K2 Principal Fund

K2 Principal Fund as of March 31, 2018

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 267 positions in its portfolio as reported in the March 2018 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Alphabet Inc Class A cs (GOOGL) 8.9 $156M 151k 1037.20
iShares Barclays 20+ Yr Treas.Bond (TLT) 7.5 $131M 1.1M 121.90
Technology SPDR (XLK) 7.0 $123M 1.9M 65.42
Citigroup (C) 3.0 $53M 783k 67.50
Mylan Nv 2.8 $50M 1.2M 41.17
iShares IBoxx $ Invest Grade Corp Bd (LQD) 2.7 $48M 406k 117.39
Monsanto Company 2.3 $41M 352k 116.69
Time Warner 1.9 $33M 350k 94.57
Spdr S&p 500 Etf (SPY) 1.9 $33M 125k 263.15
Nxp Semiconductors N V (NXPI) 1.9 $33M 280k 117.00
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 1.6 $28M 270k 104.28
Etf Managers Tr tierra xp latin 1.4 $25M 853k 29.52
Cypress Semiconductor Corporation 1.4 $24M 1.4M 16.96
Bunge 1.3 $23M 307k 73.94
Morgan Stanley (MS) 1.3 $22M 410k 53.96
Dell Technologies Inc Class V equity 1.2 $21M 285k 73.21
Altaba 1.2 $20M 276k 74.04
DISH Network 1.1 $20M 514k 37.89
Cavium 1.1 $19M 235k 79.38
Aetna 1.0 $18M 109k 169.00
Financial Select Sector SPDR (XLF) 1.0 $18M 645k 27.57
Diebold Incorporated 1.0 $17M 1.1M 15.40
National Energy Services Reu (NESR) 1.0 $17M 1.7M 9.93
Universal Display Corporation (OLED) 0.9 $17M 166k 101.00
Louisiana-Pacific Corporation (LPX) 0.9 $16M 544k 28.77
Legacy Acquisition Corp unit 05/31/2024 0.9 $15M 1.5M 9.95
Xilinx 0.8 $15M 202k 72.24
Mercer International (MERC) 0.8 $14M 1.1M 12.45
Blackhawk Network Hldgs Inc note 1.500% 1/1 0.8 $13M 12k 1105.00
Microsemi Corporation 0.7 $12M 192k 64.72
At&t (T) 0.7 $12M 345k 35.65
Amc Entmt Hldgs Inc Cl A 0.7 $12M 874k 14.05
Wheaton Precious Metals Corp (WPM) 0.7 $12M 600k 20.37
Zillow Group Inc note 2.000%12/0 0.7 $12M 10k 1222.70
NVIDIA Corporation (NVDA) 0.7 $12M 50k 231.60
Camping World Hldgs (CWH) 0.6 $11M 345k 32.25
Rockwell Collins 0.6 $10M 76k 134.85
Alphabet Inc Class C cs (GOOG) 0.6 $10M 10k 1031.80
NCR Corporation (VYX) 0.6 $9.8M 311k 31.52
Tpg Pace Energy Hldgs Corp cl a 0.6 $9.7M 956k 10.11
One Madison Unt 0.6 $9.6M 960k 10.00
Alibaba Group Holding (BABA) 0.5 $9.2M 50k 183.54
Vantage Energy Acquisition 0.5 $9.1M 936k 9.78
General Cable Corp Del New frnt 4.500% 11/1 0.5 $8.9M 8.4k 1059.19
Express Scripts Holding 0.5 $9.0M 131k 69.08
Dycom Inds Inc Note 0.750% 9/1 bond 0.5 $9.0M 7.1k 1267.18
General Electric Company 0.5 $8.8M 655k 13.48
Haymaker Acquisition unit 10/19/2022 0.5 $8.7M 875k 9.95
Magnachip Semiconductor Corp (MX) 0.5 $8.4M 870k 9.60
Tribune Co New Cl A 0.5 $8.1M 200k 40.51
Select Energy Svcs Inc cl a (WTTR) 0.5 $8.0M 633k 12.62
