13F-HR filed by PenderFund Capital Management Ltd.
PenderFund Capital Management Ltd. filed this 13F-HR for the quarter ended 2022-09-30, filed 2022-11-14, with 179 holding rows worth $319,685,000.
- Accession
- 0001706164-22-000004
- Filer
- CIK 1706164
- Filed
- 2022-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2022
A holdings report, 179 entries on the cover page, a total value of $319,685,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $319,685,000 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 |
|---|---|---|---|---|---|---|
| Esperion Therapeutics Inc | 29664WAB1 | NOTE 4.000%11/15/25 | 29,679,000 | $23,720,000 | thousands by filing date | principal |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 17,123,134 | $23,114,000 | thousands by filing date | principal |
| PARATEK PHARMACEUTICALS INC | 699374AB0 | Convertible Bond | 15,510,000 | $19,599,000 | thousands by filing date | principal |
| OPKO HEALTH INC | 68375NAD5 | NOTE 4.500% 2/1 | 10,000,000 | $13,173,000 | thousands by filing date | principal |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 11,795,000 | $12,434,000 | thousands by filing date | principal |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 8,656,000 | $11,927,000 | thousands by filing date | principal |
| SANGOMA TECHNOLOGIES CORP | 80100R408 | COM NEW | 1,594,600 | $11,497,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 251,311 | $10,251,000 | thousands by filing date | |
| BURFORD CAPITAL LIMITED | G17977110 | ORD SHS | 952,182 | $9,865,000 | thousands by filing date | |
| TEXAS PACIFIC LAND CORPORATION COM | 88262P102 | Stock | 3,500 | $8,592,000 | thousands by filing date | |
| D-WAVE QUANTUM INC | 26740W109 | COM | 747,838 | $8,137,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 48,110 | $7,808,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 126,660 | $7,523,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 288,331 | $7,456,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 186,057 | $7,354,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 74,148 | $6,546,000 | thousands by filing date | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 126,500 | $6,242,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 93,640 | $6,176,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 88,305 | $6,136,000 | thousands by filing date | |
| SSR Mining Inc | 784730AB9 | Convertible bond | 4,000,000 | $6,049,000 | thousands by filing date | principal |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 141,219 | $5,341,000 | thousands by filing date | |
| TRICIDA INC | 89610FAB7 | BOND | 6,658,000 | $5,095,000 | thousands by filing date | principal |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 1,460,000 | $5,082,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 458,428 | $4,654,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379AA9 | NOTE | 4,000,000 | $4,472,000 | thousands by filing date | principal |
| DOCEBO INC COM | 25609L105 | Stock | 117,820 | $4,395,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 531,682 | $3,995,000 | thousands by filing date | |
| BEYOND MEAT INC | 08862EAB5 | NOTE 3/1 | 8,000,000 | $3,404,000 | thousands by filing date | principal |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 268,976 | $3,370,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 37,294 | $2,853,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 288,790 | $2,765,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 226,957 | $2,502,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 94,417 | $2,474,000 | thousands by filing date | |
| ACCELERATE DIAGNOSTICS INC | 00430HAB8 | NOTE 2.500% 3/1 | 1,910,000 | $2,409,000 | thousands by filing date | principal |
| PEOPLE INC | 44891N208 | COM NEW | 29,700 | $2,272,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 28,200 | $2,142,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 33,870 | $1,914,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 47,320 | $1,589,000 | thousands by filing date | |
| MAXEON SOLAR TECHNOLOGIES LT | 57779BAB0 | NOTE 6.500% 7/1 | 740,000 | $1,522,000 | thousands by filing date | principal |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 1,000,000 | $1,194,000 | thousands by filing date | principal |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 10,600 | $1,171,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,690 | $1,098,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 27,600 | $1,020,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 810 | $939,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 7,990 | $930,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 43,500 | $929,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 21,390 | $899,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 22,670 | $868,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 150,000 | $833,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 32,950 | $829,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 2,700 | $792,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 54,800 | $787,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 9,310 | $785,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 162,300 | $769,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 42,880 | $727,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 157,500 | $722,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 5,330 | $704,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 6,510 | $664,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 17,690 | $659,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 5,180 | $656,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 16,660 | $646,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 8,930 | $637,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L105 | SHS CL A | 46,150 | $637,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 46,620 | $615,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 106,570 | $612,000 | thousands by filing date | |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 11,700 | $607,000 | thousands by filing date | |
