K2 Principal Fund

K2 Principal Fund as of Dec. 31, 2017

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 253 positions in its portfolio as reported in the December 2017 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Technology SPDR (XLK) 6.0 $83M 1.3M 63.95
Bristol Myers Squibb (BMY) 5.8 $80M 1.3M 61.28
Alphabet Inc Class A cs (GOOGL) 4.6 $64M 61k 1053.40
Monsanto Company 2.8 $39M 335k 116.78
iShares Barclays 20+ Yr Treas.Bond (TLT) 2.8 $38M 300k 126.86
PowerShares QQQ Trust, Series 1 2.3 $32M 207k 155.76
Time Warner 1.9 $27M 296k 91.47
Citigroup (C) 1.9 $27M 360k 74.41
Wheaton Precious Metals Corp (WPM) 1.9 $27M 963k 27.79
Diebold Incorporated 1.9 $26M 1.6M 16.35
Alphabet Inc Class C cs (GOOG) 1.8 $25M 24k 1046.42
Altaba 1.8 $25M 351k 69.85
Spdr S&p 500 Etf (SPY) 1.5 $21M 80k 266.88
Waste Connections (WCN) 1.3 $19M 261k 70.95
Micron Technology (MU) 1.3 $18M 430k 41.12
Nxp Semiconductors N V (NXPI) 1.3 $18M 150k 117.09
Xilinx 1.2 $17M 255k 67.42
Tpg Pace Energy Hldgs Corp cl a 1.2 $17M 1.7M 9.74
Alibaba Group Holding (BABA) 1.2 $17M 96k 172.43
Spirit Airlines (SAVE) 1.2 $16M 362k 44.85
DISH Network 1.1 $15M 322k 47.75
National Energy Services Reu (NESR) 1.1 $15M 1.5M 9.95
Legacy Acquisition Corp unit 05/31/2024 1.1 $15M 1.5M 9.94
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 1.1 $15M 150k 97.81
VMware 1.0 $14M 111k 125.32
Microsoft Corporation (MSFT) 0.9 $13M 150k 85.55
Scripps Networks Interactive 0.9 $13M 151k 85.38
Broadsoft Inc note 1.000% 9/0 0.9 $13M 8.5k 1481.29
Cypress Semiconductor Corporation 0.8 $12M 775k 15.24
Louisiana-Pacific Corporation (LPX) 0.8 $11M 428k 26.26
Vantage Energy Acquisition 0.8 $11M 1.1M 9.72
Zillow Group Inc note 2.000%12/0 0.8 $11M 10k 1090.00
CF Industries Holdings (CF) 0.8 $11M 250k 42.54
SPDR S&P Oil & Gas Explore & Prod. 0.8 $11M 286k 37.18
Morgan Stanley (MS) 0.8 $11M 200k 52.47
Financial Select Sector SPDR (XLF) 0.8 $11M 375k 27.91
Pensare Acquisition Corp 0.7 $9.9M 1.0M 9.66
Hennessy Cap Acquston Corp I 0.7 $9.6M 976k 9.80
KapStone Paper and Packaging 0.7 $9.3M 410k 22.69
Magna Intl Inc cl a (MGA) 0.7 $9.2M 129k 71.24
Dell Technologies Inc Class V equity 0.7 $9.0M 111k 81.28
Cm Seven Star Acquisition Co unit 08/21/2022 0.7 $9.0M 904k 9.96
Oracle Corporation (ORCL) 0.6 $8.5M 180k 47.28
Haymaker Acquisition unit 10/19/2022 0.6 $8.3M 841k 9.90
CSX Corporation (CSX) 0.6 $8.1M 146k 55.03
Archer Daniels Midland Company (ADM) 0.6 $8.0M 200k 40.08
