PenderFund Capital Management

PenderFund Capital Management as of Sept. 30, 2021

Portfolio Holdings for PenderFund Capital Management

PenderFund Capital Management holds 140 positions in its portfolio as reported in the September 2021 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Paratek Pharmaceuticals Note 4.750% 5/0 (Principal) 6.3 $24M 21M 1.15
Burford Cap Ltd Ord SHS (BUR) 5.9 $23M 1.6M 13.92
Intrexon Corp Note 3.500% 7/0 (Principal) 4.8 $18M 17M 1.06
Tricida Note 3.500% 5/1 (Principal) 4.3 $16M 28M 0.58
Kkr & Co (KKR) 3.5 $14M 176k 77.11
Baidu Spon Adr Rep A (BIDU) 3.4 $13M 67k 194.74
Zillow Group Cl C Cap Stk (Z) 3.2 $12M 111k 111.64
PAR Technology Corporation (PAR) 3.1 $12M 153k 77.91
Cloudera 3.1 $12M 580k 20.23
Ship Fin Intl Note 4.875% 5/0 (Principal) 2.9 $11M 8.7M 1.29
Ss&c Technologies Holding (SSNC) 2.8 $11M 123k 87.90
Aviat Networks (AVNW) 2.8 $11M 260k 41.62
Stitch Fix Com Cl A (SFIX) 2.8 $11M 208k 50.60
Interactive Brokers Group In Com Cl A (IBKR) 2.8 $11M 133k 78.96
Flexion Therapeutics Note 3.375% 5/0 (Principal) 2.7 $10M 9.0M 1.15
Universal Technical Institute (UTI) 2.6 $10M 1.2M 8.56
Square Cl A (SQ) 2.6 $9.8M 32k 303.77
Opko Health Note 4.500% 2/1 (Principal) 2.5 $9.5M 6.0M 1.58
SSR MNG Note 2.500% 4/0 (Principal) 2.4 $9.1M 6.3M 1.45
Jd.com Spon Adr Cl A (JD) 2.3 $8.9M 98k 91.50
Maxar Technologies 2.3 $8.9M 248k 35.90
eGain Communications Corporation (EGAN) 2.0 $7.7M 597k 12.92
Bausch Health Companies (BHC) 1.9 $7.2M 204k 35.32
Ebix (EBIXQ) 1.8 $7.0M 205k 34.11
Howard Hughes 1.8 $6.8M 61k 111.21
Texas Pacific Land Corp (TPL) 1.7 $6.4M 4.2k 1531.81
Fts International Com New Cl A 1.6 $6.2M 200k 31.16
Eagle Bulk Shipping Note 5.000% 8/0 (Principal) 1.5 $5.8M 3.1M 1.88
Iac Interactivecorp Com New (IAC) 1.5 $5.7M 35k 165.03
Accelerate Diagnostics Note 2.500% 3/1 (Principal) 1.3 $5.0M 5.6M 0.90
Liberty Latin America Com Cl A (LILA) 1.3 $4.9M 297k 16.57
Twitter 1.3 $4.8M 63k 76.50
Liberty Latin America Com Cl C (LILAK) 1.2 $4.7M 285k 16.62
Fluor Corporation (FLR) 1.1 $4.3M 212k 20.23
Fireeye Note 0.875% 6/0 (Principal) 1.1 $4.1M 3.0M 1.36
Momo Note 1.250% 7/0 (Principal) 1.0 $3.8M 3.5M 1.08
Brookfield Asset Mgmt Cl A Ltd Vt Sh 0.9 $3.4M 51k 67.86
Accelr8 Technology 0.9 $3.4M 465k 7.39
Karyopharm Therapeutics Note 3.000%10/1 (Principal) 0.8 $2.9M 3.0M 0.97
Microstrategy Cl A (MSTR) 0.6 $2.3M 3.2k 732.50
Social Capital Hedosopha Hld Shs Cl A 0.5 $2.0M 157k 12.86
Kaleyra 0.5 $1.9M 139k 13.95
Alibaba Group Hldg Sponsored Ads (BABA) 0.5 $1.9M 10k 187.48