| WARNER BROS DISCOVERY INC COM SER A | 934423104 | Stock | 37,600 | $597,000 | thousands by filing date | |
| TCW SPECIAL PURPOSE ACQU COR | 87301L106 | CMN | 42,550 | $577,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 23,400 | $562,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 7,520 | $559,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 12,740 | $551,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 12,550 | $547,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 1,630 | $545,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 3,300 | $543,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 15,490 | $485,000 | thousands by filing date | |
| AVALARA INC | 05338G106 | COM | 3,800 | $482,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 22,950 | $480,000 | thousands by filing date | |
| 1LIFE HEALTHCARE INC | 68269G107 | COM | 20,200 | $479,000 | thousands by filing date | |
| ZYMERGEN INC | 98985X100 | COM | 124,500 | $478,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 10,300 | $474,000 | thousands by filing date | |
| TURQUOISE HILL RES LTD | 900435207 | COM | 11,370 | $465,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 7,850 | $451,000 | thousands by filing date | |
| KENSINGTON CAPITAL ACQUISITI | G5251K103 | COM | 32,100 | $442,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 117,300 | $433,000 | thousands by filing date | |
| IRONSOURCE LTD NPV | M5R75Y101 | CL A ORD SHS | 89,881 | $427,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 11,870 | $425,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 9,080 | $419,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 9,040 | $417,000 | thousands by filing date | |
| VY GLOBAL GROWTH | G9444H100 | CMN | 29,855 | $414,000 | thousands by filing date | |
| CONVEY HEALTH SOLUTIONS HLDG | 21258C108 | CMN | 27,300 | $396,000 | thousands by filing date | |
| COINBASE GLOBAL INC COM CL A | 19260Q107 | Stock | 4,100 | $365,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 13,140 | $340,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 5,520 | $334,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 12,700 | $330,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 1,530 | $319,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514103 | SHS CL A | 23,040 | $319,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 3,380 | $318,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 57,800 | $315,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 23,991 | $314,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 11,330 | $313,000 | thousands by filing date | |
| BLACK KNIGHT INC COM | 09215C105 | Stock | 3,280 | $293,000 | thousands by filing date | |
| AVANTI ACQUISITION CORP | G0682V109 | CMN | 18,947 | $262,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 20,691 | $256,000 | thousands by filing date | |
| FORTRESS CAPITAL ACQUISITION | G36427105 | SHS CL A | 17,815 | $245,000 | thousands by filing date | |
| EXECUTIVE NETWORK PARTNERING | 30158L100 | CMN | 17,200 | $237,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 7,400 | $234,000 | thousands by filing date | |
| BROAD CAPITAL ACQUISITION CO | 11125B102 | COM | 16,674 | $230,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 10,000 | $214,000 | thousands by filing date | |
| CANO HEALTH INC | 13781Y111 | WARR | 53,598 | $195,000 | thousands by filing date | |
| F-STAR THERAPEUTICS INC | 30315R107 | COM | 26,340 | $186,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 13,667 | $168,000 | thousands by filing date | |
| US WELL SERVICES INC | 91274U309 | CL A NEW 2022 | 21,530 | $151,000 | thousands by filing date | |
| PMV CONSUMER ACQUISITION COR | 693486102 | CMN | 10,603 | $146,000 | thousands by filing date | |
| CF ACQUISITION CORP IV | 12520T102 | COM | 7,740 | $106,000 | thousands by filing date | |
| WARBURG PINCUS CAPTAL CORP I | G9460M108 | COM | 7,090 | $97,000 | thousands by filing date | |
| SLAM CORP | G8210L105 | COM | 7,090 | $97,000 | thousands by filing date | |
| LAZARD GROWTH ACQUISITION CO | G54035103 | COM | 7,090 | $97,000 | thousands by filing date | |
| FTAC HERA ACQUISITION CORP | G3728Y103 | COM | 7,090 | $97,000 | thousands by filing date | |
| INDEPENDENCE HOLDINGS CORP | G4761A101 | CLASS A ORD SHS | 7,096 | $97,000 | thousands by filing date | |
| COMPUTE HEALTH ACQUISITIN CO | 204833107 | COM CL A | 7,090 | $97,000 | thousands by filing date | |
| HAMILTON LANE ALLIANCE HLDGS | 40749M103 | CMN | 7,090 | $97,000 | thousands by filing date | |
| JAWS MUSTANG ACQUISITION CORP SHS CL A | G50737108 | Stock | 7,000 | $96,000 | thousands by filing date | |