Leisure Acquisition Corp unit 99/99/9999 0.6 $7.6M 770k 9.90
Gores Hldgs Ii 0.5 $7.5M 750k 9.94
Federal Str Acquisition Corp unit 99/99/9999 0.5 $7.5M 730k 10.23
Constellation Alpha Cap Corp 0.5 $7.2M 736k 9.72
Ryland Group Inc Gtd Convertible Fxd Rt 0.250% 06/01/19 B/e Dtd 05/20/13 0.5 $7.1M 7.0k 1008.29
Modern Media Acquisition 0.5 $7.1M 719k 9.82
Calpine Corporation 0.5 $6.9M 453k 15.13
Kayne Anderson Acquisition 0.5 $6.9M 711k 9.71
Forum Merger Corp - A 0.5 $7.0M 698k 9.98
NVIDIA Corporation (NVDA) 0.5 $6.8M 35k 193.50
Tpg Pace Hldgs Corp cl a 0.5 $6.7M 690k 9.73
Select Energy Svcs Inc cl a (WTTR) 0.5 $6.7M 366k 18.24
Apple (AAPL) 0.5 $6.3M 38k 169.23
Praxair 0.5 $6.4M 41k 154.67
Broadsoft Inc. 1.5% 07/01/2018 conv 0.5 $6.2M 4.8k 1306.32
Bunge 0.4 $6.0M 90k 67.08
Netflix (NFLX) 0.4 $6.0M 32k 191.97
Amc Entmt Hldgs Inc Cl A 0.4 $6.0M 400k 15.10
Easterly Acquisition 0.4 $5.8M 575k 10.10
Mercer International (MERC) 0.4 $5.6M 393k 14.30
Lumentum Hldgs (LITE) 0.4 $5.6M 115k 48.90
Synchrony Financial (SYF) 0.4 $5.5M 143k 38.60
Discovery Communications 0.4 $5.3M 253k 21.17
At&t (T) 0.4 $5.2M 133k 38.88
NxStage Medical 0.4 $4.9M 203k 24.23
Exactech 0.4 $5.0M 102k 49.45
Regalwood Global Energy Ltd unit 99/99/9999 0.4 $5.0M 500k 9.95
Maxim Integrated Products 0.3 $4.9M 93k 52.28
Central Fd Cda Ltd cl a 0.3 $4.7M 348k 13.40
Ggp 0.3 $4.7M 199k 23.39
Fintech Acquisition Corp Ii 0.3 $4.7M 475k 9.92
Newell Rubbermaid (NWL) 0.3 $4.6M 150k 30.90
Silver Run Acquisition 0.3 $4.5M 454k 9.91
Regal Entertainment 0.3 $4.4M 192k 23.01
Teradyne (TER) 0.3 $4.4M 104k 41.87
Avista Healthcare Pub Acq Co cl a 0.3 $4.4M 441k 9.92
B2gold Corp conv 0.3 $4.3M 4.0k 1062.50
Saban Cap Acquisition 0.3 $4.2M 426k 9.93
iShares Russell 2000 Index (IWM) 0.3 $4.1M 27k 152.44
Electrum Spl Acquisition Cor 0.3 $4.1M 401k 10.32
M I Acquisitions 0.3 $4.2M 413k 10.19
CarMax (KMX) 0.3 $3.8M 60k 64.13
Rent-A-Center (UPBD) 0.3 $3.9M 353k 11.10
Mosaic (MOS) 0.3 $3.9M 153k 25.66
Matlin & Partners Acquisitio cl a 0.3 $3.9M 400k 9.76
Cavium 0.3 $3.8M 45k 83.82
Nxp Semiconductors N V dbcv 1.000% 12/0 0.3 $3.7M 3.0k 1240.00
Gty Technology Holdings Inc cl a 0.3 $3.7M 377k 9.93
Dollar Tree (DLTR) 0.3 $3.6M 33k 107.32
NCR Corporation (VYX) 0.2 $3.5M 102k 33.99
Ilg 0.2 $3.4M 119k 28.48
Rlj Lodging Trust (RLJ) 0.2 $3.4M 153k 21.97
Camping World Hldgs (CWH) 0.2 $3.4M 75k 44.73
Brown-Forman Corporation (BF.A) 0.2 $3.2M 47k 67.25
General Cable Corp Del New frnt 4.500% 11/1 0.2 $3.2M 3.0k 1055.67
