K2 Principal Fund

K2 Principal Fund as of June 30, 2018

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 280 positions in its portfolio as reported in the June 2018 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Nxp Semiconductors N V (NXPI) 4.7 $61M 555k 109.27
iShares Barclays 20+ Yr Treas.Bond (TLT) 4.1 $54M 440k 121.72
Citigroup (C) 3.6 $46M 690k 66.92
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 3.4 $44M 424k 102.67
Technology SPDR (XLK) 2.6 $34M 490k 69.47
Mylan Nv 1.9 $25M 680k 36.14
Louisiana-Pacific Corporation (LPX) 1.8 $24M 874k 27.22
Altaba 1.8 $23M 315k 73.21
Alphabet Inc Class A cs (GOOGL) 1.8 $23M 20k 1129.20
Alibaba Group Holding (BABA) 1.6 $21M 114k 185.53
Pure Acquisition Corp unit 04/13/2023 1.6 $21M 2.0M 10.25
Etf Managers Tr tierra xp latin 1.5 $19M 648k 29.40
Rockwell Collins 1.4 $18M 136k 134.68
Spdr S&p 500 Etf (SPY) 1.4 $18M 65k 271.27
Morgan Stanley (MS) 1.4 $18M 371k 47.40
Aetna 1.3 $17M 94k 183.50
athenahealth 1.3 $17M 106k 159.13
Far Pt Acquisition Corp unit 06/01/2025 1.2 $16M 1.6M 10.19
Legacy Acquisition Corp unit 05/31/2024 1.2 $15M 1.5M 10.02
Cypress Semiconductor Corporation 1.1 $15M 950k 15.58
Alphabet Inc Class C cs (GOOG) 1.1 $14M 13k 1115.67
Easterly Acquisition 1.1 $14M 1.3M 10.30
Bank of America Corporation (BAC) 1.0 $13M 450k 28.19
Zillow Group Inc note 2.000%12/0 1.0 $13M 10k 1263.50
Ggp 1.0 $12M 605k 20.43
Aerojet Rocketdyne Hldgs Inc Note 2.25012/1 bnd 0.9 $12M 9.5k 1296.63
Dell Technologies Inc Class V equity 0.9 $11M 135k 84.58
Qualcomm (QCOM) 0.8 $11M 195k 56.12
Fox News 0.8 $11M 223k 49.27
Mercer International (MERC) 0.8 $10M 595k 17.50
Express Scripts Holding 0.8 $10M 131k 77.22
Casey's General Stores (CASY) 0.7 $9.2M 88k 105.07
Andeavor 0.7 $9.0M 69k 131.17
Twelve Seas Investment Compa unit 06/21/2023 0.7 $9.1M 900k 10.06
Vantage Energy Acquisition 0.7 $8.7M 886k 9.86
Osprey Energy Acquisition Co Cl A 0.7 $8.8M 872k 10.15
Haymaker Acquisition unit 10/19/2022 0.7 $8.8M 875k 10.11
Ilg 0.7 $8.7M 262k 33.03
Applied Materials (AMAT) 0.7 $8.5M 185k 46.18
Xerox 0.7 $8.5M 353k 24.00
Silicon Laboratories Inc convertible security 0.7 $8.4M 7.0k 1206.86
Dycom Inds Inc Note 0.750% 9/1 bond 0.6 $8.3M 7.1k 1158.20
Select Energy Svcs Inc cl a (WTTR) 0.6 $8.3M 570k 14.53
VMware 0.6 $8.1M 55k 146.98
Dfb Healthcare Acquistion Co unit 01/30/2023 0.6 $7.7M 764k 10.13
Hennessy Cap Acquston Corp I 0.6 $7.6M 748k 10.14
Xilinx 0.6 $7.3M 112k 65.26
Thunder Bridge Acquisition L unit 01/01/2025 0.6 $7.3M 725k 10.03
One Madison Unt 0.5 $6.9M 679k 10.11
Sigma Designs 0.5 $6.7M 1.1M 6.10
Layne Christensen Co note 8.000% 5/0 0.5 $6.4M 5.0k 1283.60
