K2 Principal Fund

K2 Principal Fund as of Sept. 30, 2017

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 262 positions in its portfolio as reported in the September 2017 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
PowerShares QQQ Trust, Series 1 9.3 $141M 970k 145.40
Alphabet Inc Class A cs (GOOGL) 5.7 $87M 89k 973.71
Dominion Diamond Corp foreign 3.1 $47M 3.3M 14.18
Bristol Myers Squibb (BMY) 3.0 $46M 720k 63.73
Qualcomm (QCOM) 2.8 $42M 817k 51.84
Time Warner 2.5 $38M 371k 102.45
Citigroup (C) 2.4 $36M 490k 72.74
Oracle Corporation (ORCL) 2.3 $35M 717k 48.36
Altaba 1.6 $25M 371k 66.24
Vantage Energy Acquisition 1.6 $24M 2.5M 9.78
Rice Energy 1.6 $24M 837k 28.94
At&t (T) 1.6 $24M 611k 39.17
Bunge 1.6 $24M 343k 69.46
Spdr S&p 500 Etf (SPY) 1.5 $23M 90k 251.22
Nxp Semiconductors N V (NXPI) 1.4 $21M 185k 113.09
Amc Entmt Hldgs Inc Cl A 1.4 $21M 1.4M 14.70
Cypress Semiconductor Corporation 1.3 $20M 1.3M 15.02
Kite Pharma 1.3 $20M 108k 179.80
Kayne Anderson Acquisition 1.3 $20M 2.0M 9.75
National Energy Services Reu (NESR) 1.3 $19M 2.0M 9.62
Brocade Communications conv 1.3 $19M 19k 1002.52
Mylan Nv 1.2 $19M 590k 31.37
VMware 1.2 $18M 165k 109.19
Louisiana-Pacific Corporation (LPX) 1.2 $18M 653k 27.10
DigitalGlobe 1.1 $17M 489k 35.25
Tpg Pace Energy Hldgs Corp cl a 1.1 $17M 1.7M 9.75
iShares Barclays 20+ Yr Treas.Bond (TLT) 1.1 $17M 135k 124.76
Diebold Incorporated 1.1 $16M 716k 22.82
Monsanto Company 1.1 $16M 135k 119.82
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 1.1 $16M 173k 93.32
Morgan Stanley (MS) 1.0 $15M 310k 48.17
NVIDIA Corporation (NVDA) 1.0 $15M 83k 178.80
Wheaton Precious Metals Corp (WPM) 1.0 $15M 779k 19.10
Financial Select Sector SPDR (XLF) 0.8 $13M 500k 25.86
Scripps Networks Interactive 0.8 $12M 140k 85.89
Spirit Airlines (SAVE) 0.8 $12M 351k 33.40
Tpg Pace Hldgs Corp cl a 0.8 $12M 1.2M 9.83
Priceline Group Inc/the conv 0.8 $12M 10k 1149.00
Pensare Acquisition Corp 0.7 $9.9M 1.0M 9.67
Mallinckrodt Pub 0.6 $9.7M 260k 37.37
PAREXEL International Corporation 0.6 $9.4M 106k 88.08
Hennessy Cap Acquston Corp I 0.6 $9.0M 915k 9.86
Delta Air Lines (DAL) 0.6 $8.9M 184k 48.20
Xilinx 0.6 $8.6M 122k 70.83
Federal Str Acquisition Corp unit 99/99/9999 0.5 $7.5M 730k 10.27
Gores Hldgs Ii 0.5 $7.5M 750k 9.97
Modern Media Acquisition 0.5 $7.0M 719k 9.76
Osprey Energy Acquisition Co unit 07/21/2022 0.5 $6.9M 699k 9.93
Ford Motor Company (F) 0.5 $6.8M 565k 11.97
First Potomac Realty Trust 0.5 $6.8M 610k 11.14