MGM Resorts International. (MGM) 0.2 $3.1M 94k 33.39
Commercehub Inc Com Ser C 0.2 $3.1M 152k 20.59
M Iii Acquisition Corp equities 0.2 $3.2M 326k 9.92
Rosehill Resources 0.2 $3.2M 457k 7.07
Mgp Ingredients Inc Common Sto (MGPI) 0.2 $3.1M 40k 76.88
Fox News 0.2 $3.1M 90k 34.12
Direxion Daily Small Cp Bull 3X (TNA) 0.2 $3.0M 42k 70.26
Draper Oakwood Technology 0.2 $2.9M 300k 9.77
HSN 0.2 $2.8M 69k 40.36
Aetna 0.2 $2.7M 15k 180.40
Delta Air Lines (DAL) 0.2 $2.8M 50k 56.00
HEICO Corporation (HEI.A) 0.2 $2.7M 35k 79.04
Liberty Global Inc C 0.2 $2.7M 80k 33.84
Barington Hilco Acquisition 0.2 $2.8M 270k 10.41
Capitol Invt Corp Iv unit 99/99/9999 0.2 $2.8M 276k 10.00
Sigma Designs 0.2 $2.6M 379k 6.95
Mallinckrodt Pub 0.2 $2.6M 114k 22.56
Liberty Media Corp Del Com Ser 0.2 $2.6M 80k 32.72
Big Rock Partners Acquisi Co unit 11/20/2022 0.2 $2.6M 250k 10.24
Tribune Co New Cl A 0.2 $2.5M 59k 42.47
Andina Acquisition Corp Ii 0.2 $2.5M 241k 10.30
Autodesk (ADSK) 0.2 $2.4M 23k 104.80
Advanced Micro Devices (AMD) 0.2 $2.3M 225k 10.28
Carnival Corporation (CCL) 0.2 $2.2M 34k 66.36
Orbital Atk 0.2 $2.3M 17k 131.51
Calatlantic 0.2 $2.2M 40k 56.39
Liberty Media Corp Delaware Com A Siriusxm 0.2 $2.2M 56k 39.66
Mosaic Acquisition Corp unit 99/99/9999 0.2 $2.2M 217k 10.10
Ally Financial (ALLY) 0.1 $2.1M 71k 29.15
Sun Bancorp Inc New Jers 0.1 $2.1M 85k 24.30
Csra 0.1 $2.1M 70k 29.91
Landcadia Hldgs Inc cl a 0.1 $2.1M 209k 9.94
Gigcapital Inc unit 03/06/2025 0.1 $2.0M 201k 10.00
McDermott International 0.1 $1.9M 295k 6.58
OraSure Technologies (OSUR) 0.1 $1.9M 99k 18.86
News Corp Class B cos (NWS) 0.1 $1.9M 117k 16.60
Vaneck Vectors Junior Gold Miners Etf etf (GDXJ) 0.1 $1.9M 55k 34.13
Cm Seven Star Acquisition 0.1 $1.9M 200k 9.65
Haymaker Acquisition Corp 0.1 $1.9M 200k 9.50
Comcast Corporation (CMCSA) 0.1 $1.8M 45k 40.04
JPMorgan Chase & Co. (JPM) 0.1 $1.8M 17k 106.94
Transalta Corp (TAC) 0.1 $1.8M 240k 7.45
Mitel Networks Corp 0.1 $1.7M 212k 8.23
Hrg 0.1 $1.7M 102k 16.95
Horizon Pharma Plc convertible security 0.1 $1.9M 2.0k 930.00
United Technologies Corporation 0.1 $1.6M 13k 127.65
Macerich Company (MAC) 0.1 $1.6M 25k 65.68
Sparton Corporation 0.1 $1.7M 74k 23.05
Vermilion Energy (VET) 0.1 $1.6M 35k 45.69
Stellar Acquisition Iii 0.1 $1.6M 158k 10.21
National Energy Services Reu *w exp 05/05/202 0.1 $1.6M 2.0M 0.82
CenturyLink 0.1 $1.5M 92k 16.68
Cheesecake Factory Incorporated (CAKE) 0.1 $1.5M 32k 48.20
