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Disclosery

13F-HR filed by PenderFund Capital Management Ltd.

PenderFund Capital Management Ltd. filed this 13F-HR for the quarter ended 2022-12-31, filed 2023-02-10, with 140 holding rows worth $335,435,000.

Accession
0001706164-23-000001
Filer
CIK 1706164
Filed
2023-02-10
Accepted by EDGAR
acceptance time not in the bulk data set
Ingested
Source
SEC quarterly data set

Original filing

13F report for Q4 2022

A holdings report, 140 entries on the cover page, a total value of $335,435,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $335,435,000 with VALUE read as thousands, detected and multiplied, 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 filedCUSIPClassAmountValueValue read asType
FORUM ENERGY TECHNOLOGIES IN34984VAC4NOTE 9.000% 8/016,998,134$25,249,000thousands, detected and multipliedprincipal
PARATEK PHARMACEUTICALS INC699374AB0Convertible Bond15,510,000$18,638,000thousands, detected and multipliedprincipal
OPKO HEALTH INC68375NAD5NOTE 4.500% 2/114,000,000$16,880,000thousands, detected and multipliedprincipal
Esperion Therapeutics Inc29664WAB1NOTE 4.000%11/15/2521,104,000$15,872,000thousands, detected and multipliedprincipal
SANGOMA TECHNOLOGIES CORP80100R408COM NEW2,383,607$15,136,000thousands, detected and multiplied
FIRST MAJESTIC SILVER CORP32076VAD5NOTE 0.375% 1/112,500,000$14,395,000thousands, detected and multipliedprincipal
ICPT 2 05 15 26 2 00000045845PAB4CONV BD US11,795,000$12,029,000thousands, detected and multipliedprincipal
EVENTBRITE INC29975EAD1NOTE 0.750% 9/112,500,000$11,801,000thousands, detected and multipliedprincipal
BANDWIDTH INC05988JAD5NOTE 0.500% 4/011,000,000$9,431,000thousands, detected and multipliedprincipal
MAXAR TECHNOLOGIES INC57778K105COM134,720$9,430,000thousands, detected and multiplied
BURFORD CAPITAL LIMITEDG17977110ORD SHS827,772$9,133,000thousands, detected and multiplied
PAR TECHNOLOGY CORP698884103COM229,881$8,115,000thousands, detected and multiplied
KKR & CO INC48251W104COM125,290$7,875,000thousands, detected and multiplied
ABERDEEN ASIA-PACIFIC INCOME F003009107COM2,160,000$7,692,000thousands, detected and multiplied
SS&C TECH HLDGS COM78467J100Stock90,380$6,371,000thousands, detected and multiplied
ZILLOW GROUP INC CL C CAP STK98954M200Stock143,677$6,266,000thousands, detected and multiplied
SSR Mining Inc784730AB9Convertible bond4,000,000$6,114,000thousands, detected and multipliedprincipal
BAIDU INC SPON ADR REP A056752108ADR35,580$5,510,000thousands, detected and multiplied
ANTERIX INC03676C100COMMON STOCK126,500$5,510,000thousands, detected and multiplied
AVIAT NETWORKS INC05366Y201COMMON STOCK129,524$5,470,000thousands, detected and multiplied
INTERACTIVE BROKERS GROUP INC COM CL A45841N107Stock53,968$5,287,000thousands, detected and multiplied
DOCEBO INC COM25609L105Stock117,820$5,271,000thousands, detected and multiplied
WESTERN ASSET EMERGING MARKETS95766A101COM409,810$5,055,000thousands, detected and multiplied
EGAIN CORP28225C806COM NEW405,056$4,952,000thousands, detected and multiplied
NUVEEN MUN CR INCOME FD67070X101COM SH BEN INT300,000$4,907,000thousands, detected and multiplied
TEXAS PACIFIC LAND CORPORATION COM88262P102Stock1,427$4,529,000thousands, detected and multiplied
JD.COM INC SPON ADS CL A47215P106ADR57,345$4,358,000thousands, detected and multiplied
BANDWIDTH INC05988JAB9NOTE 0.250% 3/04,000,000$4,114,000thousands, detected and multipliedprincipal
