Close

Form 13F-HR PenderFund Capital Manag For: Mar 31

FREE Breaking News Alerts from StreetInsider.com!

E-mail Address

StreetInsider.com Top Tickers, 4/18/2024

1. JBHT
2. UAL
3. TSLA
4. SAGE
5. TRV
6. LVS
7. SPY
8. ASML
9. PLD
10. TSM


May 17, 2022 9:35 AM EDT

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
Report for the Calendar Year or Quarter Ended: 03-31-2022
Check here if Amendment   Amendment Number:
This Amendment (Check only one.):   is a restatement.
  adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: PenderFund Capital Management Ltd.
Address: SUITE 1830, 1066 W. HASTINGS STREET
VANCOUVER , A1V6E 3X2
Form 13F File Number: 028-18272

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name: Gina Jones
Title: CFO, CCO
Phone: 236-521-2988
Signature, Place, and Date of Signing:
Gina Jones Vancouver , A1 05-16-2022
[Signature] [City, State] [Date]
Report Type (Check only one.):
X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
  13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
  13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 172
Form 13F Information Table Value Total: 408,318
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name

List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
26 CAPITAL ACQUISITION CORP COM CL A 90138P100 79 6,400 SH SOLE 6,400 0 0
5 01 ACQUISITION CORP COM CL A 33836P105 41 3,310 SH SOLE 3,310 0 0
ACCELERATE ACQUISITION CORP COM CL A 00439D102 79 6,500 SH SOLE 6,500 0 0
ACCELERATE DIAGNOSTICS INC NOTE 2.500% 3/1 00430HAB8 4,636 5,560,000 PRN SOLE 5,560,000 0 0
ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1,591 11,700 SH SOLE 11,700 0 0
ALLEGHANY CORP MD COM 017175100 371 350 SH SOLE 350 0 0
ALTC ACQUISITION CORP COM CL A 02156V109 77 6,346 SH SOLE 6,346 0 0
ALTIMETER GROWTH CORP 2 COM CL A G0371B109 79 6,400 SH SOLE 6,400 0 0
ALTITUDE ACQUISITION CORP COM CL A 02156Y103 99 7,974 SH SOLE 7,974 0 0
AMERICAN NATIONAL GROUP INC COM NEW 02772A109 410 1,735 SH SOLE 1,735 0 0
ANAPLAN INC COM 03272L108 455 5,600 SH SOLE 5,600 0 0
ANTERIX INC COM 03676C100 7,123 98,400 SH SOLE 98,400 0 0
APOLLO STRATEGIC GRWT CPTL I SHS CL A G0412A102 78 6,400 SH SOLE 6,400 0 0
ARES ACQUISITION CORPORATION COM CL A G33032106 78 6,400 SH SOLE 6,400 0 0
AUSTERLITZ ACQUISITION CORP COM CL A G0633U101 79 6,500 SH SOLE 6,500 0 0
AVANTI ACQUISITION CORP SHS CL A G0682V109 26 2,100 SH SOLE 2,100 0 0
AVIAT NETWORKS INC COM NEW 05366Y201 10,006 260,109 SH SOLE 260,109 0 0
B RILEY PRIN 250 MERGER CORP CLASS A COM 05602L104 79 6,500 SH SOLE 6,500 0 0
BAIDU INC SPON ADR REP A 056752108 10,655 64,420 SH SOLE 64,420 0 0
BAOZUN INC NOTE 1.625% 5/0 06684LAB9 1,385 1,100,000 PRN SOLE 1,100,000 0 0
BAUSCH HEALTH COS INC COM 071734107 5,453 190,925 SH SOLE 190,925 0 0
