K2 Principal Fund as of Sept. 30, 2016
Portfolio Holdings for K2 Principal Fund
K2 Principal Fund holds 214 positions in its portfolio as reported in the September 2016 quarterly 13F filing
| Company (Ticker) | Portfolio Weight | Valued At | Change in Shares | Share Count | Share Price |
|---|---|---|---|---|---|
| ShoreTel | 4.8 | $1.7M | 14k | 125.10 | |
| New York Reit | 4.3 | $1.5M | 14k | 109.20 | |
| Qlt | 4.0 | $1.4M | 2.9k | 485.39 | |
| American Capital | 3.6 | $1.3M | 22k | 59.14 | |
| Financial Select Sector SPDR (XLF) | 3.6 | $1.3M | 24k | 51.81 | |
| Cypress Semiconductor Corporation | 3.2 | $1.1M | 14k | 82.23 | |
| Harmony Merger | 2.6 | $900k | 9.0k | 99.50 | |
| Harmony Merger Corp w exp 01/01/202 | 2.6 | $900k | 246.00 | 3658.54 | |
| PowerShares QQQ Trust, Series 1 | 1.9 | $685k | 81k | 8.42 | |
| Louisiana-Pacific Corporation (LPX) | 1.9 | $673k | 13k | 53.11 | |
| Harmony Merger Corp unit 99/99/9999 | 1.7 | $600k | 6.1k | 98.33 | |
| Dominion Diamond Corp foreign | 1.7 | $585k | 5.7k | 102.42 | |
| Potash Corp. Of Saskatchewan I | 1.6 | $544k | 8.9k | 61.27 | |
| Direxion Daily Gold Miners Bull 3x Shares etf | 1.6 | $543k | 10k | 52.83 | |
| Oi Sa - (OIBZQ) | 1.5 | $516k | 2.9k | 176.08 | |
| Klr Energy Acquisition Corp cl a | 1.4 | $501k | 5.1k | 98.82 | |
| Klr Energy Acquisition Corp w exp 09/16/202 | 1.4 | $500k | 210.00 | 2380.95 | |
| Yahoo! | 1.4 | $498k | 21k | 23.20 | |
| Pangaea Logistics Solution L (PANL) | 1.3 | $460k | 1.2k | 399.88 | |
| Saban Cap Acquisition Corp unit 99/99/9999 | 1.3 | $450k | 4.5k | 99.21 | |
| Sears Holdings Corporation | 1.3 | $446k | 5.1k | 87.28 | |
| BGC Partners | 1.2 | $435k | 3.8k | 114.28 | |
| Cf Corp shs cl a | 1.1 | $400k | 3.9k | 102.14 | |
| M I Acquisitions Inc unit 99/99/9999 | 1.1 | $400k | 4.0k | 99.80 | |
| Paypal Holdings (PYPL) | 1.1 | $395k | 16k | 24.41 | |
| Ingram Micro | 1.1 | $375k | 13k | 28.04 | |
| Vaneck Vectors Semiconductor Etf semiconductor (SMH) | 1.1 | $368k | 26k | 14.39 | |
| Electrum Spl Acquisition Cor | 1.0 | $343k | 3.4k | 101.66 | |
| Diebold Incorporated | 1.0 | $338k | 8.4k | 40.33 | |
| Electrum Spl Acquisition Cor *w exp 99/99/999 | 0.9 | $315k | 72.00 | 4375.00 | |
| Silver Run Acquisition Corp cl a | 0.9 | $311k | 4.9k | 63.50 | |
| Double Eagle Acquisition Cor | 0.9 | $306k | 3.0k | 101.01 | |
| Apigee | 0.8 | $299k | 5.2k | 57.47 | |
| Gp Invts Acquisition Cor | 0.8 | $299k | 2.9k | 103.86 | |
| Double Eagle Acquisition Cor *w exp 09/16/202 | 0.8 | $295k | 118.00 | 2499.30 | |
| Bristol Myers Squibb (BMY) | 0.8 | $293k | 16k | 18.55 | |
