# EDGAR Filing Document

**Accession Number:** 0001706164
**File Stem:** 0001706164-23-000001
**Filing Date:** 2023-2
**Character Count:** 17794
**Document Hash:** 2988561b4a682b9528f5a152e722633b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001706164-23-000001.hdr.sgml**: 20230210

**ACCESSION NUMBER**: 0001706164-23-000001

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230210

**DATE AS OF CHANGE**: 20230210

**EFFECTIVENESS DATE**: 20230210

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PenderFund Capital Management Ltd.
- **CENTRAL INDEX KEY:** 0001706164
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** A1
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-18272
- **FILM NUMBER:** 23610232

**BUSINESS ADDRESS:**
- **STREET 1:** SUITE 1830, 1066 W. HASTINGS STREET
- **CITY:** VANCOUVER
- **STATE:** A1
- **ZIP:** V6E 3X2
- **BUSINESS PHONE:** 6046881511

**MAIL ADDRESS:**
- **STREET 1:** SUITE 1830, 1066 W. HASTINGS STREET
- **CITY:** VANCOUVER
- **STATE:** A1
- **ZIP:** V6E 3X2

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** PenderFund Capital Management Ltd.<br>**Address:** SUITE 1830 1066 W. HASTINGS STREET<br>VANCOUVER, A1 V6E 3X2

**Form 13F File Number:** 028-18272

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Gina Jones<br>**Title:** CFO CCO<br>**Phone:** 236-521-2988

**Signature, Place, and Date of Signing:**

Gina Jones  Vancouver, A1  02-10-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 140

