PenderFund Capital Management Ltd. — Q3 2020 13F Holdings

Name: PenderFund Capital Management Ltd. — 13F Holdings, Q3 2020
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001706164

Total reported value

$638.6M

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Full holdings list this quarter

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	PRTK 4.75 05-01-24	Paratek Pharmaceuticals	Stock-Other	6.27%	—	—
2	✓	Just Energy Group INC	Stock-Other	6.05%	—	—
3	TWTR 0.25 06-15-24	Twitter INC	Stock-Other	3.72%	—	—
4	SPWR 0.875 06-01-21	Sunpower CORP	Stock-Other	3.57%	—	-33.55%
5	EBIXEUR	Ebix INC	Stock-Other	3.34%	—	+28.97%
6	SPWR 4 01-15-23	Sunpower CORP	Stock-Other	3.32%	—	-39.72%
7	SFIX	Stitch Fix Inc-class A	Stock-Other	2.99%	—	+61.96%
8	KKR	Kkr & Co INC	Stock-Financials	2.98%	—	-25.60%
9	Z	Zillow Group INC - C	Stock-Comm Services	2.91%	—	-28.25%
10	ICPT 3.25 07-01-23	Intercept Pharmas	Stock-Other	2.91%	—	—
11	LEAF	Leaf Group LTD	Stock-Other	2.88%	—	-1.06%
12	AXDX 2.5 03-15-23	Accelerate Diagnostics	Stock-Other	2.51%	—	—
13	SSNC	Ss&c Technologies Holdings	Stock-Tech	2.43%	—	-5.74%
14	JD	Jd.com Inc-adr	Stock-Consumer Disc	2.39%	—	-24.20%
15	AVYA 2.25 06-15-23	Avaya Holdings CORP	Stock-Other	2.39%	—	—
16	✓		Stock-Other	2.33%	—	—
17	HHC*	Howard Hughes Corp/the	Stock-Other	2.18%	—	-0.96%
18	INFN 2.125 09-01-24	Infinera CORP	Stock-Other	2.12%	—	—
19	HN9	Hanesbrands INC	Stock-Other	1.93%	—	-11.00%
20	BHC	Bausch Health Cos INC	Stock-Healthcare	1.77%	—	—
21	XYZ	Block INC	Stock-Financials	1.76%	—	—
22	BLW	Blackrock LTD Durat INC Tr	Stock-Other	1.63%	—	—
23	PAR	Par Technology Corp/del	Stock-Other	1.62%	-0.69%	-6.43%
24	IBKR	Interactive Brokers Gro-cl A	Stock-Financials	1.61%	—	-0.77%
25	TPLUSD	Texas Pacific Land Trust	Stock-Other	1.50%	—	+111.46%
26	TEVA 0.25 02-01-26 C	Teva Pharm Fin Co LLC	Stock-Healthcare	1.45%	—	-38.18%
27	WIW	Western Asst Infl-lnk Opp	Stock-Other	1.45%	—	—
28	EGAN	Egain CORP	Stock-Other	1.40%	—	-74.08%
29	AVNW	Aviat Networks INC	Stock-Other	1.34%	—	+87.32%
30	TWTRUSD	Twitter INC	Stock-Other	1.33%	—	+42.02%
31	ICPT 2 05-15-26	Intercept Pharmas	Stock-Other	1.31%	—	—
32	XEVVX	Eaton Vance LTD Durat INC	Stock-Other	1.26%	—	—
33	CLDR	Cloudera INC	Stock-Other	1.18%	—	—
34	NVG	Nuveen Amt-fr Muni Crdt	Stock-Other	1.16%	—	—
35	NAD	Nuveen Quality Municipal INC	Stock-Other	1.08%	—	—
36	XNEAX	Nuveen Amt-fr Qlty Muni INC	Stock-Other	1.06%	—	—
37	MAXRUSD	Maxar Technologies INC	Stock-Other	1.03%	—	-71.13%
38	✓	Liberty Latin America LTD Com Cl A	Stock-Other	0.96%	—	—
39	✓	Social Cap Hdosphia Hldg Co	Stock-Other	0.94%	—	—
40	UTI	Universal Technical Institut	Stock-Other	0.92%	—	—
41	SGOL	abrdn Physical Gold Shares ETF	ETF-Commodities	0.89%	—	—
42	✓	Social Cap Hedspia Hldg Co I	Stock-Other	0.83%	—	—
43	PSTHUSD	Pershing Square Tontine -a	Stock-Other	0.78%	—	—
44	MSFT	Microsoft CORP	Stock-Tech	0.77%	+0.13%	NEW
45	SHSP	Sharpspring INC	Stock-Other	0.75%	—	—
46	✓	Jaws Acquisition CORP	Stock-Other	0.75%	—	—
47	WPF-U	Foley Trasimene Acquisition	Stock-Other	0.73%	—	—
48	FLR	Fluor CORP	Stock-Industrials	0.69%	—	-9.95%
49	BIDU	Baidu INC - Spon Adr	Stock-Comm Services	0.66%	—	—
50	BAM	Brookfield Asset Management Ltd.	Stock-Financials	0.65%	—	—