| KLA-Tencor Corporation (KLAC) | 0.8 | $290k | 20k | 14.34 | |
| Cynapsus Therapeutics | 0.8 | $286k | 12k | 24.86 | |
| Qualcomm (QCOM) | 0.8 | $275k | 19k | 14.60 | |
| Landcadia Holdings Inc unit | 0.7 | $250k | 2.6k | 97.54 | |
| Atlantic Alliance Partner | 0.7 | $243k | 2.6k | 95.23 | |
| VeriFone Systems | 0.7 | $239k | 3.8k | 63.52 | |
| iShares Barclays 20+ Yr Treas.Bond (TLT) | 0.7 | $228k | 31k | 7.27 | |
| Terrapin 3 Acquisition Corp *w exp 06/27/201 | 0.7 | $230k | 42.00 | 5466.67 | |
| Office Depot | 0.6 | $227k | 809.00 | 280.01 | |
| Terrapin 3 Acquisition | 0.6 | $225k | 2.2k | 100.66 | |
| Maxim Integrated Products | 0.6 | $220k | 8.8k | 25.04 | |
| Coeur d'Alene Mines Corporation (CDE) | 0.6 | $219k | 2.6k | 84.54 | |
| Nexeo Solutions Inc *w exp 06/09/202 | 0.6 | $219k | 136.00 | 1608.95 | |
| Citigroup (C) | 0.6 | $215k | 10k | 21.17 | |
| Skullcandy | 0.6 | $207k | 1.3k | 157.76 | |
| Vitae Pharmaceuticals | 0.6 | $209k | 4.4k | 47.80 | |
| Quinpario Acquisition Corp 2 | 0.6 | $207k | 2.1k | 100.91 | |
| Waste Connections (WCN) | 0.6 | $208k | 16k | 13.39 | |
| Quinpario Acquisition Corp 2 *w exp 01/01/202 | 0.6 | $200k | 35.00 | 5714.29 | |
| Cf Corp *w exp 05/25/202 | 0.6 | $200k | 180.00 | 1111.11 | |
| Whitewave Foods | 0.6 | $197k | 11k | 18.37 | |
| M Iii Acquisition Corp unit 99/99/9999t | 0.5 | $180k | 1.8k | 102.05 | |
| Utilities SPDR (XLU) | 0.5 | $170k | 8.3k | 20.41 | |
| Sportsmans Whse Hldgs (SPWH) | 0.5 | $164k | 1.7k | 95.07 | |
| Gores Hldgs Inc *w exp 08/13/202 | 0.5 | $160k | 192.00 | 833.33 | |
| Rent-A-Center (UPBD) | 0.5 | $159k | 2.0k | 79.13 | |
| Conyers Pk Acquisition unit 99/99/99991 | 0.4 | $150k | 1.6k | 93.05 | |
| Gp Invts Acquisition Cor *w exp 99/99/999 | 0.4 | $147k | 90.00 | 1631.67 | |
| Mylan Nv | 0.4 | $145k | 5.5k | 26.23 | |
| Valspar Corporation | 0.4 | $139k | 15k | 9.43 | |
| St. Jude Medical | 0.4 | $137k | 11k | 12.54 | |
| Gas Nat | 0.4 | $136k | 1.0k | 130.33 | |
| General Mills (GIS) | 0.4 | $132k | 7.2k | 18.31 | |
| KapStone Paper and Packaging | 0.4 | $135k | 2.6k | 52.86 | |
| Pulte (PHM) | 0.4 | $129k | 2.6k | 49.91 | |
| Sandstorm Gold (SAND) | 0.4 | $129k | 648.00 | 198.77 | |
| Rpx Corp | 0.4 | $127k | 1.4k | 93.50 | |
| Nxp Semiconductors N V (NXPI) | 0.3 | $123k | 13k | 9.80 | |
| Aegerion Pharmaceuticals | 0.3 | $125k | 370.00 | 336.36 | |
| Lexmark International | 0.3 | $116k | 4.6k | 25.02 | |
| Novagold Resources Inc Cad (NG) | 0.3 | $118k | 659.00 | 178.45 | |
| Csra | 0.3 | $115k | 3.1k | 37.17 | |
| Magnachip Semiconductor Corp (MX) | 0.3 | $112k | 933.00 | 119.87 | |
