13F-HR filed by PenderFund Capital Management Ltd.
PenderFund Capital Management Ltd. filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-16, with 70 holding rows worth $359,603,000.
- Accession
- 0001706164-20-000004
- Filer
- CIK 1706164
- Filed
- 2020-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 70 entries on the cover page, a total value of $359,603,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $359,603,000 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 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 |
|---|---|---|---|---|---|---|
| PARATEK PHARMACEUTICALS INC | 699374AB0 | Convertible Bond | 20,060,000 | $22,558,000 | thousands by filing date | principal |
| JUST ENERGY GROUP INC | 48213W408 | COM NEW | 2,907,702 | $21,750,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 9,000,000 | $13,371,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 9,904,000 | $12,831,000 | thousands by filing date | principal |
| EBIX INC | 278715206 | COM NEW | 439,828 | $12,019,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,106,000 | $11,921,000 | thousands by filing date | principal |
| STITCH FIX INC | 860897107 | COM CL A | 298,975 | $10,768,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 235,140 | $10,707,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 77,474 | $10,463,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 9,605,000 | $10,463,000 | thousands by filing date | principal |
| LEAF GROUP LTD | 52177G102 | COM | 1,524,235 | $10,353,000 | thousands by filing date | |
| ACCELERATE DIAGNOSTICS INC | 00430HAB8 | NOTE 2.500% 3/1 | 10,560,000 | $9,033,000 | thousands by filing date | principal |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 108,450 | $8,737,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 85,805 | $8,599,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351XAB7 | NOTE 2.250% 6/1 | 6,700,000 | $8,587,000 | thousands by filing date | principal |
| IAC INTERACTIVECORP NEW | 44891N109 | COM | 52,840 | $8,373,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 103,547 | $7,844,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 6,134,000 | $7,608,000 | thousands by filing date | principal |
| HANESBRANDS INC | 410345102 | COM | 337,511 | $6,946,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 319,125 | $6,377,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 28,900 | $6,337,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 300,000 | $5,864,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 107,981 | $5,825,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 90,600 | $5,804,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 8,987 | $5,409,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 4,000,000 | $5,225,000 | thousands by filing date | principal |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 350,000 | $5,210,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 272,401 | $5,027,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 165,213 | $4,831,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 80,100 | $4,771,000 | thousands by filing date | |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 5,000,000 | $4,719,000 | thousands by filing date | principal |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 300,000 | $4,522,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 291,900 | $4,233,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 200,000 | $4,162,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 200,000 | $3,875,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 200,000 | $3,816,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 111,251 | $3,700,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 309,847 | $3,443,000 | thousands by filing date | |
| SOCIAL CAP HDOSPHIA HLDG CO | G8250T109 | SHS CL A | 135,009 | $3,374,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 492,644 | $3,301,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 610,000 | $3,200,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K107 | COM CL A | 170,224 | $2,968,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 93,000 | $2,805,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 10,000 | $2,762,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 181,014 | $2,687,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744120 | UNIT 99/99/9999 | 181,500 | $2,682,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISTN COR | 34431F203 | UNIT 99/99/9999 | 174,100 | $2,615,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 211,700 | $2,483,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 14,500 | $2,367,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 52,950 | $2,334,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 37,459 | $1,994,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 1,425,000 | $1,936,000 | thousands by filing date | principal |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 100,000 | $1,873,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 35,586 | $1,786,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 102,109 | $1,606,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 101,720 | $1,596,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 300,000 | $1,450,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 1,000,000 | $1,161,000 | thousands by filing date | principal |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 2,400 | $1,040,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 21,754 | $1,038,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 83,347 | $792,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 38,450 | $773,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 50,000 | $735,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 14,312 | $598,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 48,500 | $597,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K115 | *W EXP 99/99/999 | 56,741 | $303,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 2,500 | $222,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 1,200 | $211,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 200,000 | $136,000 | thousands by filing date | |
| Pershing Square T 25 WTS Warrants Exp 07/24/25 | 71531R117 | WT | 10,332 | $97,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001706164-20-000004 | this filing | 2020-11-16 | acceptance time not in the bulk data set |