**Form 13F Information Table Value Total:** $335435

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 1LIFE HEALTHCARE INC | COM | 68269G107 |  | 563 | 24900 | SH |  | SOLE |  | 24900 | 0 | 0 |
| ABRDN ASIA PACIFIC INCOME FU | COM | 003009107 |  | 7692 | 2160000 | SH |  | SOLE |  | 2160000 | 0 | 0 |
| ACCELERATE DIAGNOSTICS INC | NOTE 2.500% 3/1 | 00430HAB8 |  | 2413 | 1910000 | PRN |  | SOLE |  | 1910000 | 0 | 0 |
| AEROJET ROCKETDYNE HLDGS INC | COM | 007800105 |  | 182 | 2400 | SH |  | SOLE |  | 2400 | 0 | 0 |
| AFFIRM HLDGS INC | NOTE 11/1 ADDED | 00827BAB2 |  | 1127 | 1500000 | PRN |  | SOLE |  | 1500000 | 0 | 0 |
| AGROFRESH SOLUTIONS INC | COM | 00856G109 |  | 360 | 89800 | SH |  | SOLE |  | 89800 | 0 | 0 |
| ALTC ACQUISITION CORP | COM CL A | 02156V109 |  | 85 | 6346 | SH |  | SOLE |  | 6346 | 0 | 0 |
| ALTITUDE ACQUISITION CORP | COM CL A | 02156Y103 |  | 551 | 41000 | SH |  | SOLE |  | 41000 | 0 | 0 |
| ALTRA INDL MOTION CORP | COM | 02208R106 |  | 259 | 3200 | SH |  | SOLE |  | 3200 | 0 | 0 |
| ANTERIX INC | COM | 03676C100 |  | 5510 | 126500 | SH |  | SOLE |  | 126500 | 0 | 0 |
| APOLLO STRATEGIC GRWT CPTL I | SHS CL A | G0412A102 |  | 118 | 8700 | SH |  | SOLE |  | 8700 | 0 | 0 |
| ARES ACQUISITION CORPORATION | COM CL A | G33032106 |  | 87 | 6400 | SH |  | SOLE |  | 6400 | 0 | 0 |
| ARISZ ACQUISITION CORP | COMMON STOCK | 040450108 |  | 274 | 20390 | SH |  | SOLE |  | 20390 | 0 | 0 |
| ATLAS AIR WORLDWIDE HLDGS IN | COM NEW | 049164205 |  | 959 | 7030 | SH |  | SOLE |  | 7030 | 0 | 0 |
| ATLAS CORP | SHARES | Y0436Q109 |  | 371 | 17840 | SH |  | SOLE |  | 17840 | 0 | 0 |
| AVEO PHARMACEUTICALS INC | COM NEW | 053588307 |  | 563 | 27800 | SH |  | SOLE |  | 27800 | 0 | 0 |
| AVIAT NETWORKS INC | COM NEW | 05366Y201 |  | 5470 | 129524 | SH |  | SOLE |  | 129524 | 0 | 0 |
| B RILEY PRIN 250 MERGER CORP | CLASS A COM | 05602L104 |  | 119 | 8840 | SH |  | SOLE |  | 8840 | 0 | 0 |
| BAIDU INC | SPON ADR REP A | 056752108 |  | 5510 | 35580 | SH |  | SOLE |  | 35580 | 0 | 0 |
| BANDWIDTH INC | NOTE 0.250% 3/0 | 05988JAB9 |  | 4114 | 4000000 | PRN |  | SOLE |  | 4000000 | 0 | 0 |
| BANDWIDTH INC | NOTE 0.500% 4/0 | 05988JAD5 |  | 9431 | 11000000 | PRN |  | SOLE |  | 11000000 | 0 | 0 |
| BANNIX ACQUISITION CORP | COM | 066644105 |  | 224 | 16300 | SH |  | SOLE |  | 16300 | 0 | 0 |
| BENEFITFOCUS INC | COM | 08180D106 |  | 260 | 18350 | SH |  | SOLE |  | 18350 | 0 | 0 |
| BEYOND MEAT INC | NOTE 3/1 | 08862EAB5 |  | 2849 | 8000000 | PRN |  | SOLE |  | 8000000 | 0 | 0 |
| BLACK KNIGHT INC | COM | 09215C105 |  | 514 | 6150 | SH |  | SOLE |  | 6150 | 0 | 0 |
| BLOCK INC | CL A | 852234103 |  | 2308 | 27130 | SH |  | SOLE |  | 27130 | 0 | 0 |
| BROAD CAPITAL ACQUISITION CO | COM | 11125B102 |  | 224 | 16173 | SH |  | SOLE |  | 16173 | 0 | 0 |