Constellation Alpha Cap Corp 0.4 $6.5M 665k 9.71
Apple (AAPL) 0.4 $6.3M 41k 154.12
Forum Merger Corp - A 0.4 $6.1M 625k 9.71
Norfolk Southern (NSC) 0.4 $6.0M 45k 132.25
KapStone Paper and Packaging 0.4 $5.9M 273k 21.49
NCR Corporation (VYX) 0.4 $5.7M 151k 37.52
Energy Select Sector SPDR (XLE) 0.4 $5.5M 80k 68.48
iShares Silver Trust (SLV) 0.4 $5.5M 350k 15.74
B2gold Corp conv 0.3 $5.2M 5.0k 1034.20
Kbl Merger Corp Iv 0.3 $5.0M 511k 9.72
Discovery Communications 0.3 $4.8M 236k 20.25
Silver Run Acquisition 0.3 $4.9M 479k 10.18
Starwood Waypoint Homes 0.3 $4.8M 132k 36.37
Fintech Acquisition Corp Ii 0.3 $4.7M 475k 9.80
Winnebago Industries (WGO) 0.3 $4.5M 100k 44.76
Cinemark Holdings (CNK) 0.3 $4.6M 127k 36.22
Saban Cap Acquisition 0.3 $4.5M 450k 10.05
Starbucks Corporation (SBUX) 0.3 $4.4M 82k 53.75
Dell Technologies Inc Class V equity 0.3 $4.4M 57k 77.21
Praxair 0.3 $4.3M 31k 139.74
Activision Blizzard 0.3 $4.3M 66k 64.51
Rlj Lodging Trust (RLJ) 0.3 $4.2M 190k 22.00
General Mills (GIS) 0.3 $4.1M 80k 51.77
Calpine Corporation 0.3 $4.1M 279k 14.75
Hldgs (UAL) 0.3 $4.1M 68k 60.90
Silver Standard Resources Inc note 2.875 2/0 0.3 $4.0M 4.0k 1002.75
M I Acquisitions 0.3 $4.1M 408k 10.10
Rockwell Collins 0.3 $3.9M 30k 130.70
SPDR S&P Oil & Gas Explore & Prod. 0.3 $3.9M 115k 34.09
Vaneck Vectors Junior Gold Miners Etf etf (GDXJ) 0.3 $3.9M 117k 33.59
Matlin & Partners Acquisitio cl a 0.3 $3.9M 400k 9.71
Gty Technology Holdings Inc cl a 0.2 $3.8M 377k 9.98
EOG Resources (EOG) 0.2 $3.6M 37k 96.73
Deltic Timber Corporation 0.2 $3.6M 41k 88.44
Nxp Semiconductors N V dbcv 1.000% 12/0 0.2 $3.7M 3.0k 1220.00
Market Vectors Etf Tr Oil Svcs 0.2 $3.6M 137k 26.07
Alnylam Pharmaceuticals (ALNY) 0.2 $3.5M 30k 117.52
Electrum Spl Acquisition Cor 0.2 $3.5M 345k 10.25
Avista Healthcare Pub Acq Co cl a 0.2 $3.5M 346k 10.00
Rosehill Resources 0.2 $3.5M 578k 6.12
Microsoft Corporation (MSFT) 0.2 $3.3M 45k 74.48
JPMorgan Chase & Co. (JPM) 0.2 $3.2M 34k 95.50
Dollar Tree (DLTR) 0.2 $3.2M 37k 86.81
Brocade Communications Systems 0.2 $3.2M 270k 11.95
Direxion Daily Small Cp Bull 3X (TNA) 0.2 $3.2M 50k 64.90
Sprint 0.2 $3.1M 400k 7.78
Csra 0.2 $3.2M 100k 32.27
Commercehub Inc Com Ser C 0.2 $3.2M 152k 21.35
Bison Cap Acquisition Corp ord 0.2 $3.2M 323k 9.87
TJX Companies (TJX) 0.2 $3.0M 41k 73.73
Tesco Corporation 0.2 $3.0M 546k 5.45
Pacific Continental Corporation 0.2 $3.0M 112k 26.95
Aaron's 0.2 $2.9M 66k 43.63