BLOCK INC CL A 852234103 5,008 29,540 SH SOLE 29,540 0 0
BLUEROCK RESIDENTIAL GWT REI COM CL A 09627J102 478 14,400 SH SOLE 14,400 0 0
BLUESCAPE OPPORTUNITIES ACQU SHS G1195N105 16 1,300 SH SOLE 1,300 0 0
BOTTOMLINE TECH DEL INC COM 101388106 510 7,200 SH SOLE 7,200 0 0
BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 2,945 41,660 SH SOLE 41,660 0 0
BURFORD CAP LTD ORD SHS ORD SHS G17977110 14,688 1,278,419 SH SOLE 1,278,419 0 0
CANO HEALTH INC *W EXP 06/03/202 13781Y111 113 57,198 SH SOLE 57,198 0 0
CC NEUBERGER PRIN HLDGS II SHS CL A G3166T103 25 2,000 SH SOLE 2,000 0 0
CEDAR FAIR L P DEPOSITRY UNIT 150185106 41 600 SH SOLE 600 0 0
CEDAR REALTY TRUST INC COM NEW 150602605 152 4,400 SH SOLE 4,400 0 0
CERNER CORP COM 156782104 357 3,050 SH SOLE 3,050 0 0
CF ACQUISITION CORP IV COM CL A 12520T102 87 7,100 SH SOLE 7,100 0 0
CHURCHILL CAPITAL CORP VI COM CL A 17143W101 79 6,400 SH SOLE 6,400 0 0
CHURCHILL CAPITAL CORP VII COM CL A 17144M102 79 6,426 SH SOLE 6,426 0 0
CITRIX SYS INC COM 177376100 467 3,700 SH SOLE 3,700 0 0
COHN ROBBINS HOLDINGS CORP COM CL A G23726105 50 4,000 SH SOLE 4,000 0 0
COINBASE GLOBAL INC COM CL A 19260Q107 973 4,100 SH SOLE 4,100 0 0
COLLIERS INTL GROUP INC SUB VTG SHS 194693107 684 4,200 SH SOLE 4,200 0 0
COMPUTE HEALTH ACQUISITIN CO COM CL A 204833107 79 6,500 SH SOLE 6,500 0 0
CORNER GROWTH ACQUISITN CORP CLASS A ORD SHS G2426E104 0 10 SH SOLE 10 0 0
DISCOVERY INC COM SER C 25470F302 1,174 37,600 SH SOLE 37,600 0 0
DUNE ACQUISITION CORP COM CL A 265334102 80 6,400 SH SOLE 6,400 0 0
E MERGE TECHNOLOGY ACQUISITI COM CL A 26873Y104 111 8,979 SH SOLE 8,979 0 0
EBIX INC COM NEW 278715206 4,692 113,207 SH SOLE 113,207 0 0
EGAIN CORP COM NEW 28225C806 8,183 565,218 SH SOLE 565,218 0 0
ELLIOTT OPPORTUNITY II CORP SHS CL A G30092103 78 6,399 SH SOLE 6,399 0 0
ELMIRA SVGS BK ELMIRA N Y COM 289660102 315 10,987 SH SOLE 10,987 0 0
ESPERION THERAPEUTICS INC NE NOTE 4.000%11/1 29664WAB1 19,704 29,679,000 PRN SOLE 29,679,000 0 0
EXTERRAN CORP COM 30227H106 191 24,600 SH SOLE 24,600 0 0
FERRO CORP COM 315405100 342 12,584 SH SOLE 12,584 0 0
FIRSTSERVICE CORP NEW COM 33767E202 597 3,300 SH SOLE 3,300 0 0
FLAGSTAR BANCORP INC COM PAR .001 337930705 207 3,900 SH SOLE 3,900 0 0
FORTRESS CAPITAL ACQUISITION SHS CL A G36427105 4 335 SH SOLE 335 0 0
FORTRESS VALUE ACQUISI CORP COM CL A 34964K108 78 6,400 SH SOLE 6,400 0 0
FORUM ENERGY TECHNOLOGIES IN NOTE 9.000% 8/0 34984VAC4 8,899 7,123,134 PRN SOLE 7,123,134 0 0
FTAC HERA ACQUISITION CORP CLASS A ORD SHS G3728Y103 80 6,500 SH SOLE 6,500 0 0
FUSION ACQUISITION CORP II COM CL A 36118N102 80 6,500 SH SOLE 6,500 0 0
GO ACQUISITION CORP COM 362019101 102 8,278 SH SOLE 8,278 0 0
GULFPORT ENERGY CORP COMMON SHARES 402635502 56 500 SH SOLE 500 0 0
