Q2 2023 · 13F-HR
PenderFund Capital Management Ltd.holdings as filed
Filed 2023-08-11 · accession 0001706164-23-000003
$321,680
Reported value
114
Positions
2023-06-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 29664WAB1 | ESPR 4 11/15/25 | ESPERION THERAPEUTICS INC NE | $20,870 | 6.49% | 31,354,000 | Common | SOLE |
| 68375NAD5 | — | OPKO HEALTH INC | $19,427 | 6.04% | 14,000,000 | Common | SOLE |
| 32076VAD5 | AGCN 0.375 01/15/27 | FIRST MAJESTIC SILVER CORP | $19,224 | 5.98% | 20,000,000 | Common | SOLE |
| 699374AB0 | — | PARATEK PHARMACEUTICALS INC | $17,187 | 5.34% | 13,010,000 | Common | SOLE |
| 05988JAD5 | BAND 0.5 04/01/28 | BANDWIDTH INC | $16,797 | 5.22% | 19,500,000 | Common | SOLE |
| 80100R408 | SANG | SANGOMA TECHNOLOGIES CORP | $15,427 | 4.80% | 3,097,833 | Common | SOLE |
| G17977110 | BUR | BURFORD CAP LTD | $13,805 | 4.29% | 855,565 | Common | SOLE |
| 698884103 | PAR | PAR TECHNOLOGY CORP | $13,291 | 4.13% | 304,679 | Common | SOLE |
| 45845PAB4 | — | INTERCEPT PHARMACEUTICALS IN | $12,609 | 3.92% | 11,795,000 | Common | SOLE |
| 67070X101 | NZF | NUVEEN MUNICIPAL CREDIT INC | $10,040 | 3.12% | 650,000 | Common | SOLE |
| 784730AB9 | SSRMCN 2.5 04/01/39 | SSR MINING IN | $9,732 | 3.03% | 6,800,000 | Common | SOLE |
| 34984V209 | FET | FORUM ENERGY TECHNOLOGIES IN | $8,501 | 2.64% | 250,757 | Common | SOLE |
| 003009107 | — | ABRDN ASIA PACIFIC INCOME FU | $7,371 | 2.29% | 2,060,755 | Common | SOLE |
| 95766A101 | XEMDX | WESTERN ASSET EMERGING MKTS | $6,510 | 2.02% | 570,109 | Common | SOLE |
| 25609L105 | DCBO | DOCEBO INC | $6,178 | 1.92% | 117,820 | Common | SOLE |
| 617477104 | EDD | MORGAN STANLEY EMERGING MKTS | $6,057 | 1.88% | 974,818 | Common | SOLE |
| 05366Y201 | AVNW | AVIAT NETWORKS INC | $5,726 | 1.78% | 129,524 | Common | SOLE |
| 48251W104 | KKR | KKR & CO INC | $5,640 | 1.75% | 76,020 | Common | SOLE |
| 98954M200 | Z | ZILLOW GROUP INC | $5,357 | 1.67% | 80,447 | Common | SOLE |
| 03676C100 | ATEX | ANTERIX INC | $5,311 | 1.65% | 126,500 | Common | SOLE |
| 056752108 | BIDU | BAIDU INC | $4,787 | 1.49% | 26,395 | Common | SOLE |
| 45841N107 | IBKR | INTERACTIVE BROKERS GROUP IN | $4,701 | 1.46% | 42,718 | Common | SOLE |
| 05988JAB9 | BAND 0.25 03/01/26 | BANDWIDTH INC | $4,198 | 1.31% | 4,000,000 | Common | SOLE |
| 78467J100 | SSNC | SS&C TECHNOLOGIES HLDGS INC | $3,517 | 1.09% | 43,810 | Common | SOLE |
| 95766R104 | WIW | WESTERN AST INFL LKD OPP & I | $3,507 | 1.09% | 298,811 | Common | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $3,434 | 1.07% | 337,090 | Common | SOLE |
