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PenderFund Capital Management

Filed: 17 May 22, 9:34am

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:Oct 31, 2018
Estimated average burden
hours per response:23.8

COLUMN 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
26 CAPITAL ACQUISITION CORPCOM CL A90138P100796,400SH SOLE 6,40000
5 01 ACQUISITION CORPCOM CL A33836P105413,310SH SOLE 3,31000
ACCELERATE ACQUISITION CORPCOM CL A00439D102796,500SH SOLE 6,50000
ACCELERATE DIAGNOSTICS INCNOTE 2.500% 3/100430HAB84,6365,560,000PRN SOLE 5,560,00000
ALIBABA GROUP HLDG LTDSPONSORED ADS01609W1021,59111,700SH SOLE 11,70000
ALLEGHANY CORP MDCOM017175100371350SH SOLE 35000
ALTC ACQUISITION CORPCOM CL A02156V109776,346SH SOLE 6,34600
ALTIMETER GROWTH CORP 2COM CL AG0371B109796,400SH SOLE 6,40000
ALTITUDE ACQUISITION CORPCOM CL A02156Y103997,974SH SOLE 7,97400
AMERICAN NATIONAL GROUP INCCOM NEW02772A1094101,735SH SOLE 1,73500
ANAPLAN INCCOM03272L1084555,600SH SOLE 5,60000
ANTERIX INCCOM03676C1007,12398,400SH SOLE 98,40000
APOLLO STRATEGIC GRWT CPTL ISHS CL AG0412A102786,400SH SOLE 6,40000
ARES ACQUISITION CORPORATIONCOM CL AG33032106786,400SH SOLE 6,40000
AUSTERLITZ ACQUISITION CORPCOM CL AG0633U101796,500SH SOLE 6,50000
AVANTI ACQUISITION CORPSHS CL AG0682V109262,100SH SOLE 2,10000
AVIAT NETWORKS INCCOM NEW05366Y20110,006260,109SH SOLE 260,10900
B RILEY PRIN 250 MERGER CORPCLASS A COM05602L104796,500SH SOLE 6,50000
BAIDU INCSPON ADR REP A05675210810,65564,420SH SOLE 64,42000
BAOZUN INCNOTE 1.625% 5/006684LAB91,3851,100,000PRN SOLE 1,100,00000
BAUSCH HEALTH COS INCCOM0717341075,453190,925SH SOLE 190,92500
BLOCK INCCL A8522341035,00829,540SH SOLE 29,54000
BLUEROCK RESIDENTIAL GWT REICOM CL A09627J10247814,400SH SOLE 14,40000
BLUESCAPE OPPORTUNITIES ACQUSHSG1195N105161,300SH SOLE 1,30000
BOTTOMLINE TECH DEL INCCOM1013881065107,200SH SOLE 7,20000
BROOKFIELD ASSET MGMT INCCL A LTD VT SH1125851042,94541,660SH SOLE 41,66000
BURFORD CAP LTD ORD SHSORD SHSG1797711014,6881,278,419SH SOLE 1,278,41900
CANO HEALTH INC*W EXP 06/03/20213781Y11111357,198SH SOLE 57,19800
CC NEUBERGER PRIN HLDGS IISHS CL AG3166T103252,000SH SOLE 2,00000
CEDAR FAIR L PDEPOSITRY UNIT15018510641600SH SOLE 60000
CEDAR REALTY TRUST INCCOM NEW1506026051524,400SH SOLE 4,40000
CERNER CORPCOM1567821043573,050SH SOLE 3,05000
CF ACQUISITION CORP IVCOM CL A12520T102877,100SH SOLE 7,10000
CHURCHILL CAPITAL CORP VICOM CL A17143W101796,400SH SOLE 6,40000
CHURCHILL CAPITAL CORP VIICOM CL A17144M102796,426SH SOLE 6,42600
CITRIX SYS INCCOM1773761004673,700SH SOLE 3,70000
COHN ROBBINS HOLDINGS CORPCOM CL AG23726105504,000SH SOLE 4,00000
COINBASE GLOBAL INCCOM CL A19260Q1079734,100SH SOLE 4,10000
COLLIERS INTL GROUP INCSUB VTG SHS1946931076844,200SH SOLE 4,20000
COMPUTE HEALTH ACQUISITIN COCOM CL A204833107796,500SH SOLE 6,50000