HAMILTON LANE ALLIANCE HLDGS COM CL A 40749M103 80 6,500 SH SOLE 6,500 0 0
HEALTH ASSURN ACQUISITION CO COM CL A 42226W109 72 5,880 SH SOLE 5,880 0 0
HEALTHCARE TR AMER INC CL A NEW 42225P501 255 6,500 SH SOLE 6,500 0 0
HELLO GROUP INC NOTE 1.250% 7/0 60879BAB3 3,965 3,500,000 PRN SOLE 3,500,000 0 0
HIGHLAND TRANSCEND PARTNERS COM CL A G44690108 48 3,900 SH SOLE 3,900 0 0
HOUGHTON MIFFLIN HARCOURT CO COM 44157R109 126 4,800 SH SOLE 4,800 0 0
HOWARD HUGHES CORP COM 44267D107 6,273 48,432 SH SOLE 48,432 0 0
HUDSON EXECUTIVE INVES III COM CL A 44376L107 79 6,500 SH SOLE 6,500 0 0
HUDSON EXECUTIVE INVS CORP I COM CL A 443760103 80 6,500 SH SOLE 6,500 0 0
IAC INTERACTIVECORP NEW COM NEW 44891N208 3,940 31,430 SH SOLE 31,430 0 0
INDEPENDENCE HOLDINGS CORP CLASS A ORD SHS G4761A101 80 6,506 SH SOLE 6,506 0 0
INTERACTIVE BROKERS GROUP IN COM CL A 45841N107 9,121 110,700 SH SOLE 110,700 0 0
INTERSECT ENT INC COM 46071F103 172 4,900 SH SOLE 4,900 0 0
INTRICON CORP COM 46121H109 167 5,600 SH SOLE 5,600 0 0
JAWS HURRICANE ACQUISITN COR *W EXP 03/26/202 47201B111 2 2,500 SH SOLE 2,500 0 0
JAWS MUSTANG ACQUISITION COR *W EXP 01/30/202 G50737124 0 250 SH SOLE 250 0 0
JAWS MUSTANG ACQUISITION COR SHS CL A G50737108 78 6,400 SH SOLE 6,400 0 0
JD.COM INC SPON ADR CL A 47215P106 6,649 91,905 SH SOLE 91,905 0 0
KARYOPHARM THERAPEUTICS INC NOTE 3.000%10/1 48576UAA4 1,615 1,500,000 PRN SOLE 1,500,000 0 0
KENNEDY-WILSON HOLDINGS INC COM 489398107 1,326 43,500 SH SOLE 43,500 0 0
KHOSLA VENTURES ACQUT CO III COM CL A 482506102 78 6,400 SH SOLE 6,400 0 0
KKR & CO INC COM 48251W104 8,103 110,858 SH SOLE 110,858 0 0
KKR ACQUISITION HOLDING I CO COM CLASS A 48253T109 80 6,500 SH SOLE 6,500 0 0
LANDCADIA HOLDINGS IV INC CLASS A COM 51477A104 80 6,500 SH SOLE 6,500 0 0
LAZARD GROWTH ACQUISITION CO CL A ORD SHS G54035103 80 6,500 SH SOLE 6,500 0 0
LEAD EDGE GROWTH OPRTUNTS LT *W EXP 04/01/202 G54085116 1 2,500 SH SOLE 2,500 0 0
LENDINGTREE INC NOTE 0.500% 7/1 52603BAD9 1,289 1,250,000 PRN SOLE 1,250,000 0 0
LEVEL ONE BANCORP INC COM 52730D208 200 4,000 SH SOLE 4,000 0 0
LUX HEALTH TECH ACQUISITION *W EXP 11/30/202 55068A118 17 32,999 SH SOLE 32,999 0 0
MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 59 2,800 SH SOLE 2,800 0 0
MASON INDUSTRIAL TECHNOLGY I COM CL A 57520Y106 79 6,500 SH SOLE 6,500 0 0
MAXAR TECHNOLOGIES INC COM 57778K105 15,439 313,861 SH SOLE 313,861 0 0
MAXEON SOLAR TECHNOLOGIES LT NOTE 6.500% 7/1 57779BAB0 1,039 740,000 PRN SOLE 740,000 0 0
MERITOR INC COM 59001K100 311 7,000 SH SOLE 7,000 0 0
MICROSTRATEGY INC CL A NEW 594972408 1,824 3,000 SH SOLE 3,000 0 0
MIMECAST LTD ORD SHS G14838109 497 5,000 SH SOLE 5,000 0 0
MONEYGRAM INTL INC COM NEW 60935Y208 252 19,100 SH SOLE 19,100 0 0