Casey's General Stores (CASY) 0.4 $7.5M 68k 109.78
Easterly Acquisition 0.4 $7.6M 742k 10.20
Dfb Healthcare Acquistion Co unit 01/30/2023 0.4 $7.6M 758k 10.05
Gores Hldgs Ii 0.4 $7.0M 700k 10.00
Wells Fargo & Company (WFC) 0.4 $6.8M 130k 52.41
Ggp 0.4 $6.3M 307k 20.45
Kayne Anderson Acquisition 0.4 $6.4M 649k 9.79
Constellation Alpha Cap Corp 0.4 $6.3M 638k 9.87
Rent-A-Center (UPBD) 0.3 $6.0M 688k 8.65
Tpg Pace Hldgs Corp cl a 0.3 $6.1M 620k 9.76
AmerisourceBergen (COR) 0.3 $5.9M 68k 86.21
Fintech Acquisition Corp Ii 0.3 $5.6M 568k 9.94
Leisure Acquisition Corp unit 99/99/9999 0.3 $5.6M 566k 9.90
Aerojet Rocketdyne Hldgs Inc Note 2.25012/1 bnd 0.3 $5.7M 4.5k 1267.11
Opes Acquisition Corp unit 03/07/2023 0.3 $5.5M 551k 10.05
Sigma Designs 0.3 $5.5M 883k 6.20
Berkshire Hathaway (BRK.B) 0.3 $5.2M 26k 199.48
Rti Intl Metals Inc note 1.625%10/1 0.3 $5.2M 5.0k 1049.40
Sentinel Energy Svcs Inc unit 11/02/2022 0.3 $5.3M 530k 9.92
Platinum Eagle Acquisitin Co Unit 01/09/2023 0.3 $5.3M 520k 10.15
Pensare Acquisition Corp 0.3 $5.1M 521k 9.72
KapStone Paper and Packaging 0.3 $5.0M 145k 34.31
Landcadia Hldgs Inc cl a 0.3 $4.9M 490k 10.04
M I Acquisitions 0.3 $4.9M 473k 10.44
Cm Seven Star Acquisition Co unit 08/21/2022 0.3 $4.8M 472k 10.25
Union Acquisition Corp unit 99/99/9999 0.3 $5.0M 489k 10.23
SVB Financial (SIVBQ) 0.3 $4.8M 20k 240.00
LOGITECH INTERNATIONAL SA APP Com Stk (LOGI) 0.3 $4.7M 128k 36.75
Dynegy 0.3 $4.8M 355k 13.52
Arconic 0.3 $4.8M 209k 23.04
USG Corporation 0.3 $4.6M 115k 40.42
Silicon Laboratories Inc convertible security 0.3 $4.6M 4.0k 1157.75
Tiberius Acquisition Corp unit 02/28/2021 0.3 $4.5M 450k 10.02
Vaneck Vectors Junior Gold Miners Etf etf (GDXJ) 0.2 $4.3M 134k 32.15
Avista Healthcare Pub Acq Co cl a 0.2 $4.4M 441k 9.91
Dowdupont 0.2 $4.3M 68k 63.72
Hennessy Cap Acquston Corp I 0.2 $4.3M 435k 9.90
Sprott Physical Gold & S (CEF) 0.2 $4.5M 339k 13.20
Abb (ABBNY) 0.2 $4.3M 180k 23.74
Electrum Spl Acquisition Cor 0.2 $4.2M 406k 10.38
Saban Cap Acquisition 0.2 $4.2M 426k 9.94
Blackberry Ltd ebt 3.750%11/1 0.2 $4.1M 3.0k 1380.00
Exxon Mobil Corporation (XOM) 0.2 $4.1M 55k 74.62
SPDR S&P Oil & Gas Explore & Prod. 0.2 $4.1M 116k 35.21
iShares Dow Jones US Aerospace & Def.ETF (ITA) 0.2 $4.0M 20k 198.00
Hrg 0.2 $4.1M 247k 16.49
Citrix Systems Inc conv 0.2 $4.0M 3.0k 1317.67
Discovery Communications 0.2 $3.8M 196k 19.52
HEICO Corporation (HEI.A) 0.2 $3.9M 56k 70.96
Matlin & Partners Acquisitio cl a 0.2 $3.9M 400k 9.80
NxStage Medical 0.2 $3.8M 152k 24.86
Fox News 0.2 $3.7M 101k 36.37
Ilg 0.2 $3.7M 118k 31.12
Envision Healthcare 0.2 $3.5M 90k 38.44
Gty Technology Holdings Inc cl a 0.2 $3.5M 353k 9.91