| 28225C806 | EGAN | EGAIN CORP | $3,363 | 1.05% | 338,902 | Common | SOLE |
| 88262P102 | TPL | TEXAS PACIFIC LAND CORPORATI | $3,326 | 1.03% | 1,907 | Common | SOLE |
| 08862EAB5 | BYND 0 03/15/27 | BEYOND MEAT INC | $2,914 | 0.91% | 8,000,000 | Common | SOLE |
| 83304AAH9 | SNAP 0.125 03/01/28 | SNAP INC | $2,837 | 0.88% | 3,000,000 | Common | SOLE |
| 47215P106 | JD | JD.COM INC | $2,562 | 0.80% | 56,665 | Common | SOLE |
| 55955DAB6 | MGNI 0.25 03/15/26 | MAGNITE INC | $2,257 | 0.70% | 2,000,000 | Common | SOLE |
| 44891N208 | IAC | IAC INC | $2,171 | 0.67% | 26,100 | Common | SOLE |
| 83304AAF3 | SNAP 0 05/01/27 | SNAP INC | $1,974 | 0.61% | 2,000,000 | Common | SOLE |
| 09215C105 | — | BLACK KNIGHT INC | $1,951 | 0.61% | 24,660 | Common | SOLE |
| 11271J107 | BN | BROOKFIELD CORP | $1,815 | 0.56% | 40,690 | Common | SOLE |
| 46583P102 | — | IVERIC BIO INC | $1,535 | 0.48% | 29,450 | Common | SOLE |
| G28923103 | — | DIVERSEY HLDGS LTD | $1,531 | 0.48% | 137,750 | Common | SOLE |
| 750481103 | — | RADIUS GLOBAL INFRASTRCTRE I | $1,531 | 0.48% | 77,580 | Common | SOLE |
| 084656107 | — | BERKSHIRE GREY INC | $1,530 | 0.48% | 819,020 | Common | SOLE |
| 34417P100 | — | FOCUS FINL PARTNERS INC | $1,453 | 0.45% | 20,890 | Common | SOLE |
| 872386107 | — | TESSCO TECHNOLOGIES INC | $1,396 | 0.43% | 117,740 | Common | SOLE |
| 43734L106 | — | HOME PT CAPITAL INCORPORATED | $1,339 | 0.42% | 435,533 | Common | SOLE |
| 749119103 | — | QUOTIENT TECHNOLOGY INC | $1,281 | 0.40% | 251,840 | Common | SOLE |
| 395259104 | — | GREENHILL & CO INC | $1,269 | 0.39% | 65,380 | Common | SOLE |
| G0464B107 | — | ARGO GROUP INTL HLDGS LTD | $1,261 | 0.39% | 32,140 | Common | SOLE |
| 91336L107 | — | UNIVAR SOLUTIONS INC | $1,218 | 0.38% | 25,660 | Common | SOLE |
| 90338N202 | — | U S XPRESS ENTERPRISES INC | $1,147 | 0.36% | 141,005 | Common | SOLE |
| Y2687W108 | — | GASLOG PARTNERS LP | $1,115 | 0.35% | 97,640 | Common | SOLE |
| 595017104 | MCHP | MICROCHIP TECHNOLOGY INC. | $1,075 | 0.33% | 9,060 | Common | SOLE |
| L6673X107 | NGMSUSD | NEOGAMES S A | $1,042 | 0.32% | 30,110 | Common | SOLE |
| 03966V107 | — | ARCONIC CORPORATION | $1,031 | 0.32% | 26,320 | Common | SOLE |
| 29076N206 | EMGA | EMAGIN CORP | $1,024 | 0.32% | 390,320 | Common | SOLE |
| 17273K109 | — | CIRCOR INTL INC | $935 | 0.29% | 12,500 | Common | SOLE |
| 87166B102 | — | SYNEOS HEALTH INC | $931 | 0.29% | 16,680 | Common | SOLE |
| 320703101 | — | FIRST LT ACQUISITION GROUP I | $922 | 0.29% | 66,323 | Common | SOLE |