Cheesecake Factory Incorporated (CAKE) 0.2 $2.9M 69k 42.20
Mosaic (MOS) 0.2 $2.9M 133k 21.59
Gp Invts Acquisition Cor 0.2 $2.8M 299k 9.50
Atlantic Acquisition Corp 0.2 $2.9M 300k 9.82
Generac Holdings (GNRC) 0.2 $2.8M 60k 45.92
Mgp Ingredients Inc Common Sto (MGPI) 0.2 $2.8M 46k 60.64
Cu Bancorp Calif 0.2 $2.8M 71k 38.77
Barington Hilco Acquisition 0.2 $2.8M 270k 10.25
Capitol Invt Corp Iv unit 99/99/9999 0.2 $2.8M 276k 10.12
Equifax (EFX) 0.2 $2.5M 24k 106.00
Visa (V) 0.2 $2.6M 25k 105.24
Vwr Corp cash securities 0.2 $2.6M 79k 33.11
Andina Acquisition Corp Ii 0.2 $2.6M 253k 10.16
Landcadia Hldgs Inc cl a 0.2 $2.5M 250k 10.02
Advantage Oil & Gas 0.2 $2.3M 373k 6.30
General Motors Company (GM) 0.2 $2.4M 60k 40.38
Liberty Media Corp Delaware Com A Siriusxm 0.2 $2.4M 58k 41.90
Genuine Parts Company (GPC) 0.1 $2.2M 24k 95.66
Electronic Arts (EA) 0.1 $2.3M 19k 118.06
Darden Restaurants (DRI) 0.1 $2.3M 29k 78.79
McKesson Corporation (MCK) 0.1 $2.3M 15k 153.60
Nike (NKE) 0.1 $2.3M 45k 51.80
DISH Network 0.1 $2.2M 40k 54.20
Forestar Group Inc note 0.1 $2.2M 2.2k 1010.22
Parsley Energy Inc-class A 0.1 $2.1M 79k 26.29
Liberty Media Corp Del Com Ser 0.1 $2.2M 60k 36.48
Blackstone 0.1 $2.0M 60k 33.37
Continental Resources 0.1 $1.9M 50k 38.62
Becton, Dickinson and (BDX) 0.1 $2.0M 10k 195.94
Thor Industries (THO) 0.1 $1.9M 15k 125.92
O'reilly Automotive (ORLY) 0.1 $2.0M 9.4k 215.50
Ally Financial (ALLY) 0.1 $1.9M 80k 24.26
Synchrony Financial (SYF) 0.1 $1.9M 63k 31.07
Wal-Mart Stores (WMT) 0.1 $1.8M 23k 78.15
CF Industries Holdings (CF) 0.1 $1.8M 50k 35.16
Akorn 0.1 $1.8M 54k 33.18
Turkish Investment Fund 0.1 $1.9M 205k 9.09
Blackberry (BB) 0.1 $1.8M 159k 11.18
Liberty Tripadvisor Hldgs (LTRPA) 0.1 $1.8M 146k 12.35
Oi Sa - (OIBZQ) 0.1 $1.8M 231k 7.79
Horizon Pharma Plc convertible security 0.1 $1.8M 2.0k 908.00
M Iii Acquisition Corp equities 0.1 $1.8M 185k 9.80
Lions Gate Entmnt Corp cl a vtg (LGF.A) 0.1 $1.9M 56k 33.45
Wells Fargo & Company (WFC) 0.1 $1.7M 30k 55.17
Westar Energy 0.1 $1.6M 33k 49.61
Take-Two Interactive Software (TTWO) 0.1 $1.7M 17k 102.23
WGL Holdings 0.1 $1.7M 20k 84.20
CoreLogic 0.1 $1.7M 37k 46.21
Berkshire Hathaway (BRK.B) 0.1 $1.5M 8.1k 183.34
United Technologies Corporation 0.1 $1.5M 13k 116.08
Enbridge (ENB) 0.1 $1.6M 37k 41.83
Mercer International (MERC) 0.1 $1.5M 125k 11.85
EQT Corporation (EQT) 0.1 $1.4M 22k 65.20
Gastar Exploration 0.1 $1.4M 1.6M 0.88
Hrg 0.1 $1.5M 99k 15.61
Arbutus Biopharma (ABUS) 0.1 $1.6M 250k 6.20