| BROOKFIELD ASSET MANAGMT LTD | CL A LMT VTG SHS ADDED | 113004105 |  | 458 | 11824 | SH |  | SOLE |  | 11824 | 0 | 0 |
| BROOKFIELD CORP | CL A LTD VT SH ADDED | 11271J107 |  | 2014 | 47300 | SH |  | SOLE |  | 47300 | 0 | 0 |
| BURFORD CAP LTD | ORD SHS | G17977110 |  | 9133 | 827772 | SH |  | SOLE |  | 827772 | 0 | 0 |
| CANO HEALTH INC | *W EXP 06/03/202 | 13781Y111 |  | 16 | 53598 | SH |  | SOLE |  | 53598 | 0 | 0 |
| CHURCHILL CAPITAL CORP VI | COM CL A | 17143W101 |  | 720 | 53170 | SH |  | SOLE |  | 53170 | 0 | 0 |
| CHURCHILL CAPITAL CORP VII | COM CL A | 17144M102 |  | 853 | 63206 | SH |  | SOLE |  | 63206 | 0 | 0 |
| COINBASE GLOBAL INC | COM CL A | 19260Q107 |  | 139 | 2900 | SH |  | SOLE |  | 2900 | 0 | 0 |
| COLLIERS INTL GROUP INC | SUB VTG SHS | 194693107 |  | 1399 | 11250 | SH |  | SOLE |  | 11250 | 0 | 0 |
| COUPA SOFTWARE INC | COM | 22266L106 |  | 525 | 4900 | SH |  | SOLE |  | 4900 | 0 | 0 |
| DOCEBO INC | COM | 25609L105 |  | 5271 | 117820 | SH |  | SOLE |  | 117820 | 0 | 0 |
| D-WAVE QUANTUM INC | COM | 26740W109 |  | 1458 | 747838 | SH |  | SOLE |  | 747838 | 0 | 0 |
| EDIFY ACQUISITION CORP | CL A | 28059Q103 |  | 69 | 5013 | SH |  | SOLE |  | 5013 | 0 | 0 |
| EGAIN CORP | COM NEW | 28225C806 |  | 4952 | 405056 | SH |  | SOLE |  | 405056 | 0 | 0 |
| ELEVATE CREDIT INC | COM | 28621V101 |  | 257 | 108600 | SH |  | SOLE |  | 108600 | 0 | 0 |
| ELLIOTT OPPORTUNITY II CORP | SHS CL A | G30092103 |  | 87 | 6399 | SH |  | SOLE |  | 6399 | 0 | 0 |
| ESPERION THERAPEUTICS INC NE | NOTE 4.000%11/1 | 29664WAB1 |  | 15872 | 21104000 | PRN |  | SOLE |  | 21104000 | 0 | 0 |
| EVENTBRITE INC | NOTE 0.750% 9/1 | 29975EAD1 |  | 11801 | 12500000 | PRN |  | SOLE |  | 12500000 | 0 | 0 |
| EVENTBRITE INC | NOTE 5.000%12/0 | 29975EAB5 |  | 3761 | 3000000 | PRN |  | SOLE |  | 3000000 | 0 | 0 |
| EVO PMTS INC | CL A COM | 26927E104 |  | 545 | 11900 | SH |  | SOLE |  | 11900 | 0 | 0 |
| FIRST EAGLE ALTR CAP BDC INC | COM | 26943B100 |  | 299 | 51850 | SH |  | SOLE |  | 51850 | 0 | 0 |
| FIRST HORIZON CORPORATION | COM | 320517105 |  | 521 | 15700 | SH |  | SOLE |  | 15700 | 0 | 0 |
| FIRST LT ACQUISITION GROUP I | CL A | 320703101 |  | 731 | 53100 | SH |  | SOLE |  | 53100 | 0 | 0 |
| FIRST MAJESTIC SILVER CORP | NOTE 0.375% 1/1 ADDED | 32076VAD5 |  | 14395 | 12500000 | PRN |  | SOLE |  | 12500000 | 0 | 0 |
| FORGEROCK INC | CL A | 34631B101 |  | 749 | 24300 | SH |  | SOLE |  | 24300 | 0 | 0 |
| FORTRESS CAPITAL ACQUISITION | SHS CL A | G36427105 |  | 304 | 22255 | SH |  | SOLE |  | 22255 | 0 | 0 |
| FORUM ENERGY TECHNOLOGIES IN | NOTE 9.000% 8/0 | 34984VAC4 |  | 25249 | 16998134 | PRN |  | SOLE |  | 16998134 | 0 | 0 |
| F-STAR THERAPEUTICS INC | COM | 30315R107 |  | 195 | 22760 | SH |  | SOLE |  | 22760 | 0 | 0 |
| FTAC EMERALD ACQUISITION COR | CLASS A COM | 29103K100 |  | 2 | 135 | SH |  | SOLE |  | 135 | 0 | 0 |