| 29079J202 | — | EMBARK TECHNOLOGY INC | $906 | 0.28% | 239,113 | Common | SOLE |
| 00386B109 | — | ABSOLUTE SOFTWARE CORP | $900 | 0.28% | 59,268 | Common | SOLE |
| 35180X105 | — | FRANCHISE GROUP INC | $894 | 0.28% | 23,550 | Common | SOLE |
| 489398107 | KW | KENNEDY-WILSON HOLDINGS INC | $890 | 0.28% | 41,150 | Common | SOLE |
| 59833J206 | — | MIDWEST HLDG INC | $871 | 0.27% | 24,558 | Common | SOLE |
| 16961L106 | — | CHINOOK THERAPEUTICS INC | $839 | 0.26% | 16,480 | Common | SOLE |
| 84465L105 | — | SOUTHPORT ACQUISITION CORP | $827 | 0.26% | 59,330 | Common | SOLE |
| 85571B105 | STWD | STARWOOD PPTY TR INC | $807 | 0.25% | 31,400 | Common | SOLE |
| G9078F107 | — | TRITON INTL LTD | $796 | 0.25% | 7,220 | Common | SOLE |
| 636518102 | — | NATIONAL INSTRS CORP | $792 | 0.25% | 10,410 | Common | SOLE |
| 007800105 | — | AEROJET ROCKETDYNE HLDGS INC | $784 | 0.24% | 10,780 | Common | SOLE |
| 848577102 | SAVEEUR | SPIRIT AIRLS INC | $771 | 0.24% | 33,930 | Common | SOLE |
| 670704105 | NUVA | NUVASIVE INC | $704 | 0.22% | 12,770 | Common | SOLE |
| 855244109 | SBUX | STARBUCKS CORP | $686 | 0.21% | 5,230 | Common | SOLE |
| 699374302 | — | PARATEK PHARMACEUTICALS INC | $684 | 0.21% | 233,590 | Common | SOLE |
| 81181C104 | — | SEAGEN INC | $671 | 0.21% | 2,630 | Common | SOLE |
| 530307305 | LBRDK | LIBERTY BROADBAND CORP | $663 | 0.21% | 6,250 | Common | SOLE |
| 976524108 | — | WIRELESS TELECOM GROUP INC | $651 | 0.20% | 233,972 | Common | SOLE |
| 23345J104 | — | DICE THERAPEUTICS INC | $644 | 0.20% | 10,467 | Common | SOLE |
| G1195N105 | — | BLUESCAPE OPPORTUNITIES ACQU | $621 | 0.19% | 46,852 | Common | SOLE |
| 33767E202 | FSV | FIRSTSERVICE CORP NEW | $555 | 0.17% | 2,720 | Common | SOLE |
| 19533H108 | — | COLOMBIER ACQUISITION CORP | $555 | 0.17% | 40,760 | Common | SOLE |
| G46188101 | HZNPN | HORIZON THERAPEUTICS PUB L | $516 | 0.16% | 3,790 | Common | SOLE |
| G5251K103 | — | KENSINGTON CAPITAL ACQUISITI | $509 | 0.16% | 36,400 | Common | SOLE |
| 656811106 | NOA | NORTH AMERN CONSTR GROUP LTD | $504 | 0.16% | 19,900 | Common | SOLE |
| 02156V109 | OKLO | ALTC ACQUISITION CORP | $481 | 0.15% | 34,776 | Common | SOLE |
| 666807102 | NOC | NORTHROP GRUMMAN CORP | $453 | 0.14% | 750 | Common | SOLE |
| 84763A108 | — | SPECTRUM PHARMACEUTICALS INC | $424 | 0.13% | 333,220 | Common | SOLE |
| 483379202 | — | KALEYRA INC | $407 | 0.13% | 45,570 | Common | SOLE |
| 34631B101 | — | FORGEROCK INC | $400 | 0.12% | 14,690 | Common | SOLE |