Kayne Anderson Acquisition 0.5 $6.4M 649k 9.88
Constellation Alpha Cap Corp 0.5 $6.4M 638k 9.96
Tpg Pace Hldgs Corp cl a 0.5 $6.1M 619k 9.93
Liberty Tripadvisor Hldgs (LTRPA) 0.5 $6.0M 373k 16.10
Pure Acquisition Corp cl a 0.5 $6.0M 626k 9.64
Cm Seven Star Acquisition Co unit 08/21/2022 0.5 $6.0M 579k 10.30
Platinum Eagle Acquisitin Co Unit 01/09/2023 0.5 $6.0M 587k 10.18
Vale (VALE) 0.5 $5.8M 456k 12.82
LaSalle Hotel Properties 0.4 $5.6M 163k 34.23
Gores Hldgs Ii 0.4 $5.6M 548k 10.16
Cisco Systems (CSCO) 0.4 $5.4M 125k 43.04
Micron Technology (MU) 0.4 $5.2M 100k 52.44
Orbotech Ltd Com Stk 0.4 $5.3M 85k 61.80
Magnachip Semiconductor Corp (MX) 0.4 $5.2M 503k 10.25
Dowdupont 0.4 $5.1M 78k 65.90
Pensare Acquisition Corp 0.4 $5.2M 521k 9.89
Extra Space Storage (EXR) 0.4 $5.0M 50k 99.80
Rti Intl Metals Inc note 1.625%10/1 0.4 $5.0M 5.0k 1004.00
Camping World Hldgs (CWH) 0.4 $5.0M 200k 24.98
Wildhorse Resource Dev Corp 0.4 $5.1M 200k 25.36
Social Cap Hedosophia Hldgs cl a 0.4 $5.0M 496k 10.05
Sprott Physical Gold & S (CEF) 0.4 $5.0M 400k 12.55
Bunge 0.4 $4.9M 70k 69.71
iShares Dow Jones US Aerospace & Def.ETF (ITA) 0.4 $4.8M 25k 192.48
Union Acquisition Corp unit 99/99/9999 0.4 $4.7M 464k 10.20
Discovery Communications 0.4 $4.7M 184k 25.50
NCR Corporation (VYX) 0.3 $4.5M 151k 29.98
SJW (SJW) 0.3 $4.5M 68k 66.22
Tiberius Acquisition Corp unit 02/28/2021 0.3 $4.5M 450k 10.07
Citrix Systems Inc conv 0.3 $4.4M 3.0k 1452.00
HEICO Corporation (HEI.A) 0.3 $4.2M 70k 60.96
Hrg 0.3 $4.3M 327k 13.09
Liberty Media Corp Delaware Com A Siriusxm 0.3 $4.3M 96k 45.05
Saban Cap Acquisition 0.3 $4.3M 426k 10.08
Diebold Incorporated 0.3 $4.2M 350k 11.95
Matlin & Partners Acquisitio cl a 0.3 $4.0M 403k 9.87
Opes Acquisition Corp 0.3 $4.1M 419k 9.71
Universal Display Corporation (OLED) 0.3 $3.9M 45k 86.00
Lf Cap Acquisition Corp unit 06/19/2025 0.3 $3.8M 379k 10.07
KapStone Paper and Packaging 0.3 $3.7M 108k 34.50
stock 0.3 $3.7M 38k 99.12
Gramercy Property Trust 0.3 $3.7M 137k 27.32
Gty Technology Holdings Inc cl a 0.3 $3.7M 368k 10.06
Trinity Merger Corp 0.3 $3.8M 373k 10.06
Praxair 0.3 $3.7M 23k 158.14
SPDR KBW Regional Banking (KRE) 0.3 $3.7M 60k 61.00
Envision Healthcare 0.3 $3.6M 83k 44.01
Senseonics Hldgs Inc note 5.250% 2/0 0.3 $3.6M 2.5k 1422.40
Abb (ABBNY) 0.3 $3.5M 160k 21.77
Pretium Res Inc Com Isin# Ca74 0.3 $3.5M 477k 7.34
Leo Holdings Corp unit 99/99/9999 0.3 $3.5M 349k 10.17
JPMorgan Chase & Co. (JPM) 0.3 $3.4M 33k 104.22
Stryker Corporation (SYK) 0.3 $3.4M 20k 168.85
Modern Media Acquisition 0.3 $3.3M 332k 9.98
Braskem SA (BAK) 0.2 $3.2M 123k 26.01
Liberty Media Corp Del Com Ser 0.2 $3.2M 90k 35.31
Avista Healthcare Pub Acq Co cl a 0.2 $3.2M 320k 10.01