CORNER GROWTH ACQUISITN CORPCLASS A ORD SHSG2426E104010SH SOLE 1000
DISCOVERY INCCOM SER C25470F3021,17437,600SH SOLE 37,60000
DUNE ACQUISITION CORPCOM CL A265334102806,400SH SOLE 6,40000
E MERGE TECHNOLOGY ACQUISITICOM CL A26873Y1041118,979SH SOLE 8,97900
EBIX INCCOM NEW2787152064,692113,207SH SOLE 113,20700
EGAIN CORPCOM NEW28225C8068,183565,218SH SOLE 565,21800
ELLIOTT OPPORTUNITY II CORPSHS CL AG30092103786,399SH SOLE 6,39900
ELMIRA SVGS BK ELMIRA N YCOM28966010231510,987SH SOLE 10,98700
ESPERION THERAPEUTICS INC NENOTE 4.000%11/129664WAB119,70429,679,000PRN SOLE 29,679,00000
EXTERRAN CORPCOM30227H10619124,600SH SOLE 24,60000
FERRO CORPCOM31540510034212,584SH SOLE 12,58400
FIRSTSERVICE CORP NEWCOM33767E2025973,300SH SOLE 3,30000
FLAGSTAR BANCORP INCCOM PAR .0013379307052073,900SH SOLE 3,90000
FORTRESS CAPITAL ACQUISITIONSHS CL AG364271054335SH SOLE 33500
FORTRESS VALUE ACQUISI CORPCOM CL A34964K108786,400SH SOLE 6,40000
FORUM ENERGY TECHNOLOGIES INNOTE 9.000% 8/034984VAC48,8997,123,134PRN SOLE 7,123,13400
FTAC HERA ACQUISITION CORPCLASS A ORD SHSG3728Y103806,500SH SOLE 6,50000
FUSION ACQUISITION CORP IICOM CL A36118N102806,500SH SOLE 6,50000
GO ACQUISITION CORPCOM3620191011028,278SH SOLE 8,27800
GULFPORT ENERGY CORPCOMMON SHARES40263550256500SH SOLE 50000
HAMILTON LANE ALLIANCE HLDGSCOM CL A40749M103806,500SH SOLE 6,50000
HEALTH ASSURN ACQUISITION COCOM CL A42226W109725,880SH SOLE 5,88000
HEALTHCARE TR AMER INCCL A NEW42225P5012556,500SH SOLE 6,50000
HELLO GROUP INCNOTE 1.250% 7/060879BAB33,9653,500,000PRN SOLE 3,500,00000
HIGHLAND TRANSCEND PARTNERSCOM CL AG44690108483,900SH SOLE 3,90000
HOUGHTON MIFFLIN HARCOURT COCOM44157R1091264,800SH SOLE 4,80000
HOWARD HUGHES CORPCOM44267D1076,27348,432SH SOLE 48,43200
HUDSON EXECUTIVE INVES IIICOM CL A44376L107796,500SH SOLE 6,50000
HUDSON EXECUTIVE INVS CORP ICOM CL A443760103806,500SH SOLE 6,50000
IAC INTERACTIVECORP NEWCOM NEW44891N2083,94031,430SH SOLE 31,43000
INDEPENDENCE HOLDINGS CORPCLASS A ORD SHSG4761A101806,506SH SOLE 6,50600
INTERACTIVE BROKERS GROUP INCOM CL A45841N1079,121110,700SH SOLE 110,70000
INTERSECT ENT INCCOM46071F1031724,900SH SOLE 4,90000
INTRICON CORPCOM46121H1091675,600SH SOLE 5,60000
JAWS HURRICANE ACQUISITN COR*W EXP 03/26/20247201B11122,500SH SOLE 2,50000
JAWS MUSTANG ACQUISITION COR*W EXP 01/30/202G507371240250SH SOLE 25000
JAWS MUSTANG ACQUISITION CORSHS CL AG50737108786,400SH SOLE 6,40000
JD.COM INCSPON ADR CL A47215P1066,64991,905SH SOLE 91,90500
KARYOPHARM THERAPEUTICS INCNOTE 3.000%10/148576UAA41,6151,500,000PRN SOLE 1,500,00000
KENNEDY-WILSON HOLDINGS INCCOM4893981071,32643,500SH SOLE 43,50000
KHOSLA VENTURES ACQUT CO IIICOM CL A482506102786,400SH SOLE 6,40000
KKR & CO INCCOM48251W1048,103110,858SH SOLE 110,85800
KKR ACQUISITION HOLDING I COCOM CLASS A48253T109806,500SH SOLE 6,50000
LANDCADIA HOLDINGS IV INCCLASS A COM51477A104806,500SH SOLE 6,50000