| FTAC HERA ACQUISITION CORP | CLASS A ORD SHS | G3728Y103 |  | 121 | 8810 | SH |  | SOLE |  | 8810 | 0 | 0 |
| FUSION ACQUISITION CORP II | COM CL A | 36118N102 |  | 120 | 8820 | SH |  | SOLE |  | 8820 | 0 | 0 |
| GOLDEN ARROW MERGER CORP | CLASS A COM | 380799106 |  | 264 | 19450 | SH |  | SOLE |  | 19450 | 0 | 0 |
| GULFPORT ENERGY CORP | COMMON SHARES | 402635502 |  | 50 | 500 | SH |  | SOLE |  | 500 | 0 | 0 |
| HEALTH SCIENCES ACQ CORP 2 | ORD SHS | G4411D109 |  | 748 | 55300 | SH |  | SOLE |  | 55300 | 0 | 0 |
| HOWARD HUGHES CORP | COM | 44267D107 |  | 3397 | 32834 | SH |  | SOLE |  | 32834 | 0 | 0 |
| IAC INC | COM NEW | 44891N208 |  | 1725 | 28700 | SH |  | SOLE |  | 28700 | 0 | 0 |
| IMAGO BIOSCIENCES INC | COM | 45250K107 |  | 453 | 9300 | SH |  | SOLE |  | 9300 | 0 | 0 |
| INDEPENDENCE HOLDINGS CORP | CLASS A ORD SHS | G4761A101 |  | 120 | 8816 | SH |  | SOLE |  | 8816 | 0 | 0 |
| INTERACTIVE BROKERS GROUP IN | COM CL A | 45841N107 |  | 5287 | 53968 | SH |  | SOLE |  | 53968 | 0 | 0 |
| INTERCEPT PHARMACEUTICALS IN | NOTE 2.000% 5/1 | 45845PAB4 |  | 12029 | 11795000 | PRN |  | SOLE |  | 11795000 | 0 | 0 |
| JAWS HURRICANE ACQUISITN COR | *W EXP 03/26/202 | 47201B111 |  | 1 | 2500 | SH |  | SOLE |  | 2500 | 0 | 0 |
| JAWS MUSTANG ACQUISITION COR | *W EXP 01/30/202 | G50737124 |  | 0 | 250 | SH |  | SOLE |  | 250 | 0 | 0 |
| JAWS MUSTANG ACQUISITION COR | SHS CL A | G50737108 |  | 108 | 7900 | SH |  | SOLE |  | 7900 | 0 | 0 |
| JD.COM INC | SPON ADR CL A | 47215P106 |  | 4358 | 57345 | SH |  | SOLE |  | 57345 | 0 | 0 |
| KENNEDY-WILSON HOLDINGS INC | COM | 489398107 |  | 1298 | 60940 | SH |  | SOLE |  | 60940 | 0 | 0 |
| KENSINGTON CAPITAL ACQUISITI | SHS CL A | G5251K103 |  | 502 | 36400 | SH |  | SOLE |  | 36400 | 0 | 0 |
| KHOSLA VENTURES ACQUT CO III | COM CL A | 482506102 |  | 117 | 8680 | SH |  | SOLE |  | 8680 | 0 | 0 |
| KKR  CO INC | COM | 48251W104 |  | 7875 | 125290 | SH |  | SOLE |  | 125290 | 0 | 0 |
| KNOWBE4 INC | CL A | 49926T104 |  | 186 | 5550 | SH |  | SOLE |  | 5550 | 0 | 0 |
| LANVIN GROUP HOLDINGS LIMITE | *W EXP 99/99/999 ADDED | G5380J118 |  | 0 | 2500 | SH |  | SOLE |  | 2500 | 0 | 0 |
| LAZARD GROWTH ACQUISITION CO | CL A ORD SHS | G54035103 |  | 121 | 8810 | SH |  | SOLE |  | 8810 | 0 | 0 |
| LEAD EDGE GROWTH OPRTUNTS LT | *W EXP 04/01/202 | G54085116 |  | 0 | 2500 | SH |  | SOLE |  | 2500 | 0 | 0 |
| LIBERTY BROADBAND CORP | COM SER C | 530307305 |  | 909 | 8820 | SH |  | SOLE |  | 8820 | 0 | 0 |
| MAGNACHIP SEMICONDUCTOR CORP | COM | 55933J203 |  | 35 | 2800 | SH |  | SOLE |  | 2800 | 0 | 0 |
| MASON INDUSTRIAL TECHNOLGY I | COM CL A | 57520Y106 |  | 341 | 25180 | SH |  | SOLE |  | 25180 | 0 | 0 |
| MAXAR TECHNOLOGIES INC | COM | 57778K105 |  | 9430 | 134720 | SH |  | SOLE |  | 134720 | 0 | 0 |
| MAXEON SOLAR TECHNOLOGIES LT | NOTE 6.500% 7/1 | 57779BAB0 |  | 1508 | 990000 | PRN |  | SOLE |  | 990000 | 0 | 0 |
