13F-HR filed by PenderFund Capital Management Ltd.
PenderFund Capital Management Ltd. filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 140 holding rows worth $382,691,000.
- Accession
- 0001706164-21-000006
- Filer
- CIK 1706164
- Filed
- 2021-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 140 entries on the cover page, a total value of $382,691,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $382,691,000 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 | 21,060,000 | $24,177,000 | thousands by filing date | principal |
| BURFORD CAPITAL LIMITED | G17977110 | ORD SHS | 1,634,753 | $22,756,000 | thousands by filing date | |
| PRECIGEN INC | 46122TAA0 | NOTE 3.500% 7/0 | 17,400,000 | $18,423,000 | thousands by filing date | principal |
| TRICIDA INC | 89610FAB7 | BOND | 28,408,000 | $16,354,000 | thousands by filing date | principal |
| KKR & CO INC | 48251W104 | COM | 176,008 | $13,572,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 67,130 | $13,073,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 110,854 | $12,376,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 152,481 | $11,880,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 580,300 | $11,738,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 8,656,000 | $11,199,000 | thousands by filing date | principal |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 123,250 | $10,834,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 260,109 | $10,826,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 208,430 | $10,547,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 133,300 | $10,525,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 9,000,000 | $10,366,000 | thousands by filing date | principal |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 1,168,376 | $10,004,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 32,340 | $9,824,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375NAD5 | NOTE 4.500% 2/1 | 6,000,000 | $9,485,000 | thousands by filing date | principal |
| SSR Mining Inc | 784730AB9 | Convertible bond | 6,250,000 | $9,090,000 | thousands by filing date | principal |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 97,605 | $8,931,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 247,801 | $8,896,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 596,518 | $7,707,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 203,525 | $7,189,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 204,907 | $6,989,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 60,937 | $6,777,000 | thousands by filing date | |
| TEXAS PACIFIC LAND CORPORATION COM | 88262P102 | Stock | 4,165 | $6,380,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W302 | COM NEW CL A | 200,000 | $6,232,000 | thousands by filing date | |
| Eagle Bulk Shipping Inc | 269442AB5 | CV | 3,063,000 | $5,773,000 | thousands by filing date | principal |
| PEOPLE INC | 44891N208 | COM NEW | 34,575 | $5,706,000 | thousands by filing date | |
| ACCELERATE DIAGNOSTICS INC | 00430HAB8 | NOTE 2.500% 3/1 | 5,560,000 | $5,031,000 | thousands by filing date | principal |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 296,861 | $4,918,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 62,800 | $4,804,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 284,961 | $4,735,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 211,700 | $4,282,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 3,000,000 | $4,070,000 | thousands by filing date | principal |
| HELLO GROUP INC | 60879BAB3 | NOTE 1.250% 7/0 | 3,500,000 | $3,777,000 | thousands by filing date | principal |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 50,750 | $3,444,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 465,259 | $3,436,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576UAA4 | BOND | 3,000,000 | $2,913,000 | thousands by filing date | principal |
| STRATEGY INC CL A NEW | 594972408 | Stock | 3,200 | $2,344,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L105 | SHS CL A | 157,200 | $2,021,000 | thousands by filing date | |
| KALEYRA INC | 483379103 | COMMON EQUITY | 138,900 | $1,937,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 10,300 | $1,931,000 | thousands by filing date | |
