13F-HR filed by PenderFund Capital Management Ltd.
PenderFund Capital Management Ltd. filed this 13F-HR for the quarter ended 2023-03-31, filed 2023-05-15, with 130 holding rows worth $318,441,000.
- Accession
- 0001706164-23-000002
- Filer
- CIK 1706164
- Filed
- 2023-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2023
A holdings report, 130 entries on the cover page, a total value of $318,441,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $318,441,000 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 filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| FIRST MAJESTIC SILVER CORP | 32076VAD5 | NOTE 0.375% 1/1 | 17,500,000 | $18,245,000 | thousands, detected and multiplied | principal |
| OPKO HEALTH INC | 68375NAD5 | NOTE 4.500% 2/1 | 14,000,000 | $17,548,000 | thousands, detected and multiplied | principal |
| PARATEK PHARMACEUTICALS INC | 699374AB0 | Convertible Bond | 15,510,000 | $15,930,000 | thousands, detected and multiplied | principal |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 11,795,000 | $13,303,000 | thousands, detected and multiplied | principal |
| PAR TECHNOLOGY CORP | 698884103 | COM | 277,761 | $12,748,000 | thousands, detected and multiplied | |
| SANGOMA TECHNOLOGIES CORP | 80100R408 | COM NEW | 2,398,707 | $12,185,000 | thousands, detected and multiplied | |
| BURFORD CAPITAL LIMITED | G17977110 | ORD SHS | 718,082 | $10,734,000 | thousands, detected and multiplied | |
| BANDWIDTH INC | 05988JAD5 | NOTE 0.500% 4/0 | 12,000,000 | $10,542,000 | thousands, detected and multiplied | principal |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 650,000 | $10,498,000 | thousands, detected and multiplied | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 7,377,675 | $9,838,000 | thousands, detected and multiplied | principal |
| Esperion Therapeutics Inc | 29664WAB1 | NOTE 4.000%11/15/25 | 17,454,000 | $9,826,000 | thousands, detected and multiplied | principal |
| FORUM ENERGY TECHNOLOGIES IN | 34984V209 | COMMON STOCK | 250,757 | $8,618,000 | thousands, detected and multiplied | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 2,160,000 | $7,765,000 | thousands, detected and multiplied | |
| SSR Mining Inc | 784730AB9 | Convertible bond | 5,000,000 | $7,435,000 | thousands, detected and multiplied | principal |
| KKR & CO INC | 48251W104 | COM | 98,620 | $7,000,000 | thousands, detected and multiplied | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 111,077 | $6,676,000 | thousands, detected and multiplied | |
| DOCEBO INC COM | 25609L105 | Stock | 117,820 | $6,482,000 | thousands, detected and multiplied | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 556,522 | $6,461,000 | thousands, detected and multiplied | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 129,524 | $6,032,000 | thousands, detected and multiplied | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 126,500 | $5,654,000 | thousands, detected and multiplied | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 49,178 | $5,487,000 | thousands, detected and multiplied | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 26,790 | $5,464,000 | thousands, detected and multiplied | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 69,570 | $5,310,000 | thousands, detected and multiplied | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 337,090 | $5,167,000 | thousands, detected and multiplied | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 761,935 | $4,654,000 | thousands, detected and multiplied | |
| BANDWIDTH INC | 05988JAB9 | NOTE 0.250% 3/0 | 4,000,000 | $4,222,000 | thousands, detected and multiplied | principal |
