Q4 2023 · 13F-HR
PenderFund Capital Management Ltd.holdings as filed
Filed 2024-02-14 · accession 0001706164-24-000001
$306.8M
Reported value
105
Positions
2023-12-31
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 29664WAB1 | ESPR 4 11/15/25 | ESPERION THERAPEUTICS INC NE | $32.5M | 10.6% | 41,029,000 | Common | SOLE |
| 32076VAD5 | AGCN 0.375 01/15/27 | FIRST MAJESTIC SILVER CORP | $24.4M | 7.97% | 23,500,000 | Common | SOLE |
| 784730AB9 | SSRMCN 2.5 04/01/39 | SSR MINING IN | $18.8M | 6.14% | 14,675,000 | Common | SOLE |
| 68375NAD5 | — | OPKO HEALTH INC | $18.5M | 6.04% | 14,000,000 | Common | SOLE |
| 05988JAD5 | BAND 0.5 04/01/28 | BANDWIDTH INC | $18.3M | 5.98% | 21,700,000 | Common | SOLE |
| 698884103 | PAR | PAR TECHNOLOGY CORP | $16.8M | 5.48% | 291,539 | Common | SOLE |
| G17977110 | BUR | BURFORD CAP LTD | $16.7M | 5.46% | 810,005 | Common | SOLE |
| 80100R408 | SANG | SANGOMA TECHNOLOGIES CORP | $14.0M | 4.57% | 3,308,133 | Common | SOLE |
| 670657105 | XNEAX | NUVEEN AMT FREE QLTY MUN INC | $13.3M | 4.32% | 909,800 | Common | SOLE |
| 67066V101 | NAD | NUVEEN QUALITY MUNCP INCOME | $12.9M | 4.20% | 850,000 | Common | SOLE |
| 67070X101 | NZF | NUVEEN MUNICIPAL CREDIT INC | $11.9M | 3.86% | 757,000 | Common | SOLE |
| 67071L106 | NVG | NUVEEN AMT FREE MUN CR INC F | $8.0M | 2.60% | 508,872 | Common | SOLE |
| 25609L105 | DCBO | DOCEBO INC | $7.5M | 2.46% | 117,820 | Common | SOLE |
| 48251W104 | KKR | KKR & CO INC | $6.3M | 2.04% | 57,020 | Common | SOLE |
| 617477104 | EDD | MORGAN STANLEY EMERGING MKTS | $6.1M | 1.99% | 987,746 | Common | SOLE |
| 34984V209 | FET | FORUM ENERGY TECHNOLOGIES IN | $5.8M | 1.91% | 199,122 | Common | SOLE |
| 05366Y201 | AVNW | AVIAT NETWORKS INC | $5.6M | 1.83% | 129,524 | Common | SOLE |
| 98954M200 | Z | ZILLOW GROUP INC | $5.4M | 1.75% | 69,847 | Common | SOLE |
| 95766A101 | XEMDX | WESTERN ASSET EMERGING MKTS | $5.1M | 1.67% | 419,136 | Common | SOLE |
| 95766R104 | WIW | WESTERN AST INFL LKD OPP & I | $4.8M | 1.58% | 421,676 | Common | SOLE |
| 45841N107 | IBKR | INTERACTIVE BROKERS GROUP IN | $4.2M | 1.37% | 38,138 | Common | SOLE |
| 88262P102 | TPL | TEXAS PACIFIC LAND CORPORATI | $4.0M | 1.30% | 1,907 | Common | SOLE |
| 78467J100 | SSNC | SS&C TECHNOLOGIES HLDGS INC | $3.7M | 1.21% | 45,740 | Common | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $2.7M | 0.89% | 337,090 | Common | SOLE |
| 28225C806 | EGAN | EGAIN CORP | $2.6M | 0.83% | 231,617 | Common | SOLE |
| 55955DAB6 | MGNI 0.25 03/15/26 | MAGNITE INC | $2.3M | 0.74% | 2,000,000 | Common | SOLE |
| 00430HAC6 | — | ACCELERATE DIAGNOSTICS INC | $1.8M | 0.57% | 1,995,263 | Common | SOLE |
| 11271J107 | BN | BROOKFIELD CORP | $1.3M | 0.41% | 23,940 | Common | SOLE |
| 025676206 | AELUSD | AMERICAN EQTY INVT LIFE HLD | $1.2M | 0.39% | 16,160 | Common | SOLE |
| 638517102 | NWLIEUR | NATIONAL WESTN LIFE GROUP IN | $1.2M | 0.38% | 1,800 | Common | SOLE |
| 489398107 | KW | KENNEDY-WILSON HOLDINGS INC | $1.1M | 0.37% | 69,860 | Common | SOLE |
| L6673X107 | NGMSUSD | NEOGAMES S A | $1.1M | 0.37% | 30,110 | Common | SOLE |
| 45253H101 | IMGNEUR | IMMUNOGEN INC | $1.1M | 0.35% | 27,580 | Common | SOLE |