| INFINERA CORP | 45667GAE3 | BOND | 1,000,000 | $1,684,000 | thousands by filing date | principal |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 3,660 | $1,670,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 1,134,000 | $1,599,000 | thousands by filing date | principal |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,000,000 | $1,271,000 | thousands by filing date | principal |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 45,600 | $1,208,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 38,450 | $1,189,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 37,600 | $1,156,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 42,200 | $917,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 14,312 | $832,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 3,700 | $600,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 2,500 | $573,000 | thousands by filing date | |
| SOFI TECHNOLOGIES INC | 83406F110 | *W EXP 05/28/202 | 48,600 | $386,000 | thousands by filing date | |
| CANO HEALTH INC | 13781Y111 | WARR | 57,198 | $299,000 | thousands by filing date | |
| VIMEO INC | 92719V100 | COMMON STOCK | 5,908 | $220,000 | thousands by filing date | |
| JAWS HURRICANE ACQUISITN COR | 47201B202 | UNIT 06/08/2026 | 10,000 | $127,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLDWT | G8251L113 | WARRANT AND RIGH | 49,750 | $118,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 2,000 | $67,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 2,500 | $66,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 1,000 | $64,000 | thousands by filing date | |
| GOLDEN NUGGET ONLINE GAMIN | 38113L107 | COM CL A | 2,900 | $64,000 | thousands by filing date | |
| VEREIT INC | 92339V308 | COM | 1,100 | $63,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 930 | $61,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 3,800 | $54,000 | thousands by filing date | |
| LUX HEALTH TECH ACQUISITION | 55068A118 | *W EXP 11/30/202 | 32,999 | $48,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 200 | $44,000 | thousands by filing date | |
| PPD INC | 69355F102 | COM | 670 | $40,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 760 | $39,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 1,460 | $33,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 460 | $32,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 1,260 | $32,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 1,080 | $32,000 | thousands by filing date | |
| AMERICAN NATIONAL GROUP INC | 02772A109 | COM NEW | 135 | $32,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 220 | $32,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 500 | $32,000 | thousands by filing date | |
| BROOKFIELD ASSET MGMT FCLASS A | G16169107 | CL A EXCH LT VTG | 427 | $30,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 510 | $28,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 1,840 | $20,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 257 | $18,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 700 | $17,000 | thousands by filing date | |
| Pershing Square T 25 WTS Warrants Exp 07/24/25 | 71531R117 | WT | 10,332 | $17,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 136 | $16,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 700 | $16,000 | thousands by filing date | |
| HEALTH ASSURANCE ACQUIS- | 42226W109 | COM CL A | 1,300 | $16,000 | thousands by filing date | |
| PONTEM CORPORATION | G71707106 | COM | 1,300 | $16,000 | thousands by filing date | |
| SLAM CORP | G8210L105 | COM | 1,258 | $16,000 | thousands by filing date | |
| B RILEY PRIN 250 MERGER CORP | 05602L104 | COM | 1,300 | $16,000 | thousands by filing date | |
| FUSION ACQUISITION CORP II | 36118N102 | COM | 1,300 | $16,000 | thousands by filing date | |
| LAZARD GROWTH ACQUISITION CO | G54035103 | COM | 1,300 | $16,000 | thousands by filing date | |
| CF ACQUISITION CORP IV | 12520T102 | COM | 1,300 | $16,000 | thousands by filing date | |
| BLUESCAPE OPPORTUNITIES ACQU | G1195N105 | COM | 1,300 | $16,000 | thousands by filing date | |
| ARES ACQUISITION CORPORATION | G33032106 | COM CL A | 1,300 | $16,000 | thousands by filing date | |
| APOLLO STRATEGIC GRWT CPTL I | G0412A102 | SHS CL A | 1,300 | $16,000 | thousands by filing date | |