Mitel Networks Corp 0.2 $3.2M 287k 10.97
Av Homes 0.2 $3.1M 146k 21.40
Highpoint Res Corp 0.2 $3.2M 520k 6.08
iShares MSCI Emerging Markets Indx (EEM) 0.2 $3.0M 70k 43.30
Berkshire Hathaway (BRK.B) 0.2 $3.0M 16k 186.62
Dover Corporation (DOV) 0.2 $2.9M 40k 73.20
BGC Partners 0.2 $3.0M 268k 11.32
Oclaro 0.2 $2.9M 329k 8.93
Sparton Corporation 0.2 $3.0M 159k 18.99
Leisure Acquisition Corp unit 99/99/9999 0.2 $2.9M 294k 10.00
Sentinel Energy Svcs Inc unit 11/02/2022 0.2 $3.0M 296k 10.09
Blackberry Ltd ebt 3.750%11/1 0.2 $3.0M 2.5k 1195.20
New Frontier Corp unit 99/99/9999 0.2 $3.0M 300k 10.05
Xl 0.2 $2.8M 51k 55.95
Landcadia Hldgs Inc cl a 0.2 $2.9M 283k 10.13
Capitol Invt Corp Iv unit 99/99/9999 0.2 $2.8M 276k 10.30
Draper Oakwood Technology 0.2 $2.8M 283k 9.98
Ceridian Hcm Hldg (DAY) 0.2 $2.9M 88k 33.19
Timken Company (TKR) 0.2 $2.7M 62k 43.54
A. Schulman 0.2 $2.7M 60k 44.50
Pinnacle Foods Inc De 0.2 $2.7M 42k 65.06
MB Financial 0.2 $2.6M 55k 46.71
Papa John's Int'l (PZZA) 0.2 $2.5M 50k 50.72
Big Rock Partners Acquisi Co unit 11/20/2022 0.2 $2.6M 250k 10.45
Autodesk (ADSK) 0.2 $2.4M 18k 131.09
Apple (AAPL) 0.2 $2.5M 14k 185.11
Waste Connections (WCN) 0.2 $2.4M 32k 75.28
M I Acquisitions 0.2 $2.5M 240k 10.50
Kbl Merger Corp Iv 0.2 $2.5M 250k 9.95
Haymaker Acquisition Corp 0.2 $2.4M 250k 9.71
Mtech Acquisition Corp 0.2 $2.4M 247k 9.76
Infinity Property and Casualty 0.2 $2.3M 16k 142.36
Capella Education Company 0.2 $2.3M 23k 98.68
Teradyne (TER) 0.2 $2.3M 61k 38.07
Rsp Permian 0.2 $2.3M 52k 44.03
Fintech Acquisition Corp Ii 0.2 $2.3M 234k 10.00
Rosehill Resources 0.2 $2.3M 319k 7.31
Federal Str Acquisition Corp unit 99/99/9999 0.2 $2.3M 232k 10.10
Gs Acquisition Hldgs Corp unit 06/12/2023 0.2 $2.4M 230k 10.22
Shire 0.2 $2.2M 13k 168.80
Brown-Forman Corporation (BF.A) 0.2 $2.2M 44k 48.85
USG Corporation 0.2 $2.2M 51k 43.11
CECO Environmental (CECO) 0.2 $2.2M 358k 6.14
Tripadvisor (TRIP) 0.2 $2.2M 40k 55.70
Tpg Pace Energy Hldgs Corp w exp 99/99/999 0.2 $2.2M 783k 2.75
Mosaic Acquisition Corp unit 99/99/9999 0.2 $2.2M 217k 10.02
Cars (CARS) 0.2 $2.1M 73k 28.38
Regalwood Global Energy Ltd unit 99/99/9999 0.2 $2.1M 208k 10.13
Leisure Acquisition Corp 0.2 $2.0M 210k 9.66
Hl Acquisitions Corp unit 06/21/2023 0.2 $2.0M 200k 10.06
Microsoft Corporation (MSFT) 0.1 $2.0M 20k 98.60
Edgewater Technology 0.1 $1.9M 348k 5.42
Gigcapital Inc unit 03/06/2025 0.1 $1.9M 182k 10.50
Amazon (AMZN) 0.1 $1.9M 1.1k 1700.00
Liberty Media Corp Delaware Com A Braves Grp 0.1 $1.8M 69k 25.71
Avista Corporation (AVA) 0.1 $1.7M 32k 52.67
iShares iBoxx $ High Yid Corp Bond (HYG) 0.1 $1.7M 20k 85.10