| MERIDIAN BIOSCIENCE INC | COM | 589584101 |  | 785 | 17450 | SH |  | SOLE |  | 17450 | 0 | 0 |
| MICROCHIP TECHNOLOGY INC. | COM | 595017104 |  | 1257 | 13220 | SH |  | SOLE |  | 13220 | 0 | 0 |
| MONEYGRAM INTL INC | COM NEW | 60935Y208 |  | 1035 | 70200 | SH |  | SOLE |  | 70200 | 0 | 0 |
| MORGAN STANLEY EMERGING MKTS | COM | 617477104 |  | 3944 | 661935 | SH |  | SOLE |  | 661935 | 0 | 0 |
| MOUNTAIN CREST ACQSITN CORP | COM | 62404B107 |  | 1128 | 83200 | SH |  | SOLE |  | 83200 | 0 | 0 |
| MSD ACQUISITION CORP | CLASS A ORD SHS | G5709C109 |  | 86 | 6300 | SH |  | SOLE |  | 6300 | 0 | 0 |
| MYOVANT SCIENCES LTD | COM | G637AM102 |  | 193 | 5300 | SH |  | SOLE |  | 5300 | 0 | 0 |
| NEXGEN ENERGY LTD | COM | 65340P106 |  | 66 | 11300 | SH |  | SOLE |  | 11300 | 0 | 0 |
| NORTH AMERN CONSTR GROUP LTD | COM | 656811106 |  | 812 | 44910 | SH |  | SOLE |  | 44910 | 0 | 0 |
| NORTHROP GRUMMAN CORP | COM | 666807102 |  | 1212 | 1640 | SH |  | SOLE |  | 1640 | 0 | 0 |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 67070X101 |  | 4907 | 300000 | SH |  | SOLE |  | 300000 | 0 | 0 |
| O2MICRO INTERNATIONAL LIMITE | SPONS ADR | 67107W100 |  | 293 | 48400 | SH |  | SOLE |  | 48400 | 0 | 0 |
| OPKO HEALTH INC | NOTE 4.500% 2/1 | 68375NAD5 |  | 16880 | 14000000 | PRN |  | SOLE |  | 14000000 | 0 | 0 |
| PAR TECHNOLOGY CORP | COM | 698884103 |  | 8115 | 229881 | SH |  | SOLE |  | 229881 | 0 | 0 |
| PARATEK PHARMACEUTICALS INC | NOTE 4.750% 5/0 | 699374AB0 |  | 18638 | 15510000 | PRN |  | SOLE |  | 15510000 | 0 | 0 |
| PEAR THERAPEUTICS INC | *W EXP 12/03/202 | 704723113 |  | 0 | 333 | SH |  | SOLE |  | 333 | 0 | 0 |
| PELOTON INTERACTIVE INC | CL A COM | 70614W100 |  | 3624 | 337090 | SH |  | SOLE |  | 337090 | 0 | 0 |
| PONTEM CORPORATION | SHS CL A | G71707106 |  | 40 | 2900 | SH |  | SOLE |  | 2900 | 0 | 0 |
| POSHMARK INC | COM CL A | 73739W104 |  | 279 | 11540 | SH |  | SOLE |  | 11540 | 0 | 0 |
| PROFESSIONAL HLDG CORP | CL A COM | 743139107 |  | 446 | 11870 | SH |  | SOLE |  | 11870 | 0 | 0 |
| QUMU CORP | COM | 749063103 |  | 183 | 151046 | SH |  | SOLE |  | 151046 | 0 | 0 |
| RMG ACQUISITION CORP III | CL A SHS | G76088106 |  | 58 | 4255 | SH |  | SOLE |  | 4255 | 0 | 0 |
| SANGOMA TECHNOLOGIES CORP | COM NEW | 80100R408 |  | 15136 | 2383607 | SH |  | SOLE |  | 2383607 | 0 | 0 |
| SEASPINE HLDGS CORP | COM | 81255T108 |  | 693 | 61260 | SH |  | SOLE |  | 61260 | 0 | 0 |
| SEMLER SCIENTIFIC INC | COM | 81684M104 |  | 375 | 8400 | SH |  | SOLE |  | 8400 | 0 | 0 |
| SHAW COMMUNICATIONS INC | CL B CONV | 82028K200 |  | 3161 | 81020 | SH |  | SOLE |  | 81020 | 0 | 0 |
| SHOCKWAVE MED INC | COM | 82489T104 |  | 45 | 160 | SH |  | SOLE |  | 160 | 0 | 0 |
| SIERRA WIRELESS INC | COM | 826516106 |  | 889 | 22650 | SH |  | SOLE |  | 22650 | 0 | 0 |
| SLAM CORP | CL A SHS | G8210L105 |  | 120 | 8810 | SH |  | SOLE |  | 8810 | 0 | 0 |
