,393,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TRIPADVISOR INC | 896945201 | COM | 166,707 | $13,014,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 51,134 | $11,709,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 82,082 | $11,584,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MODEL N INC | 607525102 | COM | 560,931 | $11,130,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 13,707,000 | $11,061,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 103,400 | $10,315,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SIERRA WIRELESS INC | 826516106 | COM | 482,440 | $9,687,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 276,900 | $8,562,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 336,656 | $8,527,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 364,200 | $8,449,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 208,834 | $8,356,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WYNN RESORTS LTD | 983134107 | COM | 51,000 | $7,780,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 73,434 | $7,536,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMYRIS INC | 03236MAC5 | NOTE 6.500 5/1 | 7,526,000 | $7,450,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| HANESBRANDS INC | 410345102 | COM | 344,000 | $6,769,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MODUSLINK GLOBAL SOLUTIONS I | 60786LAB3 | NOTE 5.250 3/0 | 6,220,000 | $6,252,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| LIVEPERSON, INC. | 538146101 | COM | 210,917 | $5,652,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LEAF GROUP LTD | 52177G102 | COM | 425,000 | $4,512,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 4,369,000 | $4,345,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Global Eagle Entertainment | 37951DAB8 | CONV BOND | 5,750,000 | $4,266,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| EGAIN CORP | 28225C806 | COM NEW | 444,794 | $4,203,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMYRIS INC | 03236MAG6 | NOTE 9.500 4/1 | 4,000,000 | $4,012,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 325,000 | $3,809,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SEACHANGE INTL INC | 811699107 | COM | 1,710,532 | $3,741,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 485,651 | $3,630,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 4,000,000 | $3,456,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Aceto Corp | 004446AD2 | CONV BOND | 4,478,000 | $3,364,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 260,000 | $3,260,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIXELWORKS INC | 72581M305 | COM NEW | 708,164 | $3,060,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 39,252 | $3,054,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 240,000 | $3,036,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GOPRO INC | 38268TAB9 | NOTE 3.500% 4/1 | 3,600,000 | $2,966,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 240,000 | $2,940,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 230,000 | $2,907,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMYRIS INC | 03236MAF8 | NOTE 9.500 4/1 | 2,500,000 | $2,508,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 139,404 | $2,391,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 2,000,000 | $1,827,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| POINTS INTL LTD | 730843208 | COM NEW | 138,260 | $1,821,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 145,000 | $1,769,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 158,948 | $1,650,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 74,148 | $1,609,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 130,000 | $1,515,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 130,081 | $1,510,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 20,894 | $1,163,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 90,406 | $1,111,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENOVIS CORP | 194014106 | COMMON STOCK | 33,617 | $1,051,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KEYW HLDG CORP | 493723AA8 | NOTE 2.500 7/1 | 1,000,000 | $995,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 17,000 | $780,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 200,000 | $774,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PHI INC-NON VOTING | 69336T205 | COM | 186,550 | $561,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 350 | $512,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GCI LIBERTY INC COM CLASS A | 36164V305 | Stock | 7,300 | $426,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 518,000 | $397,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 54,112 | $345,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 18,100 | $344,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 10,900 | $313,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TELUS CORPORATION COM | 87971M103 | Stock | 6,770 | $312,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 9,850 | $277,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Visa Inc | 92826C839 | COM | 1,460 | $267,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Berkshire Hathaway Inc | 084670702 | COM | 900 | $243,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Starbucks Corporation | 855244109 | COM | 2,700 | $231,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 200,000 | $220,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 26,000 | $191,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 375 | $5,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DATA I O CORP | 237690102 | COM | 500 | $4,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEWELL BRANDS INC COM | 651229106 | Stock | 11,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001706164-19-000001 | this filing | 2019-01-24 | acceptance time not in the bulk data set |