Leo Holdings Corp unit 99/99/9999 0.2 $3.4M 343k 10.00
Intel Corporation (INTC) 0.2 $3.4M 65k 52.08
Qualcomm (QCOM) 0.2 $3.3M 60k 55.42
Modern Media Acquisition 0.2 $3.4M 342k 9.95
Regalwood Global Energy Ltd unit 99/99/9999 0.2 $3.3M 323k 10.08
Micron Technology (MU) 0.2 $3.1M 60k 52.13
Federal Str Acquisition Corp unit 99/99/9999 0.2 $3.2M 311k 10.23
Senseonics Hldgs Inc note 5.250% 2/0 0.2 $3.2M 3.0k 1082.67
Brown-Forman Corporation (BF.A) 0.2 $2.9M 54k 53.32
Macerich Company (MAC) 0.2 $2.7M 49k 56.03
Sparton Corporation 0.2 $2.8M 162k 17.41
Palo Alto Networks (PANW) 0.2 $2.7M 15k 181.53
Ringcentral (RNG) 0.2 $2.8M 44k 63.50
Alteryx 0.2 $2.7M 80k 34.14
Capitol Invt Corp Iv unit 99/99/9999 0.2 $2.8M 276k 10.10
Draper Oakwood Technology 0.2 $2.8M 283k 9.86
BGC Partners 0.1 $2.6M 196k 13.45
Gener8 Maritime 0.1 $2.5M 451k 5.65
Rapid7 (RPD) 0.1 $2.6M 100k 25.57
Jensyn Acquisition 0.1 $2.6M 252k 10.37
Big Rock Partners Acquisi Co unit 11/20/2022 0.1 $2.6M 250k 10.35
Mtech Acquisition Corp unit 01/19/2023 0.1 $2.6M 256k 10.15
JPMorgan Chase & Co. (JPM) 0.1 $2.4M 22k 109.95
Walt Disney Company (DIS) 0.1 $2.5M 25k 100.44
Orbotech Ltd Com Stk 0.1 $2.5M 40k 62.18
Pretium Res Inc Com Isin# Ca74 0.1 $2.5M 378k 6.66
4068594 Enphase Energy (ENPH) 0.1 $2.5M 541k 4.57
Adient (ADNT) 0.1 $2.4M 40k 59.75
Microsoft Corporation (MSFT) 0.1 $2.3M 25k 91.28
Apple (AAPL) 0.1 $2.4M 14k 167.80
Liberty Tripadvisor Hldgs (LTRPA) 0.1 $2.3M 215k 10.75
Blue Bird Corp (BLBD) 0.1 $2.4M 100k 23.70
Liberty Media Corp Del Com Ser 0.1 $2.3M 80k 29.29
Canadian Pacific Railway 0.1 $2.0M 12k 176.53
Extra Space Storage (EXR) 0.1 $2.2M 25k 87.36
Pattern Energy 0.1 $2.2M 125k 17.29
Kbl Merger Corp Iv 0.1 $2.2M 220k 9.85
Mosaic Acquisition Corp unit 99/99/9999 0.1 $2.2M 217k 10.06
CF Industries Holdings (CF) 0.1 $1.9M 50k 37.74
Humana (HUM) 0.1 $1.9M 7.0k 269.00
McDermott International 0.1 $2.0M 329k 6.10
Rosehill Resources 0.1 $1.9M 461k 4.13
National Energy Services Reu *w exp 05/05/202 0.1 $1.9M 2.0M 0.93
Gigcapital Inc unit 03/06/2025 0.1 $1.9M 182k 10.38
Haymaker Acquisition Corp 0.1 $1.9M 200k 9.55
Leisure Acquisition Corp 0.1 $2.0M 210k 9.57
SJW (SJW) 0.1 $1.7M 32k 52.71
iShares iBoxx $ High Yid Corp Bond (HYG) 0.1 $1.7M 20k 85.60
News Corp Class B cos (NWS) 0.1 $1.8M 110k 16.10
Lions Gate Entmnt Corp cl b non vtg (LGF.B) 0.1 $1.7M 70k 24.07
Liberty Expedia Holdings ser a 0.1 $1.7M 43k 39.27
United Technologies Corporation 0.1 $1.6M 13k 125.88
Edgewater Technology 0.1 $1.7M 301k 5.55
Ply Gem Holdings 0.1 $1.7M 77k 21.60
Twitter 0.1 $1.6M 56k 29.01
Anthem (ELV) 0.1 $1.5M 7.0k 220.00