MORGAN STANLEY EMERGING MKTS617477104COM661,935$3,944,000thousands, detected and multiplied
EVENTBRITE INC29975EAB5NOTE 5.000%12/03,000,000$3,761,000thousands, detected and multipliedprincipal
UNIVERSAL TECHNICAL INST INC913915104COM403,862$3,675,000thousands, detected and multiplied
PELOTON INTERACTIVE INC70614W100CL A COM337,090$3,624,000thousands, detected and multiplied
WESTERN AST INFL LKD OPP & I95766R104COM283,708$3,507,000thousands, detected and multiplied
HOWARD HUGHES CORPORATION44267D107COMMON STOCK32,834$3,397,000thousands, detected and multiplied
SHAW COMMUNICATIONS INC82028K200CL B CONV81,020$3,161,000thousands, detected and multiplied
BEYOND MEAT INC08862EAB5NOTE 3/18,000,000$2,849,000thousands, detected and multipliedprincipal
ACCELERATE DIAGNOSTICS INC00430HAB8NOTE 2.500% 3/11,910,000$2,413,000thousands, detected and multipliedprincipal
BLOCK INC CL A852234103Stock27,130$2,308,000thousands, detected and multiplied
BROOKFIELD CORP CL A LTD VT SH11271J107Stock47,300$2,014,000thousands, detected and multiplied
TABULA RASA HEALTHCARE INC873379AA9NOTE1,789,000$1,910,000thousands, detected and multipliedprincipal
PEOPLE INC44891N208COM NEW28,700$1,725,000thousands, detected and multiplied
MAXEON SOLAR TECHNOLOGIES LT57779BAB0NOTE 6.500% 7/1990,000$1,508,000thousands, detected and multipliedprincipal
Starbucks Corporation855244109COM11,090$1,490,000thousands, detected and multiplied
D-WAVE QUANTUM INC26740W109COM747,838$1,458,000thousands, detected and multiplied
COLLIERS INTL GROUP INC SUB VTG SHS194693107Stock11,250$1,399,000thousands, detected and multiplied
KENNEDY-WILSON HOLDINGS INC489398107COM60,940$1,298,000thousands, detected and multiplied
MICROCHIP TECHNOLOGY INC. COM595017104Stock13,220$1,257,000thousands, detected and multiplied
NORTHROP GRUMMAN CORP COM666807102Stock1,640$1,212,000thousands, detected and multiplied
STARWOOD PPTY TR INC COM85571B105REIT47,400$1,176,000thousands, detected and multiplied
SNAP INC83304AAB2NOTE 0.75% 08/01/20261,000,000$1,156,000thousands, detected and multipliedprincipal
MOUNTAIN CREST ACQSITN CORP62404B107COM83,200$1,128,000thousands, detected and multiplied
AFFIRM HLDGS INC00827BAB2NOTE 11/11,500,000$1,127,000thousands, detected and multipliedprincipal
MONEYGRAM INTL INC60935Y208COM NEW70,200$1,035,000thousands, detected and multiplied
STORE CAP CORP862121100COM22,250$966,000thousands, detected and multiplied
ATLAS AIR WORLDWIDE HOLDINGS I049164205COM NEW7,030$959,000thousands, detected and multiplied
LIBERTY BROADBAND CORP530307305COM SER C8,820$909,000thousands, detected and multiplied
SIERRA WIRELESS INC826516106COM22,650$889,000thousands, detected and multiplied
CHURCHILL CAPITAL CORP VII17144M102COM CL A63,206$853,000thousands, detected and multiplied
NORTH AMERN CONSTR GROUP LTD656811106COM44,910$812,000thousands, detected and multiplied
MERIDIAN BIOSCIENCE INC589584101COMMON STOCK17,450$785,000thousands, detected and multiplied
FORGEROCK INC34631B101CL A24,300$749,000thousands, detected and multiplied
HEALTH SCIENCES ACQ CORP 2G4411D109ORD SHS55,300$748,000thousands, detected and multiplied
FIRST LT ACQUISITION GROUP I320703101CL A53,100$731,000thousands, detected and multiplied
CHURCHILL CAPITAL CORP VI17143W101COM53,170$720,000thousands, detected and multiplied
USERTESTING INC91734E101COM69,700$709,000thousands, detected and multiplied