| EGAIN CORP | 28225C806 | COM NEW | 364,623 | $3,740,000 | thousands, detected and multiplied | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 287,378 | $3,554,000 | thousands, detected and multiplied | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 32,834 | $3,550,000 | thousands, detected and multiplied | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 56,665 | $3,360,000 | thousands, detected and multiplied | |
| TEXAS PACIFIC LAND CORPORATION COM | 88262P102 | Stock | 1,427 | $3,281,000 | thousands, detected and multiplied | |
| SNAP INC | 83304AAH9 | NOTE 0.125% 3/0 | 3,000,000 | $2,865,000 | thousands, detected and multiplied | principal |
| BEYOND MEAT INC | 08862EAB5 | NOTE 3/1 | 8,000,000 | $2,595,000 | thousands, detected and multiplied | principal |
| BLOCK INC CL A | 852234103 | Stock | 27,130 | $2,517,000 | thousands, detected and multiplied | |
| PEOPLE INC | 44891N208 | COM NEW | 28,700 | $2,001,000 | thousands, detected and multiplied | |
| SNAP INC | 83304AAF3 | NOTE 5/0 | 2,000,000 | $1,983,000 | thousands, detected and multiplied | principal |
| AMRYT PHARMA LTD - SPNR ADR | 03217L106 | COMMON EQUITY | 95,370 | $1,879,000 | thousands, detected and multiplied | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 23,130 | $1,594,000 | thousands, detected and multiplied | |
| MAXEON SOLAR TECHNOLOGIES LT | 57779BAB0 | NOTE 6.500% 7/1 | 740,000 | $1,586,000 | thousands, detected and multiplied | principal |
| BLACK KNIGHT INC COM | 09215C105 | Stock | 20,170 | $1,569,000 | thousands, detected and multiplied | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 109,700 | $1,543,000 | thousands, detected and multiplied | |
| BROOKFIELD CORP CL A LTD VT SH | 11271J107 | Stock | 33,090 | $1,457,000 | thousands, detected and multiplied | |
| CHURCHILL CAPITAL CORP VII | 17144M102 | COM CL A | 104,766 | $1,436,000 | thousands, detected and multiplied | |
| CHURCHILL CAPITAL CORP VI | 17143W101 | COM | 104,780 | $1,432,000 | thousands, detected and multiplied | |
| RADIUS GLOBAL INFRASTRUCTURE INC | 750481103 | COMMON STOCK | 70,810 | $1,404,000 | thousands, detected and multiplied | |
| CVENT HOLDING CORP | 126677103 | COM | 123,110 | $1,390,000 | thousands, detected and multiplied | |
| CINER RES LP | 172464109 | COM UNIT LTD | 35,942 | $1,220,000 | thousands, detected and multiplied | |
| INDUS REALTY TRUST INC | 45580R103 | TRUS | 13,230 | $1,185,000 | thousands, detected and multiplied | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 270,846 | $1,098,000 | thousands, detected and multiplied | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 9,150 | $1,070,000 | thousands, detected and multiplied | |
| FORGEROCK INC | 34631B101 | CL A | 37,430 | $1,042,000 | thousands, detected and multiplied | |
| MOMENTIVE GLOBAL INC | 60878Y108 | COM | 81,680 | $1,029,000 | thousands, detected and multiplied | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 9,060 | $1,026,000 | thousands, detected and multiplied | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 44,910 | $1,012,000 | thousands, detected and multiplied | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 24,030 | $972,000 | thousands, detected and multiplied | |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 59,050 | $972,000 | thousands, detected and multiplied | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 41,150 | $923,000 | thousands, detected and multiplied | |
| FIRST LT ACQUISITION GROUP I | 320703101 | CL A | 66,323 | $921,000 | thousands, detected and multiplied | |
| PROVENTION BIO INC | 74374N102 | COM | 28,250 | $920,000 | thousands, detected and multiplied | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 34,810 | $836,000 | thousands, detected and multiplied | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 17,290 | $819,000 | thousands, detected and multiplied | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 30,330 | $814,000 | thousands, detected and multiplied | |