IXYS Corporation 0.1 $1.6M 66k 23.95
WGL Holdings 0.1 $1.5M 18k 85.87
Potlatch Corporation (PCH) 0.1 $1.6M 32k 49.89
Bank Of Montreal Cadcom (BMO) 0.1 $1.5M 15k 100.60
Seritage Growth Pptys Cl A (SRG) 0.1 $1.6M 39k 40.45
Xenith Bankshares 0.1 $1.5M 45k 33.83
Berkshire Hathaway (BRK.B) 0.1 $1.3M 6.6k 198.25
Pattern Energy 0.1 $1.3M 62k 21.48
Barracuda Networks 0.1 $1.3M 49k 27.50
Arbutus Biopharma (ABUS) 0.1 $1.3M 261k 5.05
Overstock (BYON) 0.1 $1.2M 19k 63.92
Thor Industries (THO) 0.1 $1.2M 8.3k 150.71
Edgewater Technology 0.1 $1.2M 213k 5.73
Buffalo Wild Wings 0.1 $1.1M 6.7k 156.42
Thomson Reuters Corp 0.1 $1.1M 25k 43.60
Magicjack Vocaltec 0.1 $1.1M 133k 8.45
Liberty Media Corp Delaware Com A Braves Grp 0.1 $1.2M 53k 22.04
Scientific Games (LNW) 0.1 $1.0M 20k 51.30
CoreLogic 0.1 $952k 21k 46.21
iShares Dow Jones US Real Estate (IYR) 0.1 $972k 12k 81.00
Atlantic Coast Financial Cor 0.1 $1.0M 108k 9.43
Oi Sa - (OIBZQ) 0.1 $1.0M 183k 5.63
Rosehill Resources Inc - A warrant 0.1 $1.0M 1.2M 0.89
Vantage Energy Acquisition w exp 04/12/202 0.1 $917k 833k 1.10
Great Plains Energy Incorporated 0.1 $809k 25k 32.26
Avista Corporation (AVA) 0.1 $767k 15k 51.48
Amazon (AMZN) 0.1 $819k 700.00 1170.00
Huntsman Corporation (HUN) 0.1 $806k 24k 33.31
Dynegy 0.1 $847k 72k 11.84
Silver Spring Networks 0.1 $820k 51k 16.24
Straight Path Communic Cl B 0.1 $877k 4.8k 181.84
Actua Corporation 0.1 $857k 55k 15.61
Origo Acquisition Corp 0.1 $814k 77k 10.64
Willscot Corp *w exp 09/10/202 0.1 $792k 550k 1.44
BlackRock (BLK) 0.1 $668k 1.3k 513.85
BGC Partners 0.1 $701k 46k 15.10
4068594 Enphase Energy (ENPH) 0.1 $631k 262k 2.41
Brookfield Ppty Partners L P unit ltd partn 0.1 $696k 25k 27.84
Tpg Pace Energy Hldgs Corp w exp 99/99/999 0.1 $758k 583k 1.30
Big Rock Partners Acquisi 0.1 $728k 75k 9.68
Papa John's Int'l (PZZA) 0.0 $617k 11k 56.09
Capella Education Company 0.0 $573k 7.4k 77.43
Mgc Diagnostics 0.0 $578k 52k 11.03
Washingtonfirst Bankshares, In c 0.0 $582k 17k 34.24
Ignyta 0.0 $534k 20k 26.70
Xenon Pharmaceuticals (XENE) 0.0 $619k 220k 2.82
Blue Bird Corp (BLBD) 0.0 $503k 25k 19.88
Kayne Anderson Acquisition *w exp 06/30/202 0.0 $547k 659k 0.83
Bison Cap Acquisition Corp ord 0.0 $514k 52k 9.87
Hennessy Cap Acquston Corp I *w exp 06/15/202 0.0 $595k 700k 0.85
TJX Companies (TJX) 0.0 $421k 5.5k 76.55
Yume 0.0 $373k 78k 4.78
Gores Hldin-cw20 equity wrt 0.0 $419k 180k 2.33
Gores Hldgs Ii Inc *w exp 03/06/202 0.0 $347k 251k 1.38