SEASPINE HLDGS CORP81255T108COM61,260$693,000thousands, detected and multiplied
1LIFE HEALTHCARE INC68269G107COM24,900$563,000thousands, detected and multiplied
AVEO PHARMACEUTICALS INC053588307COM27,800$563,000thousands, detected and multiplied
ALTITUDE ACQUISITION CORP02156Y103COM CL A41,000$551,000thousands, detected and multiplied
EVO PMTS INC26927E104CL A COM11,900$545,000thousands, detected and multiplied
TEGNA INC COM87901J105Stock18,900$542,000thousands, detected and multiplied
COUPA SOFTWARE INCORPORATED22266L106COM4,900$525,000thousands, detected and multiplied
First Horizon Corporation320517105Common Capital Stock, par value $0.625 per share15,700$521,000thousands, detected and multiplied
BLACK KNIGHT INC COM09215C105Stock6,150$514,000thousands, detected and multiplied
KENSINGTON CAPITAL ACQUISITIG5251K103COM36,400$502,000thousands, detected and multiplied
BROOKFIELD ASSET MANAGMT LTD CL A LMT VTG SHS113004105Stock11,824$458,000thousands, detected and multiplied
IMAGO BIOSCIENCES INC45250K107COM9,300$453,000thousands, detected and multiplied
PROFESSIONAL HLDG CORP743139107COM11,870$446,000thousands, detected and multiplied
SPIRIT AIRLS INC848577102COM15,800$417,000thousands, detected and multiplied
WELSBACH TECH METALS ACQU CO950415109COM28,931$400,000thousands, detected and multiplied
SEMLER SCIENTIFIC INC81684M104COM8,400$375,000thousands, detected and multiplied
ATLAS CORPY0436Q109COM17,840$371,000thousands, detected and multiplied
AGROFRESH SOLUTIONS INC00856G109COM89,800$360,000thousands, detected and multiplied
WARNER BROS DISCOVERY INC COM SER A934423104Stock27,000$347,000thousands, detected and multiplied
MASON INDUSTRIAL TECHNOLGY I57520Y106COM CL A25,180$341,000thousands, detected and multiplied
FORTRESS CAPITAL ACQUISITIONG36427105SHS CL A22,255$304,000thousands, detected and multiplied
FIRST EAGLE ALTR CAP BDC INC26943B100COM51,850$299,000thousands, detected and multiplied
O2MICRO INTERNATIONAL LTD67107W100SPONS ADR48,400$293,000thousands, detected and multiplied
POSHMARK INC73739W104COM CL A11,540$279,000thousands, detected and multiplied
BITFUFU INC CL A ORD SHS040450108Stock20,390$274,000thousands, detected and multiplied
GOLDEN ARROW MERGER CORP380799106CLASS A COM19,450$264,000thousands, detected and multiplied
BENEFITFOCUS INC08180D106COM18,350$260,000thousands, detected and multiplied
ALTRA HOLDINGS INC02208R106COMMON STOCK3,200$259,000thousands, detected and multiplied
ELEVATE CREDIT INC28621V101COM108,600$257,000thousands, detected and multiplied
WESTERN ASST INFLTN LKD INM95766Q106COM SH BEN INT21,588$252,000thousands, detected and multiplied
SPROTT ASSET MANAGEMENT LP85208R101PHYSICAL GOLD AN10,000$243,000thousands, detected and multiplied
VISIONWAVE HOLDINGS INC COM066644105Stock16,300$224,000thousands, detected and multiplied
BROAD CAPITAL ACQUISITION CO11125B102COM16,173$224,000thousands, detected and multiplied
SOUTH JERSEY INDUSTRIES INC838518108COM4,120$198,000thousands, detected and multiplied
F-STAR THERAPEUTICS INC30315R107COM22,760$195,000thousands, detected and multiplied
MYOVANT SCIENCES LTDG637AM102COMMON STOCK-FO5,300$193,000thousands, detected and multiplied
KNOWBE4 INC49926T104COMMON STOCK5,550$186,000thousands, detected and multiplied
QUMU CORP749063103COM151,046$183,000thousands, detected and multiplied
AEROJET ROCKETDYNE HLDGS INC C007800105COM2,400$182,000thousands, detected and multiplied