MSD ACQUISITION CORP CLASS A ORD SHS G5709C109 77 6,300 SH SOLE 6,300 0 0
NATERA INC COM 632307104 126 2,478 SH SOLE 2,478 0 0
NATIONAL SEC GROUP INC COM 637546102 217 10,845 SH SOLE 10,845 0 0
NEOPHOTONICS CORP COM 64051T100 388 20,400 SH SOLE 20,400 0 0
NEXGEN ENERGY LTD COM 65340P106 59 8,400 SH SOLE 8,400 0 0
NORTHROP GRUMMAN CORP COM 666807102 1,962 3,510 SH SOLE 3,510 0 0
OAKTREE ACQUISITION CORP II CL A SHS G6715X103 50 4,000 SH SOLE 4,000 0 0
ONE EQUITY PARTNERS OPEN WTR *W EXP 01/14/202 68237L113 1 1,666 SH SOLE 1,666 0 0
OPKO HEALTH INC NOTE 4.500% 2/1 68375NAD5 14,791 10,000,000 PRN SOLE 10,000,000 0 0
ORTHO CLINICAL DIAGNOSTICS H ORD SHS G6829J107 247 10,600 SH SOLE 10,600 0 0
PAR TECHNOLOGY CORP COM 698884103 14,064 278,881 SH SOLE 278,881 0 0
PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 22,713 20,060,000 PRN SOLE 20,060,000 0 0
PARTNERS BANCORP COM 70213Q108 71 6,148 SH SOLE 6,148 0 0
PEAR THERAPEUTICS INC *W EXP 12/03/202 704723113 0 333 SH SOLE 333 0 0
PELOTON INTERACTIVE INC CL A COM 70614W100 11,492 347,900 SH SOLE 347,900 0 0
PEOPLES UNITED FINANCIAL INC COM 712704105 307 12,300 SH SOLE 12,300 0 0
PERSHING SQUARE TONTINE HLDG *W EXP 07/24/202 71531R117 12 10,332 SH SOLE 10,332 0 0
PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 296 11,900 SH SOLE 11,900 0 0
PONTEM CORPORATION SHS CL A G71707106 26 2,100 SH SOLE 2,100 0 0
PRECIGEN INC NOTE 3.500% 7/0 46122TAA0 20,312 20,400,000 PRN SOLE 20,400,000 0 0
PRIMAVERA CAPITAL ACQUIST CO *W EXP 01/19/202 G7255E117 1 2,500 SH SOLE 2,500 0 0
PRUDENTIAL BANCORP INC NEW COM 74431A101 226 11,000 SH SOLE 11,000 0 0
RENEWABLE ENERGY GROUP INC COM NEW 75972A301 409 5,400 SH SOLE 5,400 0 0
REVOLUTION HEALTHCAR AQ CORP CLASS A COM 76155Y108 79 6,477 SH SOLE 6,477 0 0
RMG ACQUISITION CORP III CL A SHS G76088106 39 3,155 SH SOLE 3,155 0 0
ROGERS CORP COM 775133101 476 1,400 SH SOLE 1,400 0 0
SANGOMA TECHNOLOGIES CORP COM NEW 80100R408 29,966 1,685,400 SH SOLE 1,685,400 0 0
SCIENCE STRATEGIC ACQ ALPHA *W EXP 01/20/202 808641112 0 1,666 SH SOLE 1,666 0 0
SCION TECH GROWTH I CL A SHS G31067104 79 6,400 SH SOLE 6,400 0 0
SFL CORPORATION LTD NOTE 4.875% 5/0 824689AG8 11,126 8,656,000 PRN SOLE 8,656,000 0 0
SHAW COMMUNICATIONS INC CL B CONV 82028K200 462 11,920 SH SOLE 11,920 0 0
SHOCKWAVE MED INC COM 82489T104 41 160 SH SOLE 160 0 0
SIERRA WIRELESS INC COM 826516106 6,604 292,600 SH SOLE 292,600 0 0
SLAM CORP CL A SHS G8210L105 79 6,500 SH SOLE 6,500 0 0
SOC TELEMED INC COM CL A 78472F101 111 29,700 SH SOLE 29,700 0 0
SOCIAL CAP SUVRETTA HLD CRPI CLASS A ORD SHS G8253W109 88 7,094 SH SOLE 7,094 0 0
SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 78 6,400 SH SOLE 6,400 0 0
SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253T106 79 6,400 SH SOLE 6,400 0 0
SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 78 6,400 SH SOLE 6,400 0 0
SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G8251L113 75 48,500 SH SOLE 48,500 0 0
SOUTH JERSEY INDS INC COM 838518108 359 8,320 SH SOLE 8,320 0 0
SPIRIT AIRLS INC COM 848577102 115 4,200 SH SOLE 4,200 0 0
SPIRIT OF TEX BANCSHARES INC COM 84861D103 204 6,200 SH SOLE 6,200 0 0
SPX FLOW INC COM 78469X107 172 1,600 SH SOLE 1,600 0 0
SS&C TECHNOLOGIES HLDGS INC COM 78467J100 10,265 109,450 SH SOLE 109,450 0 0
SSR MNG INC NOTE 2.500% 4/0 784730AB9 5,233 3,000,000 PRN SOLE 3,000,000 0 0
STARWOOD PPTY TR INC COM 85571B105 996 32,950 SH SOLE 32,950 0 0
STITCH FIX INC COM CL A 860897107 6,438 511,400 SH SOLE 511,400 0 0
SUMMER INFANT INC COM NEW 865646301 79 5,422 SH SOLE 5,422 0 0
SUNRUN INC NOTE 2/0 ADDED 86771WAB1 12,880 12,870,000 PRN SOLE 12,870,000 0 0
TABULA RASA HEALTHCARE INC NOTE 1.750% 2/1 873379AA9 7,520 8,000,000 PRN SOLE 8,000,000 0 0
TCW SPECIAL PURPOSE ACQU COR COM CL A 87301L106 323 26,500 SH SOLE 26,500 0 0
TENNECO INC CL A VTG COM STK 880349105 357 15,600 SH SOLE 15,600 0 0
TEXAS PACIFIC LAND CORPORATI COM 88262P102 7,218 4,270 SH SOLE 4,270 0 0
TREEHOUSE FOODS INC COM 89469A104 28 700 SH SOLE 700 0 0
TRICIDA INC NOTE 3.500% 5/1 89610FAB7 12,479 19,408,000 PRN SOLE 19,408,000 0 0
TRISTATE CAP HLDGS INC COM 89678F100 245 5,900 SH SOLE 5,900 0 0
TRITIUM DCFC LIMITED *W EXP 01/13/202 ADDED Q9225T116 1 333 SH SOLE 333 0 0
TWITTER INC COM 90184L102 4,116 85,100 SH SOLE 85,100 0 0
UNITI GROUP INC COM 91325V108 48 2,800 SH SOLE 2,800 0 0
UNIVERSAL TECHNICAL INST INC COM 913915104 8,712 787,454 SH SOLE 787,454 0 0
US ECOLOGY INC COM 91734M103 389 6,500 SH SOLE 6,500 0 0
VECTOR ACQUISITION CORP II CL A SHS G9460A104 77 6,346 SH SOLE 6,346 0 0
VELO3D INC *W EXP 12/01/202 92259N112 13 5,000 SH SOLE 5,000 0 0
VEONEER INC COM 92336X109 134 2,900 SH SOLE 2,900 0 0
VIRGIN GROUP ACQUISIT CORP I SHS CL A G9460K102 54 4,400 SH SOLE 4,400 0 0
VONAGE HLDGS CORP COM 92886T201 174 6,875 SH SOLE 6,875 0 0
VY GLOBAL GROWTH COM CL A G9444H100 296 23,900 SH SOLE 23,900 0 0
WARBURG PINCUS CAPTAL CORP I SHS CL A G9460M108 80 6,500 SH SOLE 6,500 0 0
WARBURG PINCUS CAPTAL CORP I SHS CL A G9461D107 79 6,429 SH SOLE 6,429 0 0
WELBILT INC COM 949090104 234 7,880 SH SOLE 7,880 0 0
WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 301 20,600 SH SOLE 20,600 0 0
WESTERN AST INFL LKD OPP & I COM 95766R104 1,018 67,799 SH SOLE 67,799 0 0
ZILLOW GROUP INC CL C CAP STK 98954M200 11,873 192,670 SH SOLE 192,670 0 0
ZYNGA INC CL A 98986T108 262 22,700 SH SOLE 22,700 0 0

Serious News for Serious Traders! Try StreetInsider.com Premium Free!

You May Also Be Interested In





Related Categories

SEC Filings