Q3 2023 · 13F-HR
PenderFund Capital Management Ltd.holdings as filed
Filed 2023-11-14 · accession 0001706164-23-000004
$333,695
Reported value
112
Positions
2023-09-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 29664WAB1 | ESPR 4 11/15/25 | ESPERION THERAPEUTICS INC NE | $29,833 | 8.94% | 41,029,000 | Common | SOLE |
| 32076VAD5 | AGCN 0.375 01/15/27 | FIRST MAJESTIC SILVER CORP | $23,637 | 7.08% | 23,000,000 | Common | SOLE |
| 68375NAD5 | — | OPKO HEALTH INC | $18,892 | 5.66% | 14,000,000 | Common | SOLE |
| 05988JAD5 | BAND 0.5 04/01/28 | BANDWIDTH INC | $17,217 | 5.16% | 19,500,000 | Common | SOLE |
| G17977110 | BUR | BURFORD CAP LTD | $16,104 | 4.83% | 846,905 | Common | SOLE |
| 698884103 | PAR | PAR TECHNOLOGY CORP | $15,513 | 4.65% | 296,349 | Common | SOLE |
| 80100R408 | SANG | SANGOMA TECHNOLOGIES CORP | $14,622 | 4.38% | 3,097,833 | Common | SOLE |
| 784730AB9 | SSRMCN 2.5 04/01/39 | SSR MINING IN | $14,136 | 4.24% | 10,150,000 | Common | SOLE |
| 45845PAB4 | — | INTERCEPT PHARMACEUTICALS IN | $12,549 | 3.76% | 9,295,000 | Common | SOLE |
| 67066V101 | NAD | NUVEEN QUALITY MUNCP INCOME | $11,707 | 3.51% | 850,000 | Common | SOLE |
| 670657105 | XNEAX | NUVEEN AMT FREE QLTY MUN INC | $11,176 | 3.35% | 850,000 | Common | SOLE |
| 67070X101 | NZF | NUVEEN MUNICIPAL CREDIT INC | $10,724 | 3.21% | 757,000 | Common | SOLE |
| 34984V209 | FET | FORUM ENERGY TECHNOLOGIES IN | $6,529 | 1.96% | 200,122 | Common | SOLE |
| 25609L105 | DCBO | DOCEBO INC | $6,490 | 1.94% | 117,820 | Common | SOLE |
| 48251W104 | KKR | KKR & CO INC | $5,945 | 1.78% | 71,060 | Common | SOLE |
| 617477104 | EDD | MORGAN STANLEY EMERGING MKTS | $5,601 | 1.68% | 967,918 | Common | SOLE |
| 05366Y201 | AVNW | AVIAT NETWORKS INC | $5,489 | 1.64% | 129,524 | Common | SOLE |
| 03676C100 | ATEX | ANTERIX INC | $5,354 | 1.60% | 125,620 | Common | SOLE |
| 88262P102 | TPL | TEXAS PACIFIC LAND CORPORATI | $4,723 | 1.42% | 1,907 | Common | SOLE |
| 85208R101 | CEF | SPROTT PHYSICAL GOLD & SILVE | $4,710 | 1.41% | 200,000 | Common | SOLE |
| 95766R104 | WIW | WESTERN AST INFL LKD OPP & I | $4,655 | 1.39% | 416,436 | Common | SOLE |
| 95766A101 | XEMDX | WESTERN ASSET EMERGING MKTS | $4,592 | 1.38% | 407,300 | Common | SOLE |
| 45841N107 | IBKR | INTERACTIVE BROKERS GROUP IN | $4,439 | 1.33% | 37,758 | Common | SOLE |
| 98954M200 | Z | ZILLOW GROUP INC | $4,378 | 1.31% | 69,847 | Common | SOLE |
| 056752108 | BIDU | BAIDU INC | $4,367 | 1.31% | 23,930 | Common | SOLE |
| 78467J100 | SSNC | SS&C TECHNOLOGIES HLDGS INC | $3,126 | 0.94% | 43,810 | Common | SOLE |
| 28225C806 | EGAN | EGAIN CORP | $2,822 | 0.85% | 338,902 | Common | SOLE |
| 55955DAB6 | MGNI 0.25 03/15/26 | MAGNITE INC | $2,365 | 0.71% | 2,000,000 | Common | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $2,312 | 0.69% | 337,090 | Common | SOLE |
| 47215P106 | JD | JD.COM INC | $2,242 | 0.67% | 56,665 | Common | SOLE |
| 003009107 | — | ABRDN ASIA PACIFIC INCOME FU | $2,146 | 0.64% | 644,870 | Common | SOLE |
| 44891N208 | IAC | IAC INC | $1,786 | 0.54% | 26,100 | Common | SOLE |
| 11271J107 | BN | BROOKFIELD CORP | $1,728 | 0.52% | 40,690 | Common | SOLE |