| DIVERSEY HLDGS LTD | G28923103 | COM | 74,410 | $814,000 | thousands, detected and multiplied | |
| TREAN INS GROUP INC | 89457R101 | COM | 96,580 | $799,000 | thousands, detected and multiplied | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 20,170 | $798,000 | thousands, detected and multiplied | |
| SUMO LOGIC INC | 86646P103 | COM | 49,050 | $794,000 | thousands, detected and multiplied | |
| SPIRIT AIRLS INC | 848577102 | COM | 33,930 | $787,000 | thousands, detected and multiplied | |
| KIMBALL INTL INC | 494274103 | CL B | 46,810 | $784,000 | thousands, detected and multiplied | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 97,489 | $783,000 | thousands, detected and multiplied | |
| BLUE SAFARI GRP ACQUISITN CO | G1195R106 | CLASS A ORD SHS | 52,830 | $775,000 | thousands, detected and multiplied | |
| HAWKS ACQUISITION CORP | 42032P108 | CL A | 56,230 | $773,000 | thousands, detected and multiplied | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 5,380 | $767,000 | thousands, detected and multiplied | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 6,000 | $754,000 | thousands, detected and multiplied | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 31,400 | $751,000 | thousands, detected and multiplied | |
| BERKSHIRE GREY INC | 084656107 | COM | 401,610 | $746,000 | thousands, detected and multiplied | |
| FOCUS FINANCIAL PARTNERS INC. | 34417P100 | COM CL A | 10,550 | $739,000 | thousands, detected and multiplied | |
| Starbucks Corporation | 855244109 | COM | 5,230 | $736,000 | thousands, detected and multiplied | |
| WELSBACH TECH METALS ACQU CO | 950415109 | COM | 51,231 | $719,000 | thousands, detected and multiplied | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 6,250 | $690,000 | thousands, detected and multiplied | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 8,760 | $665,000 | thousands, detected and multiplied | |
| ALTITUDE ACQUISITION CORP | 02156Y103 | COM CL A | 48,368 | $665,000 | thousands, detected and multiplied | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 246,310 | $616,000 | thousands, detected and multiplied | |
| REDWOODS ACQUISITION CORP | 758083109 | COM | 41,558 | $580,000 | thousands, detected and multiplied | |
| WARNER BROS DISCOVERY INC COM SER A | 934423104 | Stock | 27,000 | $551,000 | thousands, detected and multiplied | |
| TEGNA INC COM | 87901J105 | Stock | 23,280 | $532,000 | thousands, detected and multiplied | |
| DUET ACQUISITION CORP | 26431Q106 | COM | 37,860 | $530,000 | thousands, detected and multiplied | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 2,720 | $518,000 | thousands, detected and multiplied | |
| KENSINGTON CAPITAL ACQUISITI | G5251K103 | COM | 36,400 | $513,000 | thousands, detected and multiplied | |
| OKLO INC COM CL A | 02156V109 | Stock | 34,776 | $477,000 | thousands, detected and multiplied | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 750 | $468,000 | thousands, detected and multiplied | |
| NUVASIVE INC | 670704105 | COM | 7,500 | $419,000 | thousands, detected and multiplied | |
| HORIZON THERAPEUTICS PLC | G46188101 | SHS | 2,700 | $398,000 | thousands, detected and multiplied | |
| SEAGEN INC | 81181C104 | COM | 1,450 | $397,000 | thousands, detected and multiplied | |
| QUALTRICS INTL INC | 747601201 | COM CL A | 14,000 | $337,000 | thousands, detected and multiplied | |
| STITCH FIX INC | 860897107 | COM CL A | 41,580 | $287,000 | thousands, detected and multiplied | |
| BITFUFU INC CL A ORD SHS | 040450108 | Stock | 20,390 | $284,000 | thousands, detected and multiplied | |
| COINBASE GLOBAL INC COM CL A | 19260Q107 | Stock | 2,900 | $265,000 | thousands, detected and multiplied | |
| ALTIMAR ACQUISITION CORP III | G0370U108 | CMN | 19,294 | $263,000 | thousands, detected and multiplied | |