LAZARD GROWTH ACQUISITION COCL A ORD SHSG54035103806,500SH SOLE 6,50000
LEAD EDGE GROWTH OPRTUNTS LT*W EXP 04/01/202G5408511612,500SH SOLE 2,50000
LENDINGTREE INCNOTE 0.500% 7/152603BAD91,2891,250,000PRN SOLE 1,250,00000
LEVEL ONE BANCORP INCCOM52730D2082004,000SH SOLE 4,00000
LUX HEALTH TECH ACQUISITION*W EXP 11/30/20255068A1181732,999SH SOLE 32,99900
MAGNACHIP SEMICONDUCTOR CORPCOM55933J203592,800SH SOLE 2,80000
MASON INDUSTRIAL TECHNOLGY ICOM CL A57520Y106796,500SH SOLE 6,50000
MAXAR TECHNOLOGIES INCCOM57778K10515,439313,861SH SOLE 313,86100
MAXEON SOLAR TECHNOLOGIES LTNOTE 6.500% 7/157779BAB01,039740,000PRN SOLE 740,00000
MERITOR INCCOM59001K1003117,000SH SOLE 7,00000
MICROSTRATEGY INCCL A NEW5949724081,8243,000SH SOLE 3,00000
MIMECAST LTDORD SHSG148381094975,000SH SOLE 5,00000
MONEYGRAM INTL INCCOM NEW60935Y20825219,100SH SOLE 19,10000
MSD ACQUISITION CORPCLASS A ORD SHSG5709C109776,300SH SOLE 6,30000
NATERA INCCOM6323071041262,478SH SOLE 2,47800
NATIONAL SEC GROUP INCCOM63754610221710,845SH SOLE 10,84500
NEOPHOTONICS CORPCOM64051T10038820,400SH SOLE 20,40000
NEXGEN ENERGY LTDCOM65340P106598,400SH SOLE 8,40000
NORTHROP GRUMMAN CORPCOM6668071021,9623,510SH SOLE 3,51000
OAKTREE ACQUISITION CORP IICL A SHSG6715X103504,000SH SOLE 4,00000
ONE EQUITY PARTNERS OPEN WTR*W EXP 01/14/20268237L11311,666SH SOLE 1,66600
OPKO HEALTH INCNOTE 4.500% 2/168375NAD514,79110,000,000PRN SOLE 10,000,00000
ORTHO CLINICAL DIAGNOSTICS HORD SHSG6829J10724710,600SH SOLE 10,60000
PAR TECHNOLOGY CORPCOM69888410314,064278,881SH SOLE 278,88100
PARATEK PHARMACEUTICALS INCNOTE 4.750% 5/0699374AB022,71320,060,000PRN SOLE 20,060,00000
PARTNERS BANCORPCOM70213Q108716,148SH SOLE 6,14800
PEAR THERAPEUTICS INC*W EXP 12/03/2027047231130333SH SOLE 33300
PELOTON INTERACTIVE INCCL A COM70614W10011,492347,900SH SOLE 347,90000
PEOPLES UNITED FINANCIAL INCCOM71270410530712,300SH SOLE 12,30000
PERSHING SQUARE TONTINE HLDG*W EXP 07/24/20271531R1171210,332SH SOLE 10,33200
PERSHING SQUARE TONTINE HLDGCOM CL A71531R10929611,900SH SOLE 11,90000
PONTEM CORPORATIONSHS CL AG71707106262,100SH SOLE 2,10000
PRECIGEN INCNOTE 3.500% 7/046122TAA020,31220,400,000PRN SOLE 20,400,00000
PRIMAVERA CAPITAL ACQUIST CO*W EXP 01/19/202G7255E11712,500SH SOLE 2,50000
PRUDENTIAL BANCORP INC NEWCOM74431A10122611,000SH SOLE 11,00000
RENEWABLE ENERGY GROUP INCCOM NEW75972A3014095,400SH SOLE 5,40000
REVOLUTION HEALTHCAR AQ CORPCLASS A COM76155Y108796,477SH SOLE 6,47700
RMG ACQUISITION CORP IIICL A SHSG76088106393,155SH SOLE 3,15500
ROGERS CORPCOM7751331014761,400SH SOLE 1,40000
SANGOMA TECHNOLOGIES CORPCOM NEW80100R40829,9661,685,400SH SOLE 1,685,40000
SCIENCE STRATEGIC ACQ ALPHA*W EXP 01/20/20280864111201,666SH SOLE 1,66600
SCION TECH GROWTH ICL A SHSG31067104796,400SH SOLE 6,40000
SFL CORPORATION LTDNOTE 4.875% 5/0824689AG811,1268,656,000PRN SOLE 8,656,00000