1–50 of 70

Holding changes this quarter

Position changes disclosed by PenderFund Capital Management Ltd. for the quarter ending Q3 2020, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	SFIX	Stitch Fix Inc-class A	+1.3%	+61.96%	Add
2	LEAF	Leaf Group LTD	+0.8%	-1.06%	Trim
3	AVNW	Aviat Networks INC	+0.8%	+87.32%	Add
4	TWTRUSD	Twitter INC	+0.7%	+42.02%	Add
5	XYZ	Block INC	+0.7%	—	Unchanged
6	Z	Zillow Group INC - C	+0.6%	-28.25%	Trim
7	TWTR 0.25 06-15-24	Twitter INC	+0.6%	—	Unchanged
8	TPLUSD	Texas Pacific Land Trust	+0.6%	+111.46%	Add
9	EBIXEUR	Ebix INC	+0.5%	+28.97%	Add
10	HN9	Hanesbrands INC	+0.4%	-11.00%	Trim
11	PAR	Par Technology Corp/del	+0.4%	-6.43%	Trim
12	AVYA 2.25 06-15-23	Avaya Holdings CORP	+0.4%	—	Unchanged
13	CLDR	Cloudera INC	-0.2%	—	Unchanged
14	AXDX 2.5 03-15-23	Accelerate Diagnostics	-0.3%	—	Unchanged
15	FLR	Fluor CORP	-0.4%	-9.95%	Trim
16	XMUIX	Blackrock Municipal Income	-0.5%	-50.00%	Trim
17	KKR	Kkr & Co INC	-0.6%	-25.60%	Trim
18	TEVA 0.25 02-01-26 C	Teva Pharm Fin Co LLC	-0.9%	-38.18%	Trim
19	BPYPN	Brookfield Property Partners L.P.	-1.1%	-75.21%	Trim
20	SPWR 4 01-15-23	Sunpower CORP	-1.3%	-39.72%	Trim
21	SPWR 0.875 06-01-21	Sunpower CORP	-1.5%	-33.55%	Trim
22	MAXRUSD	Maxar Technologies INC	-1.5%	-71.13%	Trim
23	TPC 2.875 06-15-21	Tutor Perini CORP	-1.7%	-77.73%	Trim
24	EGAN	Egain CORP	-2.9%	-74.08%	Trim
25	✓	Just Energy Group INC	—	NEW	New buy
26	OPK 4.5 02-15-25	Opko Health INC	—	EXIT	Sold out
27	ICPT 3.25 07-01-23	Intercept Pharmas	—	NEW	New buy
28	Z 1.5 07-01-23	Zillow Group INC	—	EXIT	Sold out
29	✓		—	NEW	New buy
30	BHC	Bausch Health Cos INC	—	NEW	New buy
31	SSRMCN 2.5 04-01-39	Ssr Mining INC	—	EXIT	Sold out
32	ESI	Element Solutions INC	—	EXIT	Sold out
33	BB	Blackberry LTD	—	EXIT	Sold out
34	ICPT 2 05-15-26	Intercept Pharmas	—	NEW	New buy
35	ACBCN 5.5 02-28-24	Aurora Cannabis INC	—	EXIT	Sold out
36	✓	Social Cap Hdosphia Hldg Co	—	NEW	New buy
37	UTI	Universal Technical Institut	—	NEW	New buy
38	MHK	Mohawk Industries INC	—	EXIT	Sold out
39	✓	Social Cap Hedspia Hldg Co I	—	NEW	New buy
40	PSTHUSD	Pershing Square Tontine -a	—	NEW	New buy
41	✓	Social Cap Hedspia Hldg Co I	—	EXIT	Sold out
42	SHSP	Sharpspring INC	—	NEW	New buy
43	✓	Jaws Acquisition CORP	—	NEW	New buy
44	WPF-U	Foley Trasimene Acquisition	—	NEW	New buy
45	CNQ	Canadian Natural Resources	—	EXIT	Sold out
46	✓	Social Cap Hdosphia Hldg Co	—	EXIT	Sold out
47	ANETEUR	Arista Networks INC	—	EXIT	Sold out
48	SU	Suncor Energy INC	—	EXIT	Sold out
49	BBUC	Brookfield Business Corporation	—	EXIT	Sold out
50	LILA	Liberty Latin America Ltd.	—	NEW	New buy