| 60742N106 | — | MOBIV ACQUISITION CORP | $387 | 0.12% | 27,670 | Common | SOLE |
| G4790U128 | — | INFLECTION PT ACQUISITN CRP | $335 | 0.10% | 25,000 | Common | SOLE |
| G0370U108 | — | ALTIMAR ACQUISITION CORP III | $262 | 0.08% | 19,294 | Common | SOLE |
| 874039100 | TSM | TAIWAN SEMICONDUCTOR MFG LTD | $225 | 0.07% | 1,680 | Common | SOLE |
| 88605L107 | — | THUNDER BRDG CAP PRTNRS IV I | $180 | 0.06% | 13,452 | Common | SOLE |
| G8253U103 | — | SOCIAL CAP SUVRETTA HLDS CRP | $157 | 0.05% | 11,440 | Common | SOLE |
| G30092103 | — | ELLIOTT OPPORTUNITY II CORP | $156 | 0.05% | 11,399 | Common | SOLE |
| G8253Y105 | — | SOCIAL CAP SUVRETTA HLDS CP | $136 | 0.04% | 9,910 | Common | SOLE |
| 29103K100 | FLD | FTAC EMERALD ACQUISITION COR | $136 | 0.04% | 9,935 | Common | SOLE |
| 39536G105 | — | GREENLIGHT BIOSCIENCS HLDS P | $131 | 0.04% | 331,110 | Common | SOLE |
| 62404B107 | MCAG | MOUNTAIN CREST ACQSITN CORP | $93 | 0.03% | 6,777 | Common | SOLE |
| G2540H108 | — | CORSAIR PARTNERING CORP | $71 | 0.02% | 5,149 | Common | SOLE |
| 65340P106 | NXE | NEXGEN ENERGY LTD | $71 | 0.02% | 11,300 | Common | SOLE |
| 28059Q103 | — | EDIFY ACQUISITION CORP | $70 | 0.02% | 5,013 | Common | SOLE |
| G76088106 | — | RMG ACQUISITION CORP III | $61 | 0.02% | 4,059 | Common | SOLE |
| 58507N105 | — | MEDTECH ACQUISITION CORP | $25 | 0.01% | 1,768 | Common | SOLE |
| 13781Y111 | — | CANO HEALTH INC | $15 | 0.00% | 53,598 | Common | SOLE |
| 82836N206 | — | SILVERBOX CORP III | $13 | 0.00% | 1,000 | Common | SOLE |
| G1261Q107 | BLUAF | BLUERIVER ACQUISITION CORP | $3 | 0.00% | 204 | Common | SOLE |
| 02115M109 | — | ALSET CAPITAL ACQUISITION CO | $3 | 0.00% | 182 | Common | SOLE |
| 92259N112 | VLDXW | VELO3D INC | $2 | 0.00% | 5,000 | Common | SOLE |
| G6855L109 | JTAI | OXBRIDGE ACQUISITION CORP | $1 | 0.00% | 45 | Common | SOLE |
| G5380J118 | LANV/WS | LANVIN GROUP HOLDINGS LIMITE | $1 | 0.00% | 2,500 | Common | SOLE |
| 95766Q106 | XWIAX | WESTERN ASST INFLTN LKD INM | $1 | 0.00% | 130 | Common | SOLE |
| N0796A118 | — | ALLEGO N V | $0 | — | 250 | Common | SOLE |
| G50737124 | JWSWF | JAWS MUSTANG ACQUISITION COR | $0 | — | 250 | Common | SOLE |
| 96951B102 | — | WILLIAMS ROWLAND ACQUISITION | $0 | — | 1 | Common | SOLE |
| Q9225T116 | DCFWQ | TRITIUM DCFC LIMITED | $0 | — | 333 | Common | SOLE |
Source: SEC EDGAR · raw 13F holdings as filed. The Class column shows the option type when reported (Put/Call) or Common when the issuer's equity is held directly. 13F discloses long positions only.