13F-HR filed by PenderFund Capital Management Ltd.
PenderFund Capital Management Ltd. filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-14, with 112 holding rows worth $333,695,000.
- Accession
- 0001706164-23-000004
- Filer
- CIK 1706164
- Filed
- 2023-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 112 entries on the cover page, a total value of $333,695,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $333,695,000 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 |
|---|---|---|---|---|---|---|
| Esperion Therapeutics Inc | 29664WAB1 | NOTE 4.000%11/15/25 | 41,029,000 | $29,833,000 | thousands, detected and multiplied | principal |
| FIRST MAJESTIC SILVER CORP | 32076VAD5 | NOTE 0.375% 1/1 | 23,000,000 | $23,637,000 | thousands, detected and multiplied | principal |
| OPKO HEALTH INC | 68375NAD5 | NOTE 4.500% 2/1 | 14,000,000 | $18,892,000 | thousands, detected and multiplied | principal |
| BANDWIDTH INC | 05988JAD5 | NOTE 0.500% 4/0 | 19,500,000 | $17,217,000 | thousands, detected and multiplied | principal |
| BURFORD CAPITAL LIMITED | G17977110 | ORD SHS | 846,905 | $16,104,000 | thousands, detected and multiplied | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 296,349 | $15,513,000 | thousands, detected and multiplied | |
| SANGOMA TECHNOLOGIES CORP | 80100R408 | COM NEW | 3,097,833 | $14,622,000 | thousands, detected and multiplied | |
| SSR Mining Inc | 784730AB9 | Convertible bond | 10,150,000 | $14,136,000 | thousands, detected and multiplied | principal |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 9,295,000 | $12,549,000 | thousands, detected and multiplied | principal |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 850,000 | $11,707,000 | thousands, detected and multiplied | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 850,000 | $11,176,000 | thousands, detected and multiplied | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 757,000 | $10,724,000 | thousands, detected and multiplied | |
| FORUM ENERGY TECHNOLOGIES IN | 34984V209 | COMMON STOCK | 200,122 | $6,529,000 | thousands, detected and multiplied | |
| DOCEBO INC COM | 25609L105 | Stock | 117,820 | $6,490,000 | thousands, detected and multiplied | |
| KKR & CO INC | 48251W104 | COM | 71,060 | $5,945,000 | thousands, detected and multiplied | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 967,918 | $5,601,000 | thousands, detected and multiplied | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 129,524 | $5,489,000 | thousands, detected and multiplied | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 125,620 | $5,354,000 | thousands, detected and multiplied | |
| TEXAS PACIFIC LAND CORPORATION COM | 88262P102 | Stock | 1,907 | $4,723,000 | thousands, detected and multiplied | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 200,000 | $4,710,000 | thousands, detected and multiplied | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 416,436 | $4,655,000 | thousands, detected and multiplied | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 407,300 | $4,592,000 | thousands, detected and multiplied | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 37,758 | $4,439,000 | thousands, detected and multiplied | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 69,847 | $4,378,000 | thousands, detected and multiplied | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 23,930 | $4,367,000 | thousands, detected and multiplied | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 43,810 | $3,126,000 | thousands, detected and multiplied | |
| EGAIN CORP | 28225C806 | COM NEW | 338,902 | $2,822,000 | thousands, detected and multiplied | |
| MAGNITE INC | 55955DAB6 | NOTE 0.250% 3/1 | 2,000,000 | $2,365,000 | thousands, detected and multiplied | principal |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 337,090 | $2,312,000 | thousands, detected and multiplied | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 56,665 | $2,242,000 | thousands, detected and multiplied | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 644,870 | $2,146,000 | thousands, detected and multiplied | |
| PEOPLE INC | 44891N208 | COM NEW | 26,100 | $1,786,000 | thousands, detected and multiplied | |