Double Eagle Acquisition Cor 0.1 $1.6M 156k 10.10
Xl 0.1 $1.5M 38k 39.46
Amazon (AMZN) 0.1 $1.3M 1.4k 961.32
Entercom Communications 0.1 $1.3M 116k 11.45
Thomson Reuters Corp 0.1 $1.3M 29k 45.89
Ecopetrol (EC) 0.1 $1.4M 146k 9.49
Vectren Corporation 0.1 $1.3M 20k 65.79
Numerex 0.1 $1.3M 352k 3.80
Fox News 0.1 $1.3M 50k 25.80
Neff Corp-class A 0.1 $1.3M 53k 25.00
Union Pacific Corporation (UNP) 0.1 $1.2M 10k 116.00
British American Tobac (BTI) 0.1 $1.2M 20k 62.45
Sun Bancorp Inc New Jers 0.1 $1.2M 47k 24.85
Seritage Growth Pptys Cl A (SRG) 0.1 $1.2M 26k 46.02
Liberty Media Corp Delaware Com A Braves Grp 0.1 $1.3M 50k 25.36
Colony Northstar 0.1 $1.3M 100k 12.56
Hormel Foods Corporation (HRL) 0.1 $1.1M 34k 32.14
Vale 0.1 $999k 107k 9.35
Caesars Entertainment 0.1 $1.0M 75k 13.35
News Corp Class B cos (NWS) 0.1 $1.1M 77k 13.65
Horizon Pharma 0.1 $1.0M 83k 12.68
Alteryx 0.1 $1.0M 50k 20.38
Rosehill Resources Inc - A warrant 0.1 $1.0M 1.2M 0.89
Select Energy Svcs Inc cl a (WTTR) 0.1 $1.1M 70k 15.92
National Energy Services Reu *w exp 05/05/202 0.1 $1.0M 2.0M 0.50
Vantage Energy Acquisition w exp 04/12/202 0.1 $1.0M 833k 1.26
HSN 0.1 $922k 24k 39.04
RadNet (RDNT) 0.1 $901k 78k 11.55
Advisory Board Company 0.1 $848k 16k 53.65
Southwest Ban 0.1 $964k 35k 27.54
Capit Bk Fin A 0.1 $868k 21k 41.06
Straight Path Communic Cl B 0.1 $871k 4.8k 180.59
Alibaba Group Holding (BABA) 0.1 $864k 5.0k 172.80
Dimension Therapeutics 0.1 $960k 160k 6.00
Edgewater Technology 0.1 $694k 106k 6.52
HEICO Corporation (HEI.A) 0.1 $768k 10k 76.15
First South Ban 0.1 $796k 43k 18.53
Yrc Worldwide Inc Com par $.01 0.1 $759k 55k 13.80
4068594 Enphase Energy (ENPH) 0.1 $770k 507k 1.52
Tpg Pace Energy Hldgs Corp w exp 99/99/999 0.1 $776k 583k 1.33
Sears Holdings Corporation 0.0 $631k 87k 7.29
IXYS Corporation 0.0 $617k 26k 23.72
Gran Tierra Energy 0.0 $538k 236k 2.28
Gnc Holdings Inc Cl A 0.0 $620k 70k 8.84
Liberty Global Inc C 0.0 $530k 16k 32.71
Origo Acquisition Corp 0.0 $658k 62k 10.59
Noveliontherapeuti.. 0.0 $632k 90k 7.03
Tpg Pace Hldgs Corp w exp 99/99/999 0.0 $580k 400k 1.45
Celestica (CLS) 0.0 $446k 36k 12.39
Office Depot 0.0 $515k 114k 4.53
Astoria Financial Corporation 0.0 $521k 24k 21.51
Greenhill & Co 0.0 $498k 30k 16.60
Seabridge Gold (SA) 0.0 $417k 34k 12.19
Hawaiian Telcom Holdco 0.0 $472k 16k 29.84
Ellie Mae 0.0 $493k 6.0k 82.17
Exa 0.0 $491k 20k 24.17
West 0.0 $390k 17k 23.48
Axalta Coating Sys (AXTA) 0.0 $471k 16k 28.90