STITCH FIX INC860897107COM CL A41,580$175,000thousands, detected and multiplied
COINBASE GLOBAL INC COM CL A19260Q107Stock2,900$139,000thousands, detected and multiplied
LAZARD GROWTH ACQUISITION COG54035103COM8,810$121,000thousands, detected and multiplied
FTAC HERA ACQUISITION CORPG3728Y103COM8,810$121,000thousands, detected and multiplied
SLAM CORPG8210L105COM8,810$120,000thousands, detected and multiplied
FUSION ACQUISITION CORP II36118N102COM8,820$120,000thousands, detected and multiplied
INDEPENDENCE HOLDINGS CORPG4761A101CLASS A ORD SHS8,816$120,000thousands, detected and multiplied
B RILEY PRIN 250 MERGER CORP05602L104COM8,840$119,000thousands, detected and multiplied
APOLLO STRATEGIC GRWT CPTL IG0412A102SHS CL A8,700$118,000thousands, detected and multiplied
SOCIAL CAP SUVRETTA HLDS CPG8253Y105CLASS A ORD SHS8,680$118,000thousands, detected and multiplied
SOCIAL CAP SUVRETTA HLDS CRPG8253U103CMN8,680$118,000thousands, detected and multiplied
KHOSLA VENTURES ACQUT CO III482506102COM CL A8,680$117,000thousands, detected and multiplied
WARBURG PINCUS CAPTAL CORP IG9460M108COM8,040$110,000thousands, detected and multiplied
JAWS MUSTANG ACQUISITION CORP SHS CL AG50737108Stock7,900$108,000thousands, detected and multiplied
WARBURG PINCUS CAPTAL CORP IG9461D107SHS CL A6,429$88,000thousands, detected and multiplied
ARES ACQUISITION CORPORATIONG33032106COM CL A6,400$87,000thousands, detected and multiplied
VECTOR ACQUISITION CORP IIG9460A104CL A SHS6,346$87,000thousands, detected and multiplied
ELLIOTT OPPORTUNITY II CORPG30092103CMN6,399$87,000thousands, detected and multiplied
MSD ACQUISITION CORPG5709C109CLASS A ORD SHS6,300$86,000thousands, detected and multiplied
OKLO INC COM CL A02156V109Stock6,346$85,000thousands, detected and multiplied
EDIFY ACQUISITION CORP28059Q103COM5,013$69,000thousands, detected and multiplied
NEXGEN ENERGY LTD COM65340P106Stock11,300$66,000thousands, detected and multiplied
RMG ACQUISITION CORP IIIG76088106CL A SHS4,255$58,000thousands, detected and multiplied
GULFPORT ENERGY CORP COMMON SHARES402635502Stock500$50,000thousands, detected and multiplied
SHOCKWAVE MED INC82489T104COM160$45,000thousands, detected and multiplied
PONTEM CORPORATIONG71707106COM2,900$40,000thousands, detected and multiplied
MAGNACHIP SEMICONDUCTOR CORP55933J203CMN2,800$35,000thousands, detected and multiplied
CANO HEALTH INC13781Y111WARR53,598$16,000thousands, detected and multiplied
FOLD HLDGS INC29103K100COM CL A135$2,000thousands, detected and multiplied
VELO3D INC92259N112*W EXP 09/29/2025,000$1,000thousands, detected and multiplied
JAWS HURRICANE ACQUISITN COR47201B111*W EXP 03/26/2022,500$1,000thousands, detected and multiplied
LANVIN GROUP HOLDINGS LIMITEG5380J118W EXP 01/14/2022,500$0thousands, detected and multipliedValue filed as zero, left out of ratios.
Jaws Mustang Acquisition CorpG50737124Warrant250$0thousands, detected and multipliedValue filed as zero, left out of ratios.
LEAD EDGE GROWTH OPRTUNTS LTG54085116WARR2,500$0thousands, detected and multipliedValue filed as zero, left out of ratios.
PEAR THERAPEUTICS INC704723113*W EXP 12/03/202333$0thousands, detected and multipliedValue filed as zero, left out of ratios.
TRITIUM DCFC LIMITEDQ9225T116*W EXP 01/13/202333$0thousands, detected and multipliedValue filed as zero, left out of ratios.

Amendment chain

FilingRoleFiledAcceptedIngested
13F-HR 0001706164-23-000001this filing2023-02-10acceptance time not in the bulk data set