| BROOKFIELD CORP CL A LTD VT SH | 11271J107 | Stock | 40,690 | $1,728,000 | thousands, detected and multiplied | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 42,060 | $1,705,000 | thousands, detected and multiplied | |
| GREENHILL & CO INC COM | 395259104 | Stock | 82,410 | $1,657,000 | thousands, detected and multiplied | |
| AVANTAX INC | 095229100 | COMMON STOCK | 42,064 | $1,461,000 | thousands, detected and multiplied | |
| BEYOND MEAT INC | 08862EAB5 | NOTE 3/1 | 4,000,000 | $1,453,000 | thousands, detected and multiplied | principal |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 100,000 | $1,400,000 | thousands, detected and multiplied | |
| EMAGIN CORP | 29076N206 | COM | 512,400 | $1,385,000 | thousands, detected and multiplied | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 21,712 | $1,337,000 | thousands, detected and multiplied | |
| NATIONAL INSTRS CORP | 636518102 | COM | 16,420 | $1,330,000 | thousands, detected and multiplied | |
| MIDWEST HLDG INC | 59833J206 | COM NEW | 35,618 | $1,265,000 | thousands, detected and multiplied | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 90,023 | $1,261,000 | thousands, detected and multiplied | |
| DENBURY INC | 24790A101 | COM | 9,370 | $1,247,000 | thousands, detected and multiplied | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 87,710 | $1,231,000 | thousands, detected and multiplied | |
| CIRCOR INTL INC | 17273K109 | COM | 15,930 | $1,206,000 | thousands, detected and multiplied | |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 16,160 | $1,177,000 | thousands, detected and multiplied | |
| THORNE HEALTHTECH INC | 885260109 | COM | 79,830 | $1,105,000 | thousands, detected and multiplied | |
| NEOGAMES S A | L6673X107 | COM | 30,110 | $1,104,000 | thousands, detected and multiplied | |
| ABCAM PLC | 000380204 | ADR USD | 35,830 | $1,101,000 | thousands, detected and multiplied | |
| POLYMET MNG CORP | 731916409 | COM | 380,905 | $1,076,000 | thousands, detected and multiplied | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 27,626 | $1,008,000 | thousands, detected and multiplied | |
| VERITIV CORP | 923454102 | COM | 4,190 | $961,000 | thousands, detected and multiplied | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 9,060 | $960,000 | thousands, detected and multiplied | |
| QNITY ELECTRONICS INC | 817323207 | COM | 248,238 | $954,000 | thousands, detected and multiplied | |
| KALEYRA INC | 483379202 | COM | 92,360 | $908,000 | thousands, detected and multiplied | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 66,867 | $896,000 | thousands, detected and multiplied | |
| CHASE CORP | 16150R104 | COM | 5,150 | $890,000 | thousands, detected and multiplied | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 56,280 | $887,000 | thousands, detected and multiplied | |
| CAPRI HOLDINGS LIMITED | G1890L107 | SHS | 12,380 | $885,000 | thousands, detected and multiplied | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 34,840 | $877,000 | thousands, detected and multiplied | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 76,220 | $876,000 | thousands, detected and multiplied | |
| BERKELEY LTS INC | 084310101 | COM | 635,800 | $862,000 | thousands, detected and multiplied | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 31,400 | $825,000 | thousands, detected and multiplied | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 41,150 | $824,000 | thousands, detected and multiplied | |
| SOVOS BRANDS INC | 84612U107 | COM | 26,810 | $821,000 | thousands, detected and multiplied | |
| Rithm Property Trust Inc | 38983D300 | REIT | 89,190 | $780,000 | thousands, detected and multiplied | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 6,250 | $775,000 | thousands, detected and multiplied | |
| SPIRIT AIRLS INC | 848577102 | COM | 33,930 | $760,000 | thousands, detected and multiplied | |
| SEAGEN INC | 81181C104 | COM | 2,630 | $758,000 | thousands, detected and multiplied | |
| STRATASYS LTD | M85548101 | SHS | 40,840 | $755,000 | thousands, detected and multiplied | |
| HORIZON THERAPEUTICS PLC | G46188101 | SHS | 4,330 | $680,000 | thousands, detected and multiplied | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 5,670 | $659,000 | thousands, detected and multiplied | |