| 92347D100 | VERYUSD | VERICITY INC | $1.0M | 0.34% | 69,985 | Common | SOLE |
| 168615102 | CHS1USD | CHICOS FAS INC | $1.0M | 0.34% | 102,590 | Common | SOLE |
| 02156B103 | AYXEUR | ALTERYX INC | $899,847 | 0.29% | 14,400 | Common | SOLE |
| 595017104 | MCHP | MICROCHIP TECHNOLOGY INC. | $855,570 | 0.28% | 7,160 | Common | SOLE |
| 48576A100 | — | KARUNA THERAPEUTICS INC | $796,844 | 0.26% | 1,900 | Common | SOLE |
| G45667105 | 46H | HOLLYSYS AUTOMATION TCHNGY L | $796,064 | 0.26% | 22,800 | Common | SOLE |
| 84612U107 | — | SOVOS BRANDS INC | $782,607 | 0.26% | 26,810 | Common | SOLE |
| 056752108 | BIDU | BAIDU INC | $773,221 | 0.25% | 4,900 | Common | SOLE |
| M85548101 | SSYS | STRATASYS LTD | $772,763 | 0.25% | 40,840 | Common | SOLE |
| 027745108 | AMNBUSD | AMERICAN NATL BANKSHARES INC | $760,297 | 0.25% | 11,770 | Common | SOLE |
| 77936F103 | — | ROVER GROUP INC | $748,219 | 0.24% | 51,900 | Common | SOLE |
| 656811106 | NOA | NORTH AMERN CONSTR GROUP LTD | $674,107 | 0.22% | 24,380 | Common | SOLE |
| 855244109 | SBUX | STARBUCKS CORP | $665,350 | 0.22% | 5,230 | Common | SOLE |
| 07134L107 | BATL | BATTALION OIL CORP | $655,787 | 0.21% | 51,500 | Common | SOLE |
| G3728V109 | GANGBUSD | GAN LTD | $638,550 | 0.21% | 305,004 | Common | SOLE |
| 78469C103 | SPUSD | SP PLUS CORP | $631,552 | 0.21% | 9,300 | Common | SOLE |
| 33767E202 | FSV | FIRSTSERVICE CORP NEW | $583,848 | 0.19% | 2,720 | Common | SOLE |
| 848637104 | SPLKCHF | SPLUNK INC | $577,352 | 0.19% | 2,860 | Common | SOLE |
| 95766Q106 | XWIAX | WESTERN ASST INFLTN LKD INM | $555,895 | 0.18% | 51,666 | Common | SOLE |
| 14070T102 | CSTRUSD | CAPSTAR FINL HLDGS INC | $549,420 | 0.18% | 22,126 | Common | SOLE |
| 15678U128 | CERE1EUR | CEREVEL THERAPEUTICS HLDNG I | $528,112 | 0.17% | 9,400 | Common | SOLE |
| 680710100 | — | OLINK HLDG AB | $520,537 | 0.17% | 15,620 | Common | SOLE |
| 209034107 | CNSLEUR | CONSOLIDATED COMM HLDGS INC COM | $514,146 | 0.17% | 89,200 | Common | SOLE |
| 68570P200 | — | ORCHARD THERAPEUTICS PLC | $513,975 | 0.17% | 23,580 | Common | SOLE |
| 60468T105 | MRTXEUR | MIRATI THERAPEUTICS INC | $511,453 | 0.17% | 6,570 | Common | SOLE |
| 35655L206 | — | FREELINE THERAPEUTICS HLDGS | $509,018 | 0.17% | 60,401 | Common | SOLE |
| G1890L107 | CPRI | CAPRI HOLDINGS LIMITED | $501,942 | 0.16% | 7,540 | Common | SOLE |
| 233276104 | DMYY | DMY SQUARED TECHNOLOGY GROUP | $490,189 | 0.16% | 34,900 | Common | SOLE |
| 666807102 | NOC | NORTHROP GRUMMAN CORP | $465,232 | 0.15% | 750 | Common | SOLE |
| 85571B105 | STWD | STARWOOD PPTY TR INC | $465,138 | 0.15% | 16,700 | Common | SOLE |
| 23753F107 | DSKEUSD | DASEKE INC | $463,060 | 0.15% | 43,144 | Common | SOLE |
| 88579Y101 | MMM | 3M CO | $454,843 | 0.15% | 3,140 | Common | SOLE |
| 29283F103 | ESMTUSD | ENGAGESMART INC | $430,060 | 0.14% | 14,173 | Common | SOLE |
| 256677105 | DG | DOLLAR GEN CORP NEW | $407,118 | 0.13% | 2,260 | Common | SOLE |
| 34417L109 | — | FOCUS IMPACT ACQUISITION COR | $364,017 | 0.12% | 25,100 | Common | SOLE |
| 38287A101 | — | GORES HOLDINGS IX INC | $358,956 | 0.12% | 25,800 | Common | SOLE |
