Legal & Financial
Investment Funds
Regulatory
May 27, 2024 | Pro Forma Fund Facts (Conventional Mutual Funds) |
May 27, 2024 | Pro Forma Fund Facts (Alternative Mutual Funds) |
May 27, 2024 | Preliminary Fund Facts (Conventional and Alternative Mutual Funds) |
May 27, 2024 | Preliminary and Pro Forma Simplified Prospectus (Conventional and Alternative Mutual Funds) |
May 22, 2024 | Form of Proxy (Pender Small/Mid Cap Dividend Fund) |
April 24, 2024 | Notice and Information Circular (Pender Small/Mid Cap Dividend Fund) |
April 8, 2024 | Notice of Special Meeting (Pender Small/Mid Cap Dividend Fund) |
June 27, 2023 | Simplified Prospectus (Conventional and Alternative Mutual Funds) |
June 27, 2023 | Annual Fund Facts (Conventional Mutual Funds) |
June 27, 2023 | Annual Fund Facts (Liquid Alternative Funds) |
March 2024 | Relationship Disclosure Brochure |
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PORTFOLIO HOLDINGS
March 31, 2024 | Pender Alternative Absolute Return Fund |
March 31, 2024 | Pender Alternative Arbitrage Fund |
March 31, 2024 | Pender Alternative Arbitrage Plus Fund |
March 31, 2024 | Pender Alternative Multi-Strategy Income Fund |
March 31, 2024 | Pender Alternative Special Situations Fund |
March 31, 2024 | Pender Bond Universe Fund |
March 31, 2024 | Pender Corporate Bond Fund |
March 31, 2024 | Pender Small Cap Opportunities Fund |
March 31, 2024 | Pender Small/Mid Cap Dividend Fund |
March 31, 2024 | Pender Strategic Growth and Income Fund |
March 31, 2024 | Pender Value Fund |
Semi-Annual Financial Reporting
June 30, 2023 | Pender Mutual Funds – Semi-Annual Financial Statement |
June 30, 2023 | Pender Alternative Mutual Funds – Semi-Annual Financial Statement |
June 30, 2023 | Pender Alternative Arbitrage Fund – MRFP |
June 30, 2023 | Pender Alternative Arbitrage Plus Fund – MRFP |
June 30, 2023 | Pender Alternative Absolute Return Fund – MRFP |
June 30, 2023 | Pender Alterative Multi-Strategy Income Fund – MRFP |
June 30, 2023 | Pender Alternative Special Situations Fund – MRFP |
June 30, 2023 | Pender Bond Universe Fund – MRFP |
June 30, 2023 | Pender Corporate Bond Fund – MRFP |
June 30, 2023 | Pender Small Cap Opportunities Fund – MRFP |
June 30, 2023 | Pender Small/Mid Cap Dividend Fund – MRFP |
June 30, 2023 | Pender Strategic Growth & Income Fund (formerly Pender Enhanced Income Fund) – MRFP |
June 30, 2023 | Pender Value Fund – MRFP |
Annual Financial Reporting
December 31, 2023 | Pender Mutual Funds – Annual Financial Statements |
December 31, 2023 | Pender Alternative Mutual Funds – Annual Financial Statements |
December 31, 2023 | Pender Alternative Arbitrage Fund – MRFP |
December 31, 2023 | Pender Alternative Absolute Return Fund – MRFP |
December 31. 2023 | Pender Alternative Arbitrage Plus Fund – MRFP |
December 31, 2023 | Pender Alternative Multi-Strategy Income Fund – MRFP |
December 31, 2023 | Pender Alternative Special Situations Fund – MRFP |
December 31, 2023 | Pender Bond Universe Fund – MRFP |
December 31, 2023 | Pender Corporate Bond Fund – MRFP |
December 31, 2023 | Pender Small Cap Opportunities Fund – MRFP |
December 31, 2023 | Pender Small/Mid Cap Dividend Fund – MRFP |
December 31, 2023 | Pender Strategic Growth & Income Fund (formerly Pender Enhanced Income Fund) – MRFP |
December 31, 2023 | Pender Value Fund – MRFP |
Proxy Voting Records
June 30, 2023 | Pender Alternative Arbitrage Fund |
June 30, 2023 | Pender Alternative Absolute Return Fund |
June 30, 2023 | Pender Alternative Arbitrage Plus Fund |
June 30, 2023 | Pender Alternative Multi-Strategy Income Fund (formerly Pender Value Fund II) |
June 30, 2023 | Pender Alternative Special Situations Fund (formerly Pender Special Situations Fund) |
June 30, 2023 | Pender Bond Universe Fund |
June 30, 2023 | Pender Corporate Bond Fund |
June 30, 2023 | Pender Enhanced Income Fund |
June 30, 2023 | Pender Emerging Markets Impact Fund |
June 30, 2023 | Pender Small Cap Opportunities Fund |
June 30, 2023 | Pender Small/Mid Cap Dividend Fund |
June 30, 2023 | Pender Strategic Growth & Income Fund |
June 30, 2023 | Pender Global Focused Fund |
June 30, 2023 | Pender Value Fund |
Year End Distributions
INDEPENDENT REVIEW COMMITTEE
For the year ended December 31, 2023, fees paid or payable to KPMG LLP and its network firms for the audit of the financial statements of Canadian Reporting Issuer funds within Pender Mutual Funds and Pender Alternative Mutual Funds were $324,424. Fees for other services were $134,349.