Infinera Corp Note 2.500% 3/0 (Principal) 0.4 $1.7M 1.0M 1.68
Northrop Grumman Corporation (NOC) 0.4 $1.7M 3.7k 456.28
Infinera Corp Note 2.125% 9/0 (Principal) 0.4 $1.6M 1.1M 1.41
Lendingtree Note 0.625% 6/0 (Principal) 0.3 $1.3M 1.0M 1.27
Kennedy-Wilson Holdings (KW) 0.3 $1.2M 46k 26.49
Starwood Property Trust (STWD) 0.3 $1.2M 39k 30.92
Discovery Com Ser C 0.3 $1.2M 38k 30.74
Hanesbrands (HBI) 0.2 $917k 42k 21.73
Colfax Corporation 0.2 $832k 14k 58.13
Colliers Intl Group Sub Vtg Shs (CIGI) 0.2 $600k 3.7k 162.16
Firstservice Corp (FSV) 0.1 $573k 2.5k 229.20
Sofi Technologies *w Exp 05/28/202 0.1 $386k 49k 7.94
Cano Health *w Exp 06/03/202 (CANWQ) 0.1 $299k 57k 5.23
Vimeo Common Stock (VMEO) 0.1 $220k 5.9k 37.24
Jaws Hurricane Acquisitn Cor Unit 06/08/2026 0.0 $127k 10k 12.70
Social Capital Hedosopha Hld *w Exp 09/26/202 0.0 $118k 50k 2.37
Atlantic Cap Bancshares 0.0 $67k 2.0k 33.50
Meridian Ban 0.0 $66k 2.5k 26.40
Golden Nugget Online Gamin Com Cl A 0.0 $64k 2.9k 22.07
Flagstar Bancorp Com Par .001 0.0 $64k 1.0k 64.00
Vereit 0.0 $63k 1.1k 57.27
Cit 0.0 $61k 930.00 65.59
Greensky Cl A 0.0 $54k 3.8k 14.21
Lux Health Tech Acquisition *w Exp 11/30/202 0.0 $48k 33k 1.45
Acceleron Pharma 0.0 $44k 200.00 220.00
Ppd 0.0 $40k 670.00 59.70
Inovalon Hldgs Com Cl A 0.0 $39k 760.00 51.32
Sportsmans Whse Hldgs (SPWH) 0.0 $33k 1.5k 22.60
State Auto Financial 0.0 $32k 500.00 64.00
American National Group 0.0 $32k 135.00 237.04
Domtar Corp 0.0 $32k 460.00 69.57
Century Bancorporation Cl A Non Vtg 0.0 $32k 220.00 145.45
Covanta Holding Corporation 0.0 $32k 1.3k 25.40
Welbilt 0.0 $32k 1.1k 29.63
Brookfield Asset Mgmt Reins Cl A Exch Lt Vtg 0.0 $30k 427.00 70.26
Aerojet Rocketdy 0.0 $28k 510.00 54.90
Kadmon Hldgs 0.0 $20k 1.8k 10.87
Nuance Communications 0.0 $18k 257.00 70.04
Pershing Square Tontine Hldg *w Exp 07/24/202 0.0 $17k 10k 1.65
Pershing Square Tontine Hldg Com Cl A 0.0 $17k 700.00 24.29
Avanti Acquisition Corp Shs Cl A 0.0 $16k 1.3k 12.77
Virgin Group Acquisit Corp I Shs Cl A 0.0 $16k 1.3k 12.42
E Merge Technology Acquisiti Com Cl A 0.0 $16k 1.3k 12.31
Go Acquisition Corp 0.0 $16k 1.3k 12.31
Bluescape Opportunities Acqu SHS 0.0 $16k 1.3k 12.31
Cohn Robbins Holdings Corp Com Cl A 0.0 $16k 1.3k 12.31
Oaktree Acquisition Corp Ii Cl A Shs 0.0 $16k 1.3k 12.31
5 01 Acquisition Corp Com Cl A 0.0 $16k 1.3k 12.31
Cf Acquisition Corp Iv Com Cl A 0.0 $16k 1.3k 12.31
Ares Acquisition Corporation Com Cl A 0.0 $16k 1.3k 12.31
Hudson Executive Invs Corp I Com Cl A 0.0 $16k 1.3k 12.31
Mason Industrial Technolgy I Com Cl A 0.0 $16k 1.3k 12.31