| Hennessy Cap Acquisition Cor | 0.3 | $113k | 1.1k | 102.05 | |
| Quad/Graphics (QUAD) | 0.3 | $109k | 2.9k | 37.43 | |
| Arbutus Biopharma (ABUS) | 0.3 | $108k | 370.00 | 290.86 | |
| Basic Energy Services | 0.3 | $104k | 83.00 | 1250.00 | |
| Red Robin Gourmet Burgers (RRGB) | 0.3 | $102k | 4.6k | 22.25 | |
| Pacific Spl Acquisition Corp | 0.3 | $102k | 1.0k | 97.60 | |
| Wells Fargo & Company (WFC) | 0.3 | $100k | 4.4k | 22.58 | |
| Alibaba Group Holding (BABA) | 0.3 | $100k | 11k | 9.45 | |
| Pace Hldgs Corp cl a | 0.3 | $99k | 974.00 | 101.64 | |
| Pace Hldgs Corp *w exp 99/99/999 | 0.3 | $99k | 42.00 | 2357.14 | |
| FelCor Lodging Trust Incorporated | 0.3 | $96k | 617.00 | 155.46 | |
| Werner Enterprises (WERN) | 0.3 | $94k | 2.2k | 42.97 | |
| Borgwarner | 0.3 | $95k | 3.3k | 28.43 | |
| iShares Russell 2000 Index (IWM) | 0.3 | $91k | 11k | 8.05 | |
| SL Green Realty | 0.2 | $87k | 9.4k | 9.25 | |
| Donnelley R R & Sons Co when issued | 0.2 | $86k | 2.2k | 39.23 | |
| iShares FTSE/Xinhua China 25 Index (FXI) | 0.2 | $72k | 2.7k | 26.31 | |
| Forestar | 0.2 | $74k | 868.00 | 85.42 | |
| Aarons | 0.2 | $73k | 1.9k | 39.33 | |
| Press Ganey Holdings | 0.2 | $73k | 3.0k | 24.75 | |
| Spdr S&p 500 Etf (SPY) | 0.2 | $71k | 15k | 4.62 | |
| Direxion Daily Small Cp Bull 3X (TNA) | 0.2 | $69k | 5.5k | 12.53 | |
| Bk Of America Corp | 0.2 | $69k | 1.1k | 63.89 | |
| American Farmland | 0.2 | $70k | 552.00 | 126.81 | |
| Staples | 0.2 | $66k | 564.00 | 117.02 | |
| Solarcity | 0.2 | $69k | 1.3k | 51.11 | |
| Dell Technologies Inc Class V equity | 0.2 | $67k | 3.2k | 20.92 | |
| iShares Dow Jones US Home Const. (ITB) | 0.2 | $62k | 1.7k | 36.29 | |
| Linkedin Corp | 0.2 | $65k | 12k | 5.23 | |
| Sunedison Semiconductor | 0.2 | $65k | 740.00 | 87.84 | |
| Carmike Cinemas | 0.2 | $60k | 2.0k | 30.59 | |
| Infoblox | 0.2 | $60k | 1.6k | 37.93 | |
| Patriot National | 0.2 | $61k | 546.00 | 111.08 | |
| Ihs Markit | 0.2 | $60k | 2.3k | 26.63 | |
| Microsoft Corporation (MSFT) | 0.2 | $57k | 3.3k | 17.36 | |
| CSX Corporation (CSX) | 0.2 | $55k | 1.7k | 32.78 | |
| Perrigo Company (PRGO) | 0.2 | $55k | 5.1k | 10.83 | |
| Spectra Energy | 0.1 | $53k | 2.3k | 23.40 | |
| Rackspace Hosting | 0.1 | $52k | 1.6k | 31.55 | |
| ALLIANCE DATA SYS CORP Com Stk | 0.1 | $45k | 9.7k | 4.66 | |
| Agrium Cad | 0.1 | $45k | 4.1k | 11.03 | |
| Motorola Solutions (MSI) | 0.1 | $47k | 3.6k | 13.11 | |
| Proshares Tr ultrapro qqq (TQQQ) | 0.1 | $45k | 5.8k | 7.77 | |
| Kraft Heinz (KHC) | 0.1 | $45k | 4.1k | 11.18 | |
| Pfizer (PFE) | 0.1 | $43k | 1.5k | 29.53 | |
| TJX Companies (TJX) | 0.1 | $43k | 3.2k | 13.37 | |