Stellar Acquisition Iii 0.1 $1.6M 158k 10.35
Social Cap Hedosophia Hldgs cl a 0.1 $1.6M 156k 10.03
Alta Mesa Resour 0.1 $1.6M 200k 8.00
Marriott Vacations Wrldwde Cp (VAC) 0.1 $1.3M 10k 133.20
Rsp Permian 0.1 $1.4M 30k 46.87
Liberty Media Corp Delaware Com A Siriusxm 0.1 $1.5M 36k 41.09
Big Rock Partners Acquisi 0.1 $1.4M 146k 9.76
Convergeone Hldgs Inc *w exp 04/12/202 0.1 $1.3M 1.1M 1.19
Chevron Corporation (CVX) 0.1 $1.2M 10k 114.02
Thor Industries (THO) 0.1 $1.2M 10k 115.20
Almost Family 0.1 $1.2M 21k 56.00
VMware 0.1 $1.2M 10k 121.30
MainSource Financial 0.1 $1.2M 31k 40.66
Gastar Exploration 0.1 $1.2M 1.8M 0.68
Market Vectors Etf Tr Oil Svcs 0.1 $1.2M 50k 23.88
Knight Swift Transn Hldgs (KNX) 0.1 $1.2M 25k 46.00
Bison Cap Acquisition Corp ord 0.1 $1.2M 125k 9.94
Amazon (AMZN) 0.1 $1.0M 700.00 1447.14
Cheesecake Factory Incorporated (CAKE) 0.1 $981k 20k 48.20
Capella Education Company 0.1 $1.1M 12k 87.38
Franco-Nevada Corporation (FNV) 0.1 $1.0M 15k 68.40
Liberty Global Inc C 0.1 $1.1M 35k 30.44
Varonis Sys (VRNS) 0.1 $1.1M 19k 60.52
B2gold Corp conv 0.1 $1.0M 1.0k 1009.00
Barington Hilco Acquisition 0.1 $1.0M 99k 10.60
Liberty Media Corp Delaware Com A Braves Grp 0.1 $1.0M 46k 22.73
Tpg Pace Energy Hldgs Corp w exp 99/99/999 0.1 $1.1M 583k 1.85
Vantage Energy Acquisition w exp 04/12/202 0.1 $1.1M 833k 1.30
Zscaler Incorporated (ZS) 0.1 $980k 35k 28.08
Nebula Acqisition Corp 0.1 $1.1M 108k 10.12
Randgold Resources 0.1 $832k 10k 83.21
Central Garden & Pet (CENTA) 0.1 $792k 20k 39.60
Simon Property (SPG) 0.1 $926k 6.0k 154.33
Nationstar Mortgage 0.1 $886k 49k 17.95
Lumentum Hldgs (LITE) 0.1 $831k 13k 63.78
Blue Buffalo Pet Prods 0.1 $796k 20k 39.80
Csra 0.1 $825k 20k 41.25
Snap Inc cl a (SNAP) 0.1 $794k 50k 15.88
Mulesoft Inc cl a 0.1 $942k 21k 43.97
Rosehill Resources Inc - A warrant 0.1 $873k 1.2M 0.75
Willscot Corp *w exp 09/10/202 0.1 $961k 576k 1.67
Papa John's Int'l (PZZA) 0.0 $681k 12k 57.27
Arbutus Biopharma (ABUS) 0.0 $755k 151k 5.00
Xl 0.0 $713k 13k 55.27
M I Acquisitions Inc *w exp 99/99/999 0.0 $648k 810k 0.80
Federal Str Acquisition Corp cl a 0.0 $627k 65k 9.68
Wal-Mart Stores (WMT) 0.0 $596k 6.7k 88.96
Starbucks Corporation (SBUX) 0.0 $521k 9.0k 57.89
Penn National Gaming (PENN) 0.0 $515k 20k 26.27
Generac Holdings (GNRC) 0.0 $459k 10k 45.90
Vitamin Shoppe 0.0 $479k 110k 4.35
CECO Environmental (CECO) 0.0 $532k 120k 4.45
Atlantic Coast Financial Cor 0.0 $564k 55k 10.30
Rlj Lodging Trust (RLJ) 0.0 $577k 30k 19.43
Facebook Inc cl a (META) 0.0 $511k 3.2k 159.69
Xenon Pharmaceuticals (XENE) 0.0 $495k 101k 4.90
Seritage Growth Pptys Cl A (SRG) 0.0 $559k 16k 35.52