Khosla Ventures Acqut Co Iii Com Cl A 0.0 $16k 1.3k 12.31
Health Assurn Acquisition Com Cl A 0.0 $16k 1.3k 12.31
Pontem Corporation Shs Cl A 0.0 $16k 1.3k 12.31
Hamilton Lane Alliance Hldgs Com Cl A 0.0 $16k 1.3k 12.31
Apollo Strategic Grwt Cptl I Shs Cl A 0.0 $16k 1.3k 12.31
B Riley Principal 150 Merger Com Cl A 0.0 $16k 1.3k 12.31
Social Cap Suvretta Hld Crpi Class A Ord Shs 0.0 $16k 1.3k 12.31
Lazard Growth Acquisition SHS 0.0 $16k 1.3k 12.31
Kkr Acquisition Holding I Com Class A 0.0 $16k 1.3k 12.31
Fusion Acquisition Corp Ii Com Cl A 0.0 $16k 1.3k 12.31
Hudson Executive Inves Iii Com Cl A 0.0 $16k 1.3k 12.31
Tcw Special Purpose Acqu Cor Com Cl A 0.0 $16k 1.3k 12.31
B Riley Prin 250 Merger Corp Class A Com 0.0 $16k 1.3k 12.31
Magellan Health Services 0.0 $16k 136.00 117.65
Slam Corp Cl A Shs (SLAMF) 0.0 $16k 1.3k 12.72
Trillium Therapeutics, Inc. Cmn 0.0 $16k 700.00 22.86
Churchill Capital Corp Vii Com Cl A (CVII) 0.0 $13k 1.0k 12.67
Swk Holdings Corp (SWKH) 0.0 $13k 550.00 23.64
Pacific Mercantile Ban 0.0 $11k 905.00 12.15
Warburg Pincus Captal Corp I Shs Cl A 0.0 $11k 900.00 12.22
Cc Neuberger Prin Hldgs Ii Shs Cl A 0.0 $10k 800.00 12.50
Rmg Acquisition Corp Iii Cl A Shs (RMGCF) 0.0 $10k 800.00 12.50
Renren Sponsored Ads (MTBLY) 0.0 $9.0k 500.00 18.00
Altimeter Growth Corp 2 Com Cl A 0.0 $9.0k 700.00 12.86
Churchill Capital Corp Vi Com Cl A 0.0 $9.0k 700.00 12.86
Score Media & Gaming Cl A Sub Vtg Shs 0.0 $8.0k 190.00 42.11
Stamps 0.0 $8.0k 20.00 400.00
Shaw Communications Cl B Conv 0.0 $8.0k 210.00 38.10
Severn Ban 0.0 $8.0k 483.00 16.56
Scion Tech Growth I Cl A Shs 0.0 $7.0k 600.00 11.67
Discovery Com Ser A 0.0 $5.0k 160.00 31.25
Cornerstone Ondemand 0.0 $4.0k 55.00 72.73
Social Capital Hedosopha Hld *w Exp 09/26/202 0.0 $3.0k 1.3k 2.40
Primavera Capital Acquist *w Exp 01/19/202 0.0 $3.0k 2.5k 1.20
Fortress Capital Acquisition Shs Cl A 0.0 $2.0k 200.00 10.00
Lead Edge Growth Oprtunts Lt *w Exp 04/01/202 0.0 $2.0k 2.5k 0.80
Accelerate Acquisition Corp Com Cl A 0.0 $1.0k 100.00 10.00
Decarbonization Plus Acqu Ii *w Exp 01/19/202 0.0 $999.999000 333.00 3.00
One Equity Partners Open Wtr *w Exp 01/14/202 0.0 $999.933200 1.7k 0.60
Science Strategic Acq Alpha *w Exp 01/20/202 0.0 $999.933200 1.7k 0.60
Vector Acquisition Corp Ii Cl A Shs 0.0 $0 14.00 0.00
Jaws Mustang Acquisition Cor *w Exp 01/30/202 (JWSM.WS) 0.0 $0 250.00 0.00
Thimble Point Acquisition *w Exp 02/04/202 0.0 $0 333.00 0.00
Spartan Acquisition Corp Iii *w Exp 02/04/202 0.0 $0 250.00 0.00
Independence Holdings Corp Class A Ord Shs 0.0 $0 10.00 0.00