Xenon Pharmaceuticals (XENE) 0.0 $485k 165k 2.95
Cf Corp *w exp 05/25/202 0.0 $444k 211k 2.11
Snap Inc cl a (SNAP) 0.0 $436k 30k 14.53
Kayne Anderson Acquisition *w exp 06/30/202 0.0 $494k 659k 0.75
Hennessy Cap Acquston Corp I *w exp 06/15/202 0.0 $493k 675k 0.73
Boyd Gaming Corporation (BYD) 0.0 $248k 9.5k 26.09
Texas Roadhouse (TXRH) 0.0 $344k 7.0k 49.14
B&G Foods (BGS) 0.0 $319k 10k 31.90
Northern Dynasty Minerals Lt (NAK) 0.0 $271k 150k 1.80
Tribune Co New Cl A 0.0 $340k 8.3k 40.85
Yume 0.0 $232k 50k 4.64
Actua Corporation 0.0 $241k 16k 15.29
Aurinia Pharmaceuticals (AUPH) 0.0 $231k 37k 6.25
Liberty Global 0.0 $247k 11k 23.30
Gores Hldin-cw20 equity wrt 0.0 $367k 180k 2.04
Saban Cap Acquisition Corp *w exp 09/21/202 0.0 $266k 225k 1.18
Stellar Acquisition Iii 0.0 $325k 32k 10.16
Fintech Acquisition Corp Ii *w exp 01/19/202 0.0 $310k 250k 1.24
Gores Hldgs Ii Inc *w exp 03/06/202 0.0 $308k 217k 1.42
Silver Run Acquisition *w exp 03/28/202 0.0 $284k 187k 1.52
Pensare Acquisition Corp *w exp 07/27/202 0.0 $306k 612k 0.50
Brown-Forman Corporation (BF.B) 0.0 $221k 4.1k 54.37
Pretium Res Inc Com Isin# Ca74 0.0 $204k 22k 9.31
Pangaea Logistics Solution L (PANL) 0.0 $224k 91k 2.46
Blue Bird Corp (BLBD) 0.0 $215k 10k 20.64
Double Eagle Acquisition Cor *w exp 09/16/202 0.0 $204k 296k 0.69
Nexeo Solutions Inc *w exp 06/09/202 0.0 $110k 249k 0.44
Landcadia Hldgs Inc *w exp 06/01/202 0.0 $178k 250k 0.71
M Iii Acquisition Corp *w exp 10/10/202 0.0 $97k 180k 0.54
Avista Healthcare Pub Acq Co w exp 99/99/999 0.0 $140k 350k 0.40
Gty Technology Holdings Inc w exp 99/99/999 0.0 $147k 126k 1.17
M I Acquisitions Inc *w exp 99/99/999 0.0 $136k 400k 0.34
Forum Merger Corp *w exp 06/01/202 0.0 $153k 493k 0.31
Forum Merger Corp right 06/01/2019 0.0 $106k 391k 0.27
Modern Media Acquisition right 99/99/9999 0.0 $225k 661k 0.34
Modern Media Acquisition w exp 05/17/202 0.0 $189k 350k 0.54
Kbl Merger Corp Iv *w exp 01/15/202 0.0 $87k 509k 0.17
Constellation Alpha Cap Corp *w exp 03/23/202 0.0 $155k 675k 0.23
Simply Good Foods Co *w exp 07/07/202 0.0 $119k 50k 2.38
Atlantic Acquisition Corp right 02/08/2019 0.0 $78k 142k 0.55
Nextdecade Corp w exp 07/23/202 0.0 $148k 159k 0.93
Electrum Spl Acquisition Cor *w exp 99/99/999 0.0 $46k 143k 0.32
Stellar Acquisition Iii Inc w exp 03/22/202 0.0 $12k 32k 0.38
Matlin & Partners Acquisitio *w exp 03/15/202 0.0 $68k 195k 0.35
Bison Cap Acquisition Corp *w exp 06/20/202 0.0 $31k 92k 0.34