| Dollar Tree (DLTR) | 0.1 | $43k | 3.4k | 12.67 | |
| Iamgold Corp (IAG) | 0.1 | $41k | 166.00 | 246.75 | |
| Express Scripts Holding | 0.1 | $42k | 3.0k | 14.18 | |
| Allergan | 0.1 | $43k | 10k | 4.34 | |
| Emergent Cap | 0.1 | $41k | 121.00 | 341.17 | |
| Andina Acquisition Corp Ii | 0.1 | $42k | 414.00 | 101.21 | |
| Rio Tinto (RIO) | 0.1 | $40k | 1.3k | 29.94 | |
| Group Cgi Cad Cl A | 0.1 | $38k | 1.8k | 21.01 | |
| Silver Wheaton Corp | 0.1 | $40k | 1.1k | 37.00 | |
| Direxion Shs Etf Tr Daily Gold Miner | 0.1 | $40k | 1.4k | 29.71 | |
| CHECK POINT SOFTWARE Technolog Com Stk (CHKP) | 0.1 | $34k | 2.6k | 12.89 | |
| NetSuite | 0.1 | $34k | 3.8k | 9.04 | |
| Western Asset Emerging Mrkts Dbt Fnd (EMD) | 0.1 | $34k | 555.00 | 61.53 | |
| Asanko Gold | 0.1 | $35k | 149.00 | 237.04 | |
| Origo Acquisition Corp | 0.1 | $36k | 366.00 | 96.98 | |
| Costco Wholesale Corporation (COST) | 0.1 | $30k | 4.6k | 6.56 | |
| ITC Holdings | 0.1 | $30k | 1.4k | 21.52 | |
| Palo Alto Networks (PANW) | 0.1 | $30k | 4.8k | 6.27 | |
| Proshares Ultrapro Short Qqq etp | 0.1 | $32k | 428.00 | 74.77 | |
| Stellar Acquisition Iii Inc unit 03/22/2022 | 0.1 | $32k | 319.00 | 100.31 | |
| Waste Management (WM) | 0.1 | $28k | 1.8k | 15.68 | |
| Hutchinson Technology Incorporated | 0.1 | $27k | 106.00 | 251.22 | |
| Ball Corp | 0.1 | $28k | 2.3k | 12.20 | |
| Tripadvisor (TRIP) | 0.1 | $28k | 1.7k | 15.83 | |
| Hydra Inds Acquisition | 0.1 | $29k | 291.00 | 100.37 | |
| Arowana | 0.1 | $27k | 274.00 | 98.12 | |
| Federal-Mogul Corporation | 0.1 | $25k | 240.00 | 104.17 | |
| Xilinx | 0.1 | $25k | 1.4k | 18.40 | |
| Lam Research Corporation (LRCX) | 0.1 | $25k | 2.4k | 10.56 | |
| Talen Energy | 0.1 | $25k | 341.00 | 72.21 | |
| Gannett | 0.1 | $25k | 291.00 | 85.91 | |
| Winnebago Industries (WGO) | 0.1 | $20k | 471.00 | 42.46 | |
| Gilead Sciences (GILD) | 0.1 | $20k | 1.6k | 12.63 | |
| Rite Aid Corporation | 0.1 | $21k | 159.00 | 130.17 | |
| American Airls (AAL) | 0.1 | $20k | 729.00 | 27.30 | |
| Alphabet Inc Class C cs (GOOG) | 0.1 | $21k | 16k | 1.29 | |
| Real Estate Select Sect Spdr (XLRE) | 0.1 | $21k | 682.00 | 30.50 | |
| Cf Corporation | 0.1 | $21k | 214.00 | 98.13 | |
| JPMorgan Chase & Co. (JPM) | 0.1 | $18k | 1.2k | 15.00 | |
| Deere & Company (DE) | 0.1 | $17k | 1.5k | 11.72 | |
| Ford Motor Company (F) | 0.1 | $18k | 217.00 | 82.95 | |
| Magna Intl Inc cl a (MGA) | 0.1 | $18k | 773.00 | 23.26 | |
| Globalstar (GSAT) | 0.1 | $17k | 20.00 | 842.95 | |
| Fleetmatics | 0.1 | $19k | 1.1k | 16.67 | |
| Terrapin 3 Acquisition Corp unit 06/27/2019 | 0.1 | $19k | 191.00 | 99.48 | |