SHAW COMMUNICATIONS INCCL B CONV82028K20046211,920SH SOLE 11,92000
SHOCKWAVE MED INCCOM82489T10441160SH SOLE 16000
SIERRA WIRELESS INCCOM8265161066,604292,600SH SOLE 292,60000
SLAM CORPCL A SHSG8210L105796,500SH SOLE 6,50000
SOC TELEMED INCCOM CL A78472F10111129,700SH SOLE 29,70000
SOCIAL CAP SUVRETTA HLD CRPICLASS A ORD SHSG8253W109887,094SH SOLE 7,09400
SOCIAL CAP SUVRETTA HLDS CPCLASS A ORD SHSG8253Y105786,400SH SOLE 6,40000
SOCIAL CAP SUVRETTA HLDS CRPCLASS A ORD SHSG8253T106796,400SH SOLE 6,40000
SOCIAL CAP SUVRETTA HLDS CRPCLASS A ORD SHSG8253U103786,400SH SOLE 6,40000
SOCIAL CAPITAL HEDOSOPHA HLD*W EXP 09/26/202G8251L1137548,500SH SOLE 48,50000
SOUTH JERSEY INDS INCCOM8385181083598,320SH SOLE 8,32000
SPIRIT AIRLS INCCOM8485771021154,200SH SOLE 4,20000
SPIRIT OF TEX BANCSHARES INCCOM84861D1032046,200SH SOLE 6,20000
SPX FLOW INCCOM78469X1071721,600SH SOLE 1,60000
SS&C TECHNOLOGIES HLDGS INCCOM78467J10010,265109,450SH SOLE 109,45000
SSR MNG INCNOTE 2.500% 4/0784730AB95,2333,000,000PRN SOLE 3,000,00000
STARWOOD PPTY TR INCCOM85571B10599632,950SH SOLE 32,95000
STITCH FIX INCCOM CL A8608971076,438511,400SH SOLE 511,40000
SUMMER INFANT INCCOM NEW865646301795,422SH SOLE 5,42200
SUNRUN INCNOTE 2/0 ADDED86771WAB112,88012,870,000PRN SOLE 12,870,00000
TABULA RASA HEALTHCARE INCNOTE 1.750% 2/1873379AA97,5208,000,000PRN SOLE 8,000,00000
TCW SPECIAL PURPOSE ACQU CORCOM CL A87301L10632326,500SH SOLE 26,50000
TENNECO INCCL A VTG COM STK88034910535715,600SH SOLE 15,60000
TEXAS PACIFIC LAND CORPORATICOM88262P1027,2184,270SH SOLE 4,27000
TREEHOUSE FOODS INCCOM89469A10428700SH SOLE 70000
TRICIDA INCNOTE 3.500% 5/189610FAB712,47919,408,000PRN SOLE 19,408,00000
TRISTATE CAP HLDGS INCCOM89678F1002455,900SH SOLE 5,90000
TRITIUM DCFC LIMITED*W EXP 01/13/202 ADDEDQ9225T1161333SH SOLE 33300
TWITTER INCCOM90184L1024,11685,100SH SOLE 85,10000
UNITI GROUP INCCOM91325V108482,800SH SOLE 2,80000
UNIVERSAL TECHNICAL INST INCCOM9139151048,712787,454SH SOLE 787,45400
US ECOLOGY INCCOM91734M1033896,500SH SOLE 6,50000
VECTOR ACQUISITION CORP IICL A SHSG9460A104776,346SH SOLE 6,34600
VELO3D INC*W EXP 12/01/20292259N112135,000SH SOLE 5,00000
VEONEER INCCOM92336X1091342,900SH SOLE 2,90000
VIRGIN GROUP ACQUISIT CORP ISHS CL AG9460K102544,400SH SOLE 4,40000
VONAGE HLDGS CORPCOM92886T2011746,875SH SOLE 6,87500
VY GLOBAL GROWTHCOM CL AG9444H10029623,900SH SOLE 23,90000
WARBURG PINCUS CAPTAL CORP ISHS CL AG9460M108806,500SH SOLE 6,50000
WARBURG PINCUS CAPTAL CORP ISHS CL AG9461D107796,429SH SOLE 6,42900
WELBILT INCCOM9490901042347,880SH SOLE 7,88000
WESTERN ASST INFLTN LKD INMCOM SH BEN INT95766Q10630120,600SH SOLE 20,60000
WESTERN AST INFL LKD OPP & ICOM95766R1041,01867,799SH SOLE 67,79900
ZILLOW GROUP INCCL C CAP STK98954M20011,873192,670SH SOLE 192,67000
ZYNGA INCCL A98986T10826222,700SH SOLE 22,70000