| G4790U102 | USAR | INFLECTION PT ACQUISITN CRP | $342,194 | 0.11% | 25,000 | Common | SOLE |
| 38406L103 | — | GRACELL BIOTECHNOLOGIES INC | $300,260 | 0.10% | 22,570 | Common | SOLE |
| 45114M109 | — | ICOSAVAX INC | $279,579 | 0.09% | 13,388 | Common | SOLE |
| G2283U126 | — | COLOMBIER ACQUISITION CORP I | $267,130 | 0.09% | 20,000 | Common | SOLE |
| 66718N103 | — | NORTHVIEW ACQUISITION CORP | $245,913 | 0.08% | 16,600 | Common | SOLE |
| G6053N105 | MSSAF | METAL SKY STAR ACQUISITION C | $239,185 | 0.08% | 16,500 | Common | SOLE |
| Y2187A150 | EGLEUSD | EAGLE BULK SHIPPING INC | $212,883 | 0.07% | 2,900 | Common | SOLE |
| G8766E109 | TGHEUR | TEXTAINER GROUP HOLDINGS LTD | $181,887 | 0.06% | 2,790 | Common | SOLE |
| 12637A103 | — | CSI COMPRESSCO LP | $179,063 | 0.06% | 82,906 | Common | SOLE |
| 45113Y203 | AMBR | ICLICK INTERACTIVE ASIA GROU | $158,338 | 0.05% | 31,200 | Common | SOLE |
| 75525N107 | — | RAYZEBIO INC | $148,281 | 0.05% | 1,800 | Common | SOLE |
| 69336V101 | PGTIUSD | PGT INNOVATIONS INC | $129,431 | 0.04% | 2,400 | Common | SOLE |
| M8737E108 | — | TARO PHARMACEUTICAL INDS LTD | $121,793 | 0.04% | 2,200 | Common | SOLE |
| 459867107 | IMAQ | INTERNATIONAL MEDIA ACQUISIT | $111,618 | 0.04% | 7,448 | Common | SOLE |
| 03676C100 | ATEX | ANTERIX INC | $101,547 | 0.03% | 2,300 | Common | SOLE |
| 75082Q105 | — | RAIN ONCOLOGY INC | $61,456 | 0.02% | 38,650 | Common | SOLE |
| 65340P106 | NXE | NEXGEN ENERGY LTD | $50,058 | 0.02% | 5,400 | Common | SOLE |
| 419879101 | HAN | HAWAIIAN HOLDINGS INC | $48,921 | 0.02% | 2,600 | Common | SOLE |
| 270087208 | — | EARGO INC | $43,952 | 0.01% | 12,807 | Common | SOLE |
| 826599102 | SGML | SIGMA LITHIUM CORPORATION | $41,779 | 0.01% | 1,000 | Common | SOLE |
| 104833306 | BRAG | BRAGG GAMING GROUP INC | $32,544 | 0.01% | 4,800 | Common | SOLE |
| 55003T107 | — | LL FLOORING HOLDINGS INC | $26,924 | 0.01% | 5,210 | Common | SOLE |
| 318136108 | — | FINTECH ECOSYSTEM DEVE | $24,617 | 0.01% | 1,721 | Common | SOLE |
| 82836N107 | — | SILVERBOX CORP III | $13,701 | 0.00% | 1,000 | Common | SOLE |
| 26431Q106 | — | DUET ACQUISITION CORP | $4,429 | 0.00% | 305 | Common | SOLE |
| G83745102 | SACQF | SPREE ACQUISITION CORP 1 LTD | $2,870 | 0.00% | 200 | Common | SOLE |
| 71902K105 | — | PHOENIX BIOTECH ACQUISITION | $1,476 | 0.00% | 100 | Common | SOLE |
| G63290111 | PLMJF | ALPHA PARTNERS TECH MERGR CO | $794 | 0.00% | 56 | Common | SOLE |
| G5380J118 | LANV/WS | LANVIN GROUP HOLDINGS LIMITE | $464 | 0.00% | 2,500 | Common | SOLE |
| 92259N112 | VLDXW | VELO3D INC | $199 | 0.00% | 5,000 | Common | SOLE |
| 876545104 | — | PRIVETERRA ACQUISITION CORP | $118 | 0.00% | 8 | Common | SOLE |
| 37519U109 | — | GIGCAPITAL 5 INC | $61 | 0.00% | 4 | Common | SOLE |
| 05990K106 | BANC | BANC OF CALIFORNIA INC | $53 | 0.00% | 3 | Common | SOLE |
| 82836N115 | — | SILVERBOX CORP III | $41 | 0.00% | 332 | Common | SOLE |
| Q9225T116 | DCFWQ | TRITIUM DCFC LIMITED | $35 | 0.00% | 333 | Common | SOLE |
| G50737124 | JWSWF | JAWS MUSTANG ACQUISITION COR | $13 | 0.00% | 250 | 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.