| G0464B107 | — | ARGO GROUP INTL HLDGS LTD | $1,705 | 0.51% | 42,060 | Common | SOLE |
| 395259104 | — | GREENHILL & CO INC | $1,657 | 0.50% | 82,410 | Common | SOLE |
| 095229100 | — | AVANTAX INC | $1,461 | 0.44% | 42,064 | Common | SOLE |
| 08862EAB5 | BYND 0 03/15/27 | BEYOND MEAT INC | $1,453 | 0.44% | 4,000,000 | Common | SOLE |
| 67071L106 | NVG | NUVEEN AMT FREE MUN CR INC F | $1,400 | 0.42% | 100,000 | Common | SOLE |
| 29076N206 | EMGA | EMAGIN CORP | $1,385 | 0.42% | 512,400 | Common | SOLE |
| 42726M106 | — | HERITAGE CRYSTAL CLEAN INC | $1,337 | 0.40% | 21,712 | Common | SOLE |
| 636518102 | — | NATIONAL INSTRS CORP | $1,330 | 0.40% | 16,420 | Common | SOLE |
| 59833J206 | — | MIDWEST HLDG INC | $1,265 | 0.38% | 35,618 | Common | SOLE |
| 873379101 | — | TABULA RASA HEALTHCARE INC | $1,261 | 0.38% | 90,023 | Common | SOLE |
| 24790A101 | — | DENBURY INC | $1,247 | 0.37% | 9,370 | Common | SOLE |
| 205477102 | — | COMPUTER TASK GROUP INC | $1,231 | 0.37% | 87,710 | Common | SOLE |
| 17273K109 | — | CIRCOR INTL INC | $1,206 | 0.36% | 15,930 | Common | SOLE |
| 025676206 | AELUSD | AMERICAN EQTY INVT LIFE HLD | $1,177 | 0.35% | 16,160 | Common | SOLE |
| 885260109 | — | THORNE HEALTHTECH INC | $1,105 | 0.33% | 79,830 | Common | SOLE |
| L6673X107 | NGMSUSD | NEOGAMES S A | $1,104 | 0.33% | 30,110 | Common | SOLE |
| 000380204 | — | ABCAM PLC | $1,101 | 0.33% | 35,830 | Common | SOLE |
| 731916409 | — | POLYMET MNG CORP | $1,076 | 0.32% | 380,905 | Common | SOLE |
| 05367P100 | — | AVID TECHNOLOGY INC | $1,008 | 0.30% | 27,626 | Common | SOLE |
| 923454102 | — | VERITIV CORP | $961 | 0.29% | 4,190 | Common | SOLE |
| 595017104 | MCHP | MICROCHIP TECHNOLOGY INC. | $960 | 0.29% | 9,060 | Common | SOLE |
| 817323207 | — | SEQUANS COMMUNICATIONS S A | $954 | 0.29% | 248,238 | Common | SOLE |
| 483379202 | — | KALEYRA INC | $908 | 0.27% | 92,360 | Common | SOLE |
| 427825500 | HTEUR | HERSHA HOSPITALITY TR | $896 | 0.27% | 66,867 | Common | SOLE |
| 16150R104 | CJCD | CHASE CORP | $890 | 0.27% | 5,150 | Common | SOLE |
| 811246107 | — | SCULPTOR CAP MGMT | $887 | 0.27% | 56,280 | Common | SOLE |
| G1890L107 | CPRI | CAPRI HOLDINGS LIMITED | $885 | 0.27% | 12,380 | Common | SOLE |
| 45845P108 | — | INTERCEPT PHARMACEUTICALS IN | $877 | 0.26% | 34,840 | Common | SOLE |
| 31660B101 | — | FIESTA RESTAURANT GROUP INC | $876 | 0.26% | 76,220 | Common | SOLE |
| 084310101 | — | PHENOMEX INC | $862 | 0.26% | 635,800 | Common | SOLE |
| 85571B105 | STWD | STARWOOD PPTY TR INC | $825 | 0.25% | 31,400 | Common | SOLE |
| 489398107 | KW | KENNEDY-WILSON HOLDINGS INC | $824 | 0.25% | 41,150 | Common | SOLE |
| 84612U107 | — | SOVOS BRANDS INC | $821 | 0.25% | 26,810 | Common | SOLE |
| 38983D300 | — | GREAT AJAX CORP | $780 | 0.23% | 89,190 | Common | SOLE |
| 530307305 | LBRDK | LIBERTY BROADBAND CORP | $775 | 0.23% | 6,250 | Common | SOLE |
| 848577102 | SAVEEUR | SPIRIT AIRLS INC | $760 | 0.23% | 33,930 | Common | SOLE |
| 81181C104 | — | SEAGEN INC | $758 | 0.23% | 2,630 | Common | SOLE |
| M85548101 | SSYS | STRATASYS LTD | $755 | 0.23% | 40,840 | Common | SOLE |
| G46188101 | HZNPN | HORIZON THERAPEUTICS PUB L | $680 | 0.20% | 4,330 | Common | SOLE |
| 64829B100 | — | NEW RELIC INC | $659 | 0.20% | 5,670 | Common | SOLE |