Pensare Acquisition Corp *w exp 07/27/202 0.0 $370k 672k 0.55
Tpg Pace Hldgs Corp w exp 99/99/999 0.0 $465k 300k 1.55
Take-Two Interactive Software (TTWO) 0.0 $220k 2.0k 110.00
Vitamin Shoppe 0.0 $308k 70k 4.40
O'reilly Automotive (ORLY) 0.0 $333k 1.4k 240.78
Hawaiian Telcom Holdco 0.0 $314k 10k 30.87
Cubesmart (CUBE) 0.0 $289k 10k 28.90
Bazaarvoice 0.0 $208k 38k 5.44
Amplify Snack Brands 0.0 $342k 29k 12.02
Fintech Acquisition Corp Ii *w exp 01/19/202 0.0 $345k 250k 1.38
Silver Run Acquisition *w exp 03/28/202 0.0 $261k 175k 1.49
Forum Merger Corp *w exp 06/01/202 0.0 $335k 493k 0.68
Fgl Holdings Warrants warrants 0.0 $326k 211k 1.55
I Am Cap Acquisition 0.0 $273k 28k 9.85
Gran Tierra Energy 0.0 $146k 54k 2.70
Northern Dynasty Minerals Lt (NAK) 0.0 $127k 72k 1.77
Pretium Res Inc Com Isin# Ca74 0.0 $160k 14k 11.43
Horizon Pharma 0.0 $162k 11k 14.63
Pangaea Logistics Solution L (PANL) 0.0 $178k 48k 3.68
Gener8 Maritime 0.0 $162k 25k 6.62
Global Partner Acquisition C *w exp 07/01/202 0.0 $75k 70k 1.08
Nexeo Solutions Inc *w exp 06/09/202 0.0 $154k 249k 0.62
Landcadia Hldgs Inc *w exp 06/01/202 0.0 $175k 250k 0.70
M Iii Acquisition Corp *w exp 10/10/202 0.0 $142k 180k 0.79
Saban Cap Acquisition Corp *w exp 09/21/202 0.0 $155k 125k 1.24
Avista Healthcare Pub Acq Co w exp 99/99/999 0.0 $96k 344k 0.28
Gty Technology Holdings Inc w exp 99/99/999 0.0 $157k 126k 1.25
M I Acquisitions Inc *w exp 99/99/999 0.0 $116k 331k 0.35
Forum Merger Corp right 06/01/2019 0.0 $106k 161k 0.66
Modern Media Acquisition right 99/99/9999 0.0 $135k 345k 0.39
Modern Media Acquisition w exp 05/17/202 0.0 $192k 350k 0.55
Kbl Merger Corp Iv *w exp 01/15/202 0.0 $92k 509k 0.18
Constellation Alpha Cap Corp *w exp 03/23/202 0.0 $173k 720k 0.24
Social Cap Hedosophia Hldgs cl a 0.0 $164k 16k 10.09
Simply Good Foods Co *w exp 07/07/202 0.0 $195k 50k 3.90
Nextdecade Corp w exp 07/23/202 0.0 $140k 233k 0.60
Haymaker Acquisition Corp *w exp 10/27/202 0.0 $80k 100k 0.80
Aurinia Pharmaceuticals (AUPH) 0.0 $54k 12k 4.50
Electrum Spl Acquisition Cor *w exp 99/99/999 0.0 $42k 104k 0.40
Stellar Acquisition Iii Inc w exp 03/22/202 0.0 $9.9k 32k 0.31
Matlin & Partners Acquisitio *w exp 03/15/202 0.0 $61k 146k 0.42
Atlantic Acquisition Corp right 02/08/2019 0.0 $60k 137k 0.44
Bison Cap Acquisition Corp *w exp 06/20/202 0.0 $33k 92k 0.36
Cm Seven Star Acquisition Co *w exp 08/21/202 0.0 $20k 70k 0.29
Estre Ambiental Inc *w exp 12/21/202 (ESTWF) 0.0 $16k 21k 0.75