| Aralez Pharmaceuticals | 0.1 | $19k | 90.00 | 205.92 | |
| Monsanto Company | 0.0 | $15k | 1.5k | 9.78 | |
| Republic Services (RSG) | 0.0 | $13k | 661.00 | 19.82 | |
| Texas Instruments Incorporated (TXN) | 0.0 | $15k | 1.1k | 14.24 | |
| Netflix (NFLX) | 0.0 | $15k | 1.5k | 10.15 | |
| SPDR Gold Trust (GLD) | 0.0 | $13k | 1.6k | 7.96 | |
| iShares NASDAQ Biotechnology Index (IBB) | 0.0 | $13k | 3.8k | 3.46 | |
| iShares Silver Trust (SLV) | 0.0 | $14k | 255.00 | 54.90 | |
| Hldgs (UAL) | 0.0 | $14k | 740.00 | 19.05 | |
| Restaurant Brands Intl Inc Com equity / large cap (QSR) | 0.0 | $15k | 669.00 | 22.42 | |
| Xenon Pharmaceuticals (XENE) | 0.0 | $15k | 122.00 | 122.95 | |
| Direxion Shs Etf Tr daily sm cap bea | 0.0 | $13k | 357.00 | 37.25 | |
| Via | 0.0 | $10k | 381.00 | 26.25 | |
| Oracle Corporation (ORCL) | 0.0 | $12k | 471.00 | 25.48 | |
| DiamondRock Hospitality Company (DRH) | 0.0 | $12k | 109.00 | 110.09 | |
| iShares S&P Latin America 40 Index (ILF) | 0.0 | $12k | 338.00 | 35.70 | |
| Raptor Pharmaceutical | 0.0 | $10k | 90.00 | 111.11 | |
| Mosaic (MOS) | 0.0 | $10k | 245.00 | 40.82 | |
| Delphi Automotive | 0.0 | $9.0k | 642.00 | 14.02 | |
| Avg Technologies | 0.0 | $9.4k | 235.00 | 40.01 | |
| Ringcentral (RNG) | 0.0 | $10k | 237.00 | 42.19 | |
| Media Gen | 0.0 | $10k | 184.00 | 54.35 | |
| Axalta Coating Sys (AXTA) | 0.0 | $10k | 283.00 | 35.34 | |
| Gores Hldgs Inc cl a | 0.0 | $10k | 108.00 | 92.59 | |
| BlackRock (BLK) | 0.0 | $7.0k | 2.5k | 2.76 | |
| Cheesecake Factory Incorporated (CAKE) | 0.0 | $6.0k | 300.00 | 20.00 | |
| CBOE Holdings (CBOE) | 0.0 | $5.7k | 368.00 | 15.43 | |
| Berkshire Hath-cl B | 0.0 | $6.1k | 887.00 | 6.92 | |
| Bob Evans Farms | 0.0 | $5.8k | 222.00 | 26.13 | |
| J Global (ZD) | 0.0 | $7.0k | 466.00 | 15.02 | |
| Phillips 66 (PSX) | 0.0 | $7.0k | 564.00 | 12.41 | |
| B2gold Corp conv | 0.0 | $5.5k | 5.6k | 0.99 | |
| Alphabet Inc Class A cs (GOOGL) | 0.0 | $8.0k | 6.4k | 1.24 | |
| Hershey Company (HSY) | 0.0 | $4.3k | 406.00 | 10.47 | |
| Visa (V) | 0.0 | $2.5k | 207.00 | 12.08 | |
| Morningstar (MORN) | 0.0 | $2.8k | 224.00 | 12.61 | |
| Tesla Motors (TSLA) | 0.0 | $2.0k | 408.00 | 4.90 | |
| BroadSoft | 0.0 | $5.0k | 233.00 | 21.46 | |
| Aegerion Pharmaceuticals 2% Du cvbond | 0.0 | $5.0k | 3.3k | 1.50 | |
| Linkedin Corp note 0.500% 11/0 | 0.0 | $3.9k | 3.9k | 1.01 | |
| Horizon Pharma Plc convertible security | 0.0 | $2.0k | 1.9k | 1.06 | |
| Incontact Inc note 2.500% 4/0 | 0.0 | $2.0k | 2.4k | 0.83 | |
| Keycorp New pfd 7.75% sr a | 0.0 | $1.6k | 225.00 | 7.32 | |
| Amerco | 0.0 | $1.6k | 524.00 | 3.08 |