| B RILEY PRIN 250 MERGER CORP | 05602L104 | COM | 7,080 | $96,000 | thousands by filing date | |
| FUSION ACQUISITION CORP II | 36118N102 | COM | 7,090 | $96,000 | thousands by filing date | |
| ARES ACQUISITION CORPORATION | G33032106 | COM CL A | 7,000 | $96,000 | thousands by filing date | |
| MASON INDUSTRIAL TECHNOLGY I | 57520Y106 | COM CL A | 7,090 | $96,000 | thousands by filing date | |
| WARBURG PINCUS CAPTAL CORP I | G9461D107 | SHS CL A | 7,019 | $96,000 | thousands by filing date | |
| LANDCADIA HOLDINGS IV INC | 51477A104 | CLASS A COM | 7,090 | $96,000 | thousands by filing date | |
| AUSTERLITZ ACQUISITION CORP | G0633U101 | CMN | 7,090 | $96,000 | thousands by filing date | |
| REVOLUTION HEALTHCAR AQ CORP | 76155Y108 | CMN | 7,067 | $96,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVES III | 44376L107 | CMN | 7,090 | $96,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVS CORP I | 443760103 | CMN | 7,090 | $96,000 | thousands by filing date | |
| SCION TECH GROWTH I | G31067104 | CMN | 7,000 | $96,000 | thousands by filing date | |
| ACCELERATE ACQUISITION CORP | 00439D102 | CMN | 7,100 | $96,000 | thousands by filing date | |
| KKR ACQUISITION HOLDING I CO | 48253T109 | CMN | 7,090 | $96,000 | thousands by filing date | |
| 26 Capital Acquisition Corp | 90138P100 | Equity | 7,000 | $95,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP VI | 17143W101 | COM | 6,980 | $95,000 | thousands by filing date | |
| APOLLO STRATEGIC GRWT CPTL I | G0412A102 | SHS CL A | 7,000 | $95,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP VII | 17144M102 | COM CL A | 7,006 | $95,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISI CORP | 34964K108 | COM CL A | 6,980 | $95,000 | thousands by filing date | |
| VECTOR ACQUISITION CORP II | G9460A104 | CL A SHS | 6,916 | $95,000 | thousands by filing date | |
| SOCIAL CAP SUVRETTA HLDS CP | G8253Y105 | CLASS A ORD SHS | 6,980 | $95,000 | thousands by filing date | |
| ELLIOTT OPPORTUNITY II CORP | G30092103 | CMN | 6,999 | $95,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP 2 | G0371B109 | CMN | 6,970 | $95,000 | thousands by filing date | |
| KHOSLA VENTURES ACQUT CO III | 482506102 | COM CL A | 6,980 | $94,000 | thousands by filing date | |
| MSD ACQUISITION CORP | G5709C109 | CLASS A ORD SHS | 6,870 | $94,000 | thousands by filing date | |
| SOCIAL CAP SUVRETTA HLDS CRP | G8253U103 | CMN | 6,980 | $94,000 | thousands by filing date | |
| OKLO INC COM CL A | 02156V109 | Stock | 6,926 | $93,000 | thousands by filing date | |
| HEALTH ASSURANCE ACQUIS- | 42226W109 | COM CL A | 6,334 | $87,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 580 | $73,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 1,190 | $67,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 2,060 | $67,000 | thousands by filing date | |
| GULFPORT ENERGY CORP COMMON SHARES | 402635502 | Stock | 500 | $61,000 | thousands by filing date | |
| SHOCKWAVE MED INC | 82489T104 | COM | 160 | $61,000 | thousands by filing date | |
| 5 01 ACQUISITION CORP | 33836P105 | CMN | 4,375 | $60,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 11,300 | $57,000 | thousands by filing date | |
| HIGHLAND TRANSCEND PARTNERS | G44690108 | COM CL A | 4,100 | $56,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 3,000 | $55,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 680 | $55,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 290 | $49,000 | thousands by filing date | |
| RMG ACQUISITION CORP III | G76088106 | CL A SHS | 3,455 | $47,000 | thousands by filing date | |
| MARAVAI LIFESCIENCES HLDGS A | 56600D107 | COMMON STOCK | 1,200 | $42,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 2,800 | $40,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 2,200 | $38,000 | thousands by filing date | |
| PONTEM CORPORATION | G71707106 | COM | 2,300 | $32,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 5,010 | $28,000 | thousands by filing date | |
| KNOWBE4 INC | 49926T104 | COMMON STOCK | 900 | $26,000 | thousands by filing date | |
| VELO3D INC | 92259N112 | *W EXP 09/29/202 | 5,000 | $6,000 | thousands by filing date | |
| LUX HEALTH TECH ACQUISITION | 55068A118 | *W EXP 11/30/202 | 30,633 | $6,000 | thousands by filing date | |
| FOLD HLDGS INC | 29103K100 | COM CL A | 135 | $2,000 | thousands by filing date | |
| JAWS HURRICANE ACQUISITN COR | 47201B111 | *W EXP 03/26/202 | 2,500 | $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. |
| LEAD EDGE GROWTH OPRTUNTS LT | G54085116 | WARR | 2,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEAR THERAPEUTICS INC | 704723113 | *W EXP 12/03/202 | 333 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WELSBACH TECH METALS ACQU CO | 950415109 | COM | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRITIUM DCFC LIMITED | Q9225T116 | *W EXP 01/13/202 | 333 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONE EQUITY PARTNERS OPEN WTR | 68237L113 | WTS | 1,666 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRIMAVERA CAPITAL ACQUIST CO | G7255E117 | WTS | 2,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCIENCE STRATEGIC ACQ ALPHA | 808641112 | *W EXP 01/20/202 | 1,666 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001706164-22-000004 | this filing | 2022-11-14 | acceptance time not in the bulk data set |