| 855244109 | SBUX | STARBUCKS CORP | $648 | 0.19% | 5,230 | Common | SOLE |
| G1195N105 | — | BLUESCAPE OPPORTUNITIES ACQU | $638 | 0.19% | 46,852 | Common | SOLE |
| 656811106 | NOA | NORTH AMERN CONSTR GROUP LTD | $586 | 0.18% | 19,900 | Common | SOLE |
| G04553106 | — | ARCO PLATFORM LTD | $581 | 0.17% | 31,023 | Common | SOLE |
| 33767E202 | FSV | FIRSTSERVICE CORP | $537 | 0.16% | 2,720 | Common | SOLE |
| 027745108 | AMNBUSD | AMERICAN NATL BANKSHARES INC | $534 | 0.16% | 10,370 | Common | SOLE |
| 95766Q106 | XWIAX | WESTERN ASST INFLTN LKD INM | $506 | 0.15% | 47,666 | Common | SOLE |
| 02156V109 | OKLO | ALTC ACQUISITION CORP | $489 | 0.15% | 34,776 | Common | SOLE |
| 666807102 | NOC | NORTHROP GRUMMAN CORP | $448 | 0.13% | 750 | Common | SOLE |
| 256677105 | DG | DOLLAR GEN CORP NEW | $440 | 0.13% | 3,060 | Common | SOLE |
| 27032D304 | — | EARTHSTONE ENERGY INC | $429 | 0.13% | 15,620 | Common | SOLE |
| 041356205 | AIEUR | ARLINGTON ASSET INVST CORP | $419 | 0.13% | 72,090 | Common | SOLE |
| 717098206 | — | PFSWEB INC | $417 | 0.12% | 41,217 | Common | SOLE |
| 00507V109 | AIY | ACTIVISION BLIZZARD INC | $413 | 0.12% | 3,250 | Common | SOLE |
| 88579Y101 | MMM | 3M CO | $399 | 0.12% | 3,140 | Common | SOLE |
| 887080208 | BPC | TIMBER PHARMACEUTICALS INC | $391 | 0.12% | 96,790 | Common | SOLE |
| G4790U102 | USAR | INFLECTION PT ACQUISITN CRP | $347 | 0.10% | 25,000 | Common | SOLE |
| 65343C102 | — | NEXTGEN HEALTHCARE INC | $332 | 0.10% | 10,290 | Common | SOLE |
| 809087109 | — | SCIPLAY CORPORATION | $220 | 0.07% | 7,100 | Common | SOLE |
| 98986X109 | — | ZYNERBA PHARMACEUTICALS INC | $213 | 0.06% | 123,444 | Common | SOLE |
| 22677T102 | — | CRIXUS BH3 ACQUISITION CO | $197 | 0.06% | 13,756 | Common | SOLE |
| 848637104 | SPLKCHF | SPLUNK INC | $111 | 0.03% | 560 | Common | SOLE |
| 65340P106 | NXE | NEXGEN ENERGY LTD | $92 | 0.03% | 11,300 | Common | SOLE |
| 44109J106 | — | HOSTESS BRANDS INC | $67 | 0.02% | 1,490 | Common | SOLE |
| 695263103 | — | PACWEST BANCORP DEL | $64 | 0.02% | 5,992 | Common | SOLE |
| 285046108 | ELIQQ | ELECTRIQ PWR HLDGS INC | $52 | 0.02% | 21,917 | Common | SOLE |
| 083690107 | — | BERENSON ACQUISITION CORP I | $25 | 0.01% | 1,791 | Common | SOLE |
| 318136108 | — | FINTECH ECOSYSTEM DEVE | $25 | 0.01% | 1,721 | Common | SOLE |
| 55003T107 | — | LL FLOORING HOLDINGS INC | $22 | 0.01% | 5,210 | Common | SOLE |
| 51477A104 | — | LANDCADIA HOLDINGS IV INC | $16 | 0.00% | 1,145 | Common | SOLE |
| 82836N107 | — | SILVERBOX CORP III | $14 | 0.00% | 1,000 | Common | SOLE |
| 13781Y111 | — | CANO HEALTH INC | $4 | 0.00% | 53,598 | Common | SOLE |
| 02115M109 | — | ALSET CAPITAL ACQUISITION CO | $3 | 0.00% | 182 | Common | SOLE |
| G4790U110 | — | INFLECTION PT ACQUISITN CRP | $3 | 0.00% | 12,499 | Common | SOLE |
| G5380J118 | LANV/WS | LANVIN GROUP HOLDINGS LIMITE | $1 | 0.00% | 2,500 | Common | SOLE |
| 92259N112 | VLDXW | VELO3D INC | $1 | 0.00% | 5,000 | Common | SOLE |
| G50737124 | JWSWF | JAWS MUSTANG ACQUISITION COR | $0 | — | 250 | Common | SOLE |
| 82836N115 | — | SILVERBOX CORP III | $0 | — | 332 | 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.