Gores Hldgs Ii Inc *w exp 03/06/202 0.0 $447k 251k 1.78
Kayne Anderson Acquisition *w exp 06/30/202 0.0 $613k 659k 0.93
Hennessy Cap Acquston Corp I *w exp 06/15/202 0.0 $604k 728k 0.83
Tpg Pace Hldgs Corp w exp 99/99/999 0.0 $465k 300k 1.55
Mudrick Cap Acquisition Corp 0.0 $479k 50k 9.54
Lennar Corporation (LEN.B) 0.0 $321k 6.7k 47.75
Rpx Corp 0.0 $267k 25k 10.68
Clifton Ban 0.0 $281k 18k 15.64
Restaurant Brands Intl Inc Com equity / large cap (QSR) 0.0 $393k 6.9k 56.96
Liberty Broadband Cl C (LBRDK) 0.0 $428k 5.0k 85.60
Easterly Acquisition Corp *w exp 07/29/202 0.0 $406k 483k 0.84
Commercehub Inc Com Ser C 0.0 $291k 13k 22.53
Gores Hldin-cw20 equity wrt 0.0 $425k 180k 2.36
Avista Healthcare Pub Acq Co w exp 99/99/999 0.0 $297k 899k 0.33
Fintech Acquisition Corp Ii *w exp 01/19/202 0.0 $330k 250k 1.32
Pensare Acquisition Corp *w exp 07/27/202 0.0 $336k 672k 0.50
Fgl Holdings Warrants warrants 0.0 $383k 211k 1.82
I Am Cap Acquisition 0.0 $283k 29k 9.94
Iqiyi (IQ) 0.0 $389k 25k 15.56
Teradyne (TER) 0.0 $229k 5.0k 45.80
Potbelly (PBPB) 0.0 $210k 17k 12.04
Pangaea Logistics Solution L (PANL) 0.0 $238k 90k 2.65
Nexeo Solutions Inc *w exp 06/09/202 0.0 $218k 298k 0.73
Landcadia Hldgs Inc *w exp 06/01/202 0.0 $185k 250k 0.74
Saban Cap Acquisition Corp *w exp 09/21/202 0.0 $163k 125k 1.30
Gty Technology Holdings Inc w exp 99/99/999 0.0 $153k 126k 1.22
Constellation Alpha Cap Corp *w exp 03/23/202 0.0 $166k 690k 0.24
Simply Good Foods Co *w exp 07/07/202 0.0 $178k 50k 3.56
Federal Str Acquisition Corp *w exp 07/24/202 0.0 $210k 182k 1.15
Nextdecade Corp (NEXT) 0.0 $198k 40k 4.95
Haymaker Acquisition Corp *w exp 10/27/202 0.0 $98k 122k 0.80
Alta Mesa Res Inc *w exp 03/28/202 0.0 $244k 157k 1.55
Infra And Energy Altrntive I *w exp 05/20/202 0.0 $145k 167k 0.87
Convergeone Hldgs Inc Com Cl A 0.0 $222k 24k 9.24
Nevsun Res 0.0 $48k 20k 2.40
Barington Hilco Acquisition right 02/13/2017 0.0 $31k 88k 0.35
Barington Hilco Acquisition *w exp 02/11/201 0.0 $26k 126k 0.21
Matlin & Partners Acquisitio *w exp 03/15/202 0.0 $73k 146k 0.50
Modern Media Acquisition w exp 05/17/202 0.0 $81k 156k 0.52
Kbl Merger Corp Iv *w exp 01/15/202 0.0 $53k 223k 0.24
Atlantic Acquisition Corp right 02/08/2019 0.0 $12k 24k 0.51
Pensare Acquisition Corp right 0.0 $21k 41k 0.51
Cm Seven Star Acquisition Co right 08/21/2022 0.0 $22k 70k 0.31
Estre Ambiental Inc *w exp 12/21/202 (ESTWF) 0.0 $53k 91k 0.58
Big Rock Partners Acquisi Co *w exp 12/01/202 0.0 $33k 101k 0.33
Big Rock Partners Acquisi Co right 12/01/2022 0.0 $83k 238k 0.35
Legacy Acquisition Corp wt 0.0 $17k 50k 0.34
Leisure Acquisition Corp *w exp 12/05/201 0.0 $28k 40k 0.69