| BLUESCAPE OPPORTUNITIES ACQU | G1195N105 | COM | 16,257 | $219,000 | thousands, detected and multiplied | |
| APOLLO STRATEGIC GRWT CPTL I | G0412A102 | SHS CL A | 15,272 | $212,000 | thousands, detected and multiplied | |
| BANNER ACQUISITION CORP | 06654K101 | COM | 13,102 | $181,000 | thousands, detected and multiplied | |
| B RILEY PRIN 250 MERGER CORP | 05602L104 | COM | 11,490 | $158,000 | thousands, detected and multiplied | |
| SOCIAL CAP SUVRETTA HLDS CRP | G8253U103 | CMN | 11,440 | $158,000 | thousands, detected and multiplied | |
| ELLIOTT OPPORTUNITY II CORP | G30092103 | CMN | 11,399 | $158,000 | thousands, detected and multiplied | |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 4,200 | $153,000 | thousands, detected and multiplied | |
| FOLD HLDGS INC | 29103K100 | COM CL A | 9,935 | $137,000 | thousands, detected and multiplied | |
| SOCIAL CAP SUVRETTA HLDS CP | G8253Y105 | CLASS A ORD SHS | 9,910 | $137,000 | thousands, detected and multiplied | |
| BLACK MOUNTAIN ACQ CORP | 09216A108 | COM | 8,783 | $123,000 | thousands, detected and multiplied | |
| CORNER GROWTH ACQUISITION CO | G2425N105 | COM | 7,060 | $96,000 | thousands, detected and multiplied | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 147,459 | $88,000 | thousands, detected and multiplied | |
| ROYALTY MANAGEMENT HOLDING CORPORATION | 02369M102 | CLASS A COMMON STOCK | 5,832 | $80,000 | thousands, detected and multiplied | |
| EDIFY ACQUISITION CORP | 28059Q103 | COM | 5,013 | $69,000 | thousands, detected and multiplied | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 11,300 | $59,000 | thousands, detected and multiplied | |
| BERENSON ACQUISITION CORP I | 083690107 | COM | 4,351 | $59,000 | thousands, detected and multiplied | |
| RMG ACQUISITION CORP III | G76088106 | CL A SHS | 4,059 | $55,000 | thousands, detected and multiplied | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 2,800 | $35,000 | thousands, detected and multiplied | |
| GOLDENBRIDGE ACQUISITION LTD | G3970D104 | SHS | 2,130 | $31,000 | thousands, detected and multiplied | |
| SILVERBOX CORP III | 82836N206 | UNIT 02/28/2028 | 1,000 | $14,000 | thousands, detected and multiplied | |
| CANO HEALTH INC | 13781Y111 | WARR | 53,598 | $12,000 | thousands, detected and multiplied | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 6,709 | $6,000 | thousands, detected and multiplied | |
| VELO3D INC | 92259N112 | *W EXP 09/29/202 | 5,000 | $3,000 | thousands, detected and multiplied | |
| BLUERIVER ACQUISITION CORP | G1261Q107 | COM | 126 | $2,000 | thousands, detected and multiplied | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 128 | $1,000 | thousands, detected and multiplied | |
| LANVIN GROUP HOLDINGS LIMITE | G5380J118 | W EXP 01/14/202 | 2,500 | $1,000 | thousands, detected and multiplied | |
| JAWS HURRICANE ACQUISITN COR | 47201B111 | *W EXP 03/26/202 | 2,500 | $1,000 | thousands, detected and multiplied | |
| Jaws Mustang Acquisition Corp | G50737124 | Warrant | 250 | $0 | thousands, detected and multiplied | Value filed as zero, left out of ratios. |
| PEAR THERAPEUTICS INC | 704723113 | *W EXP 12/03/202 | 333 | $0 | thousands, detected and multiplied | Value filed as zero, left out of ratios. |
| TRITIUM DCFC LIMITED | Q9225T116 | *W EXP 01/13/202 | 333 | $0 | thousands, detected and multiplied | Value filed as zero, left out of ratios. |
| JETAI INC COM | G6855L109 | Stock | 4 | $0 | thousands, detected and multiplied | Value filed as zero, left out of ratios. |
| ALLEGO N V | N0796A118 | WTS | 250 | $0 | thousands, detected and multiplied | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001706164-23-000002 | this filing | 2023-05-15 | acceptance time not in the bulk data set |