| KHOSLA VENTURES ACQUT CO III | 482506102 | COM CL A | 1,300 | $16,000 | thousands by filing date | |
| MASON INDUSTRIAL TECHNOLGY I | 57520Y106 | COM CL A | 1,300 | $16,000 | thousands by filing date | |
| AVANTI ACQUISITION CORP | G0682V109 | CMN | 1,253 | $16,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVES III | 44376L107 | CMN | 1,300 | $16,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVS CORP I | 443760103 | CMN | 1,300 | $16,000 | thousands by filing date | |
| HAMILTON LANE ALLIANCE HLDGS | 40749M103 | CMN | 1,300 | $16,000 | thousands by filing date | |
| 5 01 ACQUISITION CORP | 33836P105 | CMN | 1,300 | $16,000 | thousands by filing date | |
| TCW SPECIAL PURPOSE ACQU COR | 87301L106 | CMN | 1,300 | $16,000 | thousands by filing date | |
| E MERGE TECHNOLOGY ACQUISITI | 26873Y104 | CMN | 1,300 | $16,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019101 | CMN | 1,300 | $16,000 | thousands by filing date | |
| KKR ACQUISITION HOLDING I CO | 48253T109 | CMN | 1,300 | $16,000 | thousands by filing date | |
| SOCIAL CAP SUVRETTA HLD CRPI | G8253W109 | CMN | 1,300 | $16,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP | G23726105 | COM CL A | 1,300 | $16,000 | thousands by filing date | |
| B RILEY PRINCIPAL 150 MERGER | 05601V103 | COM CL A | 1,300 | $16,000 | thousands by filing date | |
| VIRGIN GROUP ACQUISIT CORP I | G9460K102 | SHS CL A | 1,288 | $16,000 | thousands by filing date | |
| OAKTREE ACQUISITION CORP II | G6715X103 | CL A SHS | 1,300 | $16,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 550 | $13,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP VII | 17144M102 | COM CL A | 1,026 | $13,000 | thousands by filing date | |
| WARBURG PINCUS CAPTAL CORP I | G9460M108 | COM | 900 | $11,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 905 | $11,000 | thousands by filing date | |
| CC NEUBERGER PRIN HLDGS II | G3166T103 | SHS CL A | 800 | $10,000 | thousands by filing date | |
| RMG ACQUISITION CORP III | G76088106 | CL A SHS | 800 | $10,000 | thousands by filing date | |
| MOATABLE INC | 759892300 | COM | 500 | $9,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP VI | 17143W101 | COM | 700 | $9,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP 2 | G0371B109 | CMN | 700 | $9,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 210 | $8,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 20 | $8,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 483 | $8,000 | thousands by filing date | |
| SCORE MEDIA & GAMING INC | 80919D202 | CL A SUB VTG SHS | 190 | $8,000 | thousands by filing date | |
| SCION TECH GROWTH I | G31067104 | CMN | 600 | $7,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 160 | $5,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 55 | $4,000 | thousands by filing date | |
| PRIMAVERA CAPITAL ACQUIST CO | G7255E117 | WTS | 2,500 | $3,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514111 | *W EXP 09/26/202 | 1,250 | $3,000 | thousands by filing date | |
| LEAD EDGE GROWTH OPRTUNTS LT | G54085116 | WARR | 2,500 | $2,000 | thousands by filing date | |
| FORTRESS CAPITAL ACQUISITION | G36427105 | SHS CL A | 200 | $2,000 | thousands by filing date | |
| ONE EQUITY PARTNERS OPEN WTR | 68237L113 | WTS | 1,666 | $1,000 | thousands by filing date | |
| ACCELERATE ACQUISITION CORP | 00439D102 | CMN | 100 | $1,000 | thousands by filing date | |
| SCIENCE STRATEGIC ACQ ALPHA | 808641112 | *W EXP 01/20/202 | 1,666 | $1,000 | thousands by filing date | |
| DECARBONIZATION PLUS ACQU II | 242794113 | *W EXP 01/19/202 | 333 | $1,000 | thousands by filing date | |
| Jaws Mustang Acquisition Corp | G50737124 | Warrant | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VECTOR ACQUISITION CORP II | G9460A104 | CL A SHS | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDEPENDENCE HOLDINGS CORP | G4761A101 | CLASS A ORD SHS | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPARTAN ACQUISITION CORP III | 84677R114 | *W EXP 02/04/202 | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THIMBLE POINT ACQUISITION CO | 88408P115 | *W EXP 02/04/202 | 333 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001706164-21-000006 | this filing | 2021-11-15 | acceptance time not in the bulk data set |