13F-HR filed by PenderFund Capital Management Ltd.
PenderFund Capital Management Ltd. filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-07-29, with 69 holding rows worth $358,733,000 by the sum of the rows.
- Accession
- 0001706164-19-000004
- Filer
- CIK 1706164
- Filed
- 2019-07-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A holdings report, 69 entries on the cover page, a total value of $299,519,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $358,733,000 with VALUE read as thousands by filing date, 13F file number 028-18272. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The cover page states a total of $299,519,000, 17% less than the sum of the rows, $358,733,000. 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 |
|---|---|---|---|---|---|---|
| JUST ENERGY GROUP INC | 48213W101 | COM | 614,940 | $21,930,000 | thousands by filing date | |
| Global Eagle Entertainment | 37951DAB8 | CONV BOND | 124,042 | $21,471,000 | thousands by filing date | principal |
| SIERRA WIRELESS INC | 826516106 | COM | 232,550 | $18,483,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 273,300 | $17,854,000 | thousands by filing date | principal |
| TASEKO MINES LTD COM | 876511106 | Stock | 231,547 | $14,177,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 1,377,756 | $13,833,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 11,867,000 | $13,654,000 | thousands by filing date | principal |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 314,605 | $13,179,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 74,341 | $11,203,000 | thousands by filing date | principal |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 681,540 | $10,673,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 766,033 | $10,216,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 372,966 | $9,380,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 370,168 | $8,809,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 985,345 | $8,730,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 9,060,000 | $8,210,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 44,500 | $7,986,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 5,369,000 | $7,162,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 5,805,000 | $6,975,000 | thousands by filing date | |
| JEFFERIES FINANCIAL GROUP IN | 47233W109 | COM | 248,256 | $6,968,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 36,300 | $6,667,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 295,547 | $6,382,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 340,000 | $6,361,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 325,000 | $5,631,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 262,800 | $5,526,000 | thousands by filing date | |
| PRETIUM RES INC | 74139CAB8 | NOTE 2.250% 3/1 | 637,674 | $5,515,000 | thousands by filing date | principal |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 445,780 | $4,906,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 658,374 | $4,856,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 3,708,000 | $4,822,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 141,000 | $4,805,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 402,696 | $4,789,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 438,203 | $4,651,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 210,000 | $3,943,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 5,750,000 | $3,727,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 5,625,268 | $3,544,000 | thousands by filing date | principal |
| PIXELWORKS INC | 72581M305 | COM NEW | 217,457 | $3,390,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 175,000 | $3,198,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 111,051 | $3,173,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 707,934 | $2,856,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 160,000 | $2,789,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 150,000 | $2,782,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 2,000,000 | $2,703,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 106,485 | $2,617,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 2,000,000 | $2,529,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 158,948 | $2,494,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 290,000 | $2,294,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 410,000 | $2,281,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 2,000,000 | $2,254,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 35,586 | $2,214,000 | thousands by filing date | principal |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 403,600 | $1,949,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 100,000 | $1,587,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374AB0 | Convertible Bond | 100,000 | $1,386,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CY1 | NOTE 5.500% 9/1 | 33,617 | $1,262,000 | thousands by filing date | principal |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 65,000 | $1,224,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 60,406 | $1,140,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 500,000 | $931,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 50,000 | $741,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 10,200 | $663,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 450,000 | $596,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 14,500 | $411,000 | thousands by filing date | principal |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 1,460 | $352,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 2,700 | $347,000 | thousands by filing date | principal |
| WYNN RESORTS LTD | 983134107 | COM | 54,112 | $321,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 14,764 | $314,000 | thousands by filing date | principal |
| Starbucks Corporation | 855244109 | COM | 9,850 | $299,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 175 | $290,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| HANESBRANDS INC | 410345102 | COM | 15,000,000 | $174,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| EGAIN CORP | 28225C806 | COM NEW | 200,000 | $154,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEAF GROUP LTD | 52177G102 | COM | 50,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001706164-19-000004 | this filing | 2019-07-29 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001706164-19-000005 | base | 2019-07-31 | acceptance time not in the bulk data set |