| Starbucks Corporation | 855244109 | COM | 5,230 | $648,000 | thousands, detected and multiplied | |
| BLUESCAPE OPPORTUNITIES ACQU | G1195N105 | COM | 46,852 | $638,000 | thousands, detected and multiplied | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 19,900 | $586,000 | thousands, detected and multiplied | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 31,023 | $581,000 | thousands, detected and multiplied | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 2,720 | $537,000 | thousands, detected and multiplied | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 10,370 | $534,000 | thousands, detected and multiplied | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 47,666 | $506,000 | thousands, detected and multiplied | |
| OKLO INC COM CL A | 02156V109 | Stock | 34,776 | $489,000 | thousands, detected and multiplied | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 750 | $448,000 | thousands, detected and multiplied | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 3,060 | $440,000 | thousands, detected and multiplied | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 15,620 | $429,000 | thousands, detected and multiplied | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 72,090 | $419,000 | thousands, detected and multiplied | |
| PFSWEB INC | 717098206 | COM | 41,217 | $417,000 | thousands, detected and multiplied | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 3,250 | $413,000 | thousands, detected and multiplied | |
| 3M CO COM | 88579Y101 | Stock | 3,140 | $399,000 | thousands, detected and multiplied | |
| TIMBER PHARMACEUTICALS INC | 887080208 | COM | 96,790 | $391,000 | thousands, detected and multiplied | |
| INFLECTION PT ACQUISITN CRP | G4790U102 | CL A ORD SHS | 25,000 | $347,000 | thousands, detected and multiplied | |
| NEXTGEN HEALTHCARE INC | 65343C102 | COMMON STOCK | 10,290 | $332,000 | thousands, detected and multiplied | |
| SCIPLAY CORPORATION | 809087109 | CL A | 7,100 | $220,000 | thousands, detected and multiplied | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 123,444 | $213,000 | thousands, detected and multiplied | |
| FOCUS IMPACT BH3 ACQUISITION | 22677T102 | CLASS A COM | 13,756 | $197,000 | thousands, detected and multiplied | |
| SPLUNK INC | 848637104 | COM | 560 | $111,000 | thousands, detected and multiplied | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 11,300 | $92,000 | thousands, detected and multiplied | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 1,490 | $67,000 | thousands, detected and multiplied | |
| PACWEST BANCORP DEL | 695263103 | COM | 5,992 | $64,000 | thousands, detected and multiplied | |
| Electriq Power Holdings Inc | 285046108 | Equity | 21,917 | $52,000 | thousands, detected and multiplied | |
| BERENSON ACQUISITION CORP I | 083690107 | COM | 1,791 | $25,000 | thousands, detected and multiplied | |
| FINTECH ECOSYSTEM DEVE | 318136108 | COM | 1,721 | $25,000 | thousands, detected and multiplied | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 5,210 | $22,000 | thousands, detected and multiplied | |
| LANDCADIA HOLDINGS IV INC | 51477A104 | CLASS A COM | 1,145 | $16,000 | thousands, detected and multiplied | |
| SILVERBOX CORP III | 82836N107 | COM CL A | 1,000 | $14,000 | thousands, detected and multiplied | |
| CANO HEALTH INC | 13781Y111 | WARR | 53,598 | $4,000 | thousands, detected and multiplied | |
| INFLECTION PT ACQUISITN CRP | G4790U110 | *W EXP 08/31/202 | 12,499 | $3,000 | thousands, detected and multiplied | |
| ALSET CAPITAL ACQUISITION CO | 02115M109 | CLASS A COM | 182 | $3,000 | thousands, detected and multiplied | |
| LANVIN GROUP HOLDINGS LIMITE | G5380J118 | W EXP 01/14/202 | 2,500 | $1,000 | thousands, detected and multiplied | |
| VELO3D INC | 92259N112 | *W EXP 09/29/202 | 5,000 | $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. |
| SILVERBOX CORP III | 82836N115 | *W EXP 02/28/202 | 332 | $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. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001706164-23-000004 | this filing | 2023-11-14 | acceptance time not in the bulk data set |