| SNAP INC | NOTE 0.750% 8/0 | 83304AAB2 |  | 1156 | 1000000 | PRN |  | SOLE |  | 1000000 | 0 | 0 |
| SOCIAL CAP SUVRETTA HLDS CP | CLASS A ORD SHS | G8253Y105 |  | 118 | 8680 | SH |  | SOLE |  | 8680 | 0 | 0 |
| SOCIAL CAP SUVRETTA HLDS C | RP CLASS A ORD SHS | G8253U103 |  | 118 | 8680 | SH |  | SOLE |  | 8680 | 0 | 0 |
| SOUTH JERSEY INDS INC | COM | 838518108 |  | 198 | 4120 | SH |  | SOLE |  | 4120 | 0 | 0 |
| SPIRIT AIRLS INC | COM | 848577102 |  | 417 | 15800 | SH |  | SOLE |  | 15800 | 0 | 0 |
| SPROTT PHYSICAL GOLD  SILVE | TR UNIT | 85208R101 |  | 243 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| SS TECHNOLOGIES HLDGS INC | COM | 78467J100 |  | 6371 | 90380 | SH |  | SOLE |  | 90380 | 0 | 0 |
| SSR MNG INC | NOTE 2.500% 4/0 | 784730AB9 |  | 6114 | 4000000 | PRN |  | SOLE |  | 4000000 | 0 | 0 |
| STARBUCKS CORP | COM | 855244109 |  | 1490 | 11090 | SH |  | SOLE |  | 11090 | 0 | 0 |
| STARWOOD PPTY TR INC | COM | 85571B105 |  | 1176 | 47400 | SH |  | SOLE |  | 47400 | 0 | 0 |
| STITCH FIX INC | COM CL A | 860897107 |  | 175 | 41580 | SH |  | SOLE |  | 41580 | 0 | 0 |
| STORE CAP CORP | COM | 862121100 |  | 966 | 22250 | SH |  | SOLE |  | 22250 | 0 | 0 |
| TABULA RASA HEALTHCARE INC | NOTE 1.750% 2/1 | 873379AA9 |  | 1910 | 1789000 | PRN |  | SOLE |  | 1789000 | 0 | 0 |
| TEGNA INC | COM | 87901J105 |  | 542 | 18900 | SH |  | SOLE |  | 18900 | 0 | 0 |
| TEXAS PACIFIC LAND CORPORATI | COM | 88262P102 |  | 4529 | 1427 | SH |  | SOLE |  | 1427 | 0 | 0 |
| TRITIUM DCFC LIMITED | *W EXP 01/13/202 | Q9225T116 |  | 0 | 333 | SH |  | SOLE |  | 333 | 0 | 0 |
| UNIVERSAL TECHNICAL INST INC | COM | 913915104 |  | 3675 | 403862 | SH |  | SOLE |  | 403862 | 0 | 0 |
| USERTESTING INC | COM | 91734E101 |  | 709 | 69700 | SH |  | SOLE |  | 69700 | 0 | 0 |
| VECTOR ACQUISITION CORP II | CL A SHS | G9460A104 |  | 87 | 6346 | SH |  | SOLE |  | 6346 | 0 | 0 |
| VELO3D INC | *W EXP 09/29/202 | 92259N112 |  | 1 | 5000 | SH |  | SOLE |  | 5000 | 0 | 0 |
| WARBURG PINCUS CAPTAL CORP I | SHS CL A | G9460M108 |  | 110 | 8040 | SH |  | SOLE |  | 8040 | 0 | 0 |
| WARBURG PINCUS CAPTAL CORP I | SHS CL A | G9461D107 |  | 88 | 6429 | SH |  | SOLE |  | 6429 | 0 | 0 |
| WARNER BROS DISCOVERY INC | COM SER A | 934423104 |  | 347 | 27000 | SH |  | SOLE |  | 27000 | 0 | 0 |
| WELSBACH TECH METALS ACQU CO | COM | 950415109 |  | 400 | 28931 | SH |  | SOLE |  | 28931 | 0 | 0 |
| WESTERN ASSET EMERGING MKTS | COM | 95766A101 |  | 5055 | 409810 | SH |  | SOLE |  | 409810 | 0 | 0 |
| WESTERN ASST INFLTN LKD INM | COM SH BEN INT | 95766Q106 |  | 252 | 21588 | SH |  | SOLE |  | 21588 | 0 | 0 |
| WESTERN AST INFL LKD OPP  I | COM | 95766R104 |  | 3507 | 283708 | SH |  | SOLE |  | 283708 | 0 | 0 |
| ZILLOW GROUP INC | CL C CAP STK | 98954M200 |  | 6266 | 143677 | SH |  | SOLE |  | 143677 | 0 | 0 |

---