Pender Growth Fund Inc.
REGULATORY
June 4, 2024 | Information Circular |
June 4, 2024 | Proxy – Class C |
June 5, 2023 | Information Circular |
June 5, 2023 | Proxy – Class C |
May 26, 2022 | Annual Information Form |
April 27, 2022 | Information Circular |
April 27, 2022 | Proxy – Class C |
June 30, 2021 | Information Circular |
June 30, 2021 | Proxy – Class C |
May 22, 2020 | Information Circular |
May 22, 2020 | Proxy – Class C |
May 22, 2020 | Notice of Meeting |
November 8, 2021 | Annual Information Form |
November 29, 2021 | Preliminary Short Form Base Shelf Prospectus |
Financial Reporting
March 31, 2024 | Q1 2024 – Quarterly MD&A |
March 31, 2024 | Q1 2024 – Quarterly Financial Statements |
December 31, 2023 | Annual Financial Statement |
December 31, 2023 | Annual MD&A |
September 30, 2023 | Q3 2023 – Quarterly MD&A |
September 30, 2023 | Q3 2023 – Quarterly Financial Statements |
June 30, 2023 | Q2 2023 – Quarterly MD&A |
June 30, 2023 | Q2 2023 – Quarterly Financial Statements |
March 31, 2023 | Q1 2023 – Quarterly MD&A |
March 31, 2023 | Q1 2023 – Quarterly Financial Statements |
December 31, 2022 | Annual Financial Statement |
December 31, 2022 | Annual MD&A |
September 30, 2022 | Q3 2022 – Quarterly Financial Statement |
September 30, 2022 | Q3 2022 – Quarterly MD&A |
June 30, 2022 | Q2 2022 – Quarterly MD&A |
June 30, 2022 | Q2 2022 – Quarterly Financial Statement |
March 31, 2022 | Q1 2022 – Quarterly MD&A |
March 31, 2022 | Q1 2022 – Quarterly Financial Statement |
December 31, 2021 | Annual Financial Statement |
December 31, 2021 | Annual MD&A |
September 30, 2021 | Q3 2021 – Quarterly MD&A |
September 30, 2021 | Q3 2021 – Quarterly Financial Statement |
June 30, 2021 | Q2 2021 – Quarterly Financial Statement |
June 30, 2021 | Q2 2021 – Quarterly MD&A |
March 31, 2021 | Q1 2021 – Quarterly Financial Statement |
March 31, 2021 | Q1 2021 – Quarterly MD&A |
December 31, 2020 | Annual Financial Statement |
December 31, 2020 | Annual MD&A |
September 30, 2020 | Q3 2020 – Quarterly Financial Statement |
September 30, 2020 | Q3 2020 – Quarterly MD&A |
June 30, 2020 | Q2 2020 – Quarterly Financial Statement |
June 30, 2020 | Q2 2020 – Quarterly MD&A |
March 31, 2020 | Q1 2020 – Quarterly Financial Statement |
March 31, 2020 | Q1 2020 – Quarterly MD&A |
December 31, 2019 | Annual Financial Statement |
December 31, 2019 | Annual MD&A |
September 30, 2019 | Q3 2019 – Quarterly Financial Statement |
September 30, 2019 | Q3 2019 – Quarterly MD&A |
For the year ended December 31, 2023, fees paid or payable to KPMG LLP and its network firms for the audit of the financial statements of the Pender Growth Fund were $126,260. Fees for other services were $71,578.
PENDER PRIVATE INVESTMENTS INC. (FORMERLY WORKING OPPORTUNITY FUND (EVCC) LTD.)
Regulatory
Financial Reporting
March 31, 2023 | Pender Private Investments – Quarterly MD&A |
March 31, 2023 | Pender Private Investments – Quarterly Financial Statement |
December 31, 2022 | Pender Private Investments – Annual MD&A |
December 31, 2022 | Pender Private Investments – Annual Financial Statement |
September 30, 2022 | Pender Private Investments – Q3 2022 MD&A |
September 30, 2022 | Pender Private Investments – Q3 2022 Financial Statements |
June 30, 2022 | Pender Private Investments – Quarterly MD&A |
June 30, 2022 | Pender Private Investments – Semi Annual Financial Statements |
March 31, 2022 | Pender Private Investments – Quarterly MD&A |
March 31, 2022 | Pender Private Investments – Quarterly Financial Statements |
December 31, 2021 | Pender Private Investments – Annual MD&A |
December 31, 2021 | Pender Private Investments – Annual Financial Statements |
June 30, 2020 | Working Opportunity Fund – Commercialization Series – MRFP |
June 30, 2020 | Working Opportunity Fund – Venture Series – MRFP |
December 31, 2020 | Working Opportunity Fund – Annual Financial Statement |
December 31, 2020 | Working Opportunity Fund – Commercialization Series – MRFP |
December 31, 2020 | Working Opportunity Fund – Venture Series – MRFP |