Blue Bird Corp (BLBD) 0.1 $1.7M 75k 22.35
Stellar Acquisition Iii 0.1 $1.7M 161k 10.38
Amtrust Financial Services 0.1 $1.6M 108k 14.57
Randgold Resources 0.1 $1.5M 20k 77.07
Callon Pete Co Del Com Stk 0.1 $1.6M 150k 10.74
Prologis (PLD) 0.1 $1.5M 23k 65.71
Big Rock Partners Acquisi 0.1 $1.5M 146k 9.91
Dropbox Inc-class A (DBX) 0.1 $1.5M 45k 32.42
Deutsche Bank Ag-registered (DB) 0.1 $1.3M 120k 10.62
VeriFone Systems 0.1 $1.3M 59k 22.82
NxStage Medical 0.1 $1.2M 45k 27.89
News Corp Class B cos (NWS) 0.1 $1.3M 80k 15.85
Independent Bank (IBTX) 0.1 $1.3M 19k 66.82
Jensyn Acquisition 0.1 $1.3M 126k 10.56
Rosehill Resources Inc - A warrant 0.1 $1.3M 1.2M 1.08
Bison Cap Acquisition Corp ord 0.1 $1.3M 131k 10.02
Willscot Corp *w exp 09/10/202 0.1 $1.3M 560k 2.26
Carnival (CUK) 0.1 $1.2M 20k 57.65
Pebblebrook Hotel Trust (PEB) 0.1 $1.2M 30k 38.80
4068594 Enphase Energy (ENPH) 0.1 $1.1M 170k 6.73
Pattern Energy 0.1 $1.1M 61k 18.76
M I Acquisitions Inc *w exp 99/99/999 0.1 $1.2M 797k 1.51
Matlin & Partners Acquisitio unit 05/28/2021a 0.1 $1.2M 110k 10.50
Penn National Gaming (PENN) 0.1 $1.1M 33k 33.58
Nationstar Mortgage 0.1 $1.0M 59k 17.54
B2gold Corp conv 0.1 $997k 1.0k 997.00
Barington Hilco Acquisition 0.1 $1.0M 98k 10.55
Cadence Bancorporation cl a 0.1 $979k 34k 28.87
National Energy Services Reu *w exp 05/05/202 0.1 $1.0M 873k 1.20
Hennessy Cap Acquston Corp I *w exp 06/15/202 0.1 $1.0M 728k 1.44
Nebula Acqisition Corp 0.1 $1.0M 100k 10.07
Lowe's Companies (LOW) 0.1 $958k 10k 95.57
SPDR S&P Oil & Gas Explore & Prod. 0.1 $861k 20k 43.05
Financial Engines 0.1 $898k 20k 44.90
Gastar Exploration 0.1 $857k 1.5M 0.56
Babcock & Wilcox Enterprises 0.1 $890k 374k 2.38
Easterly Acquisition Corp *w exp 07/29/202 0.1 $915k 732k 1.25
Senseonics Hldgs (SENS) 0.1 $845k 206k 4.11
Liberty Expedia Holdings ser a 0.1 $918k 21k 43.92
Vantage Energy Acquisition w exp 04/12/202 0.1 $917k 833k 1.10
Alta Mesa Resour 0.1 $867k 127k 6.81
Nevsun Res 0.1 $778k 226k 3.45
iShares Dow Jones Transport. Avg. (IYT) 0.1 $745k 4.0k 186.25
Liberty Broadband Cl C (LBRDK) 0.1 $750k 9.9k 75.76
Allergan 0.1 $750k 4.5k 166.67
Fintech Acquisition Corp Ii *w exp 01/19/202 0.1 $800k 500k 1.60
Kayne Anderson Acquisition *w exp 06/30/202 0.1 $791k 659k 1.20
Turtle Beach Corp (HEAR) 0.1 $813k 40k 20.32
Adobe Systems Incorporated (ADBE) 0.1 $610k 2.5k 244.00
United States Oil Fund 0.1 $602k 40k 15.05
Asanko Gold 0.1 $588k 550k 1.07
Liberty Global Inc C 0.1 $667k 25k 26.62
Federal Str Acquisition Corp cl a 0.1 $633k 65k 9.77
Liberty Latin America (LILA) 0.1 $584k 31k 19.11
Wal-Mart Stores (WMT) 0.0 $574k 6.7k 85.67
Wells Fargo & Company (WFC) 0.0 $554k 10k 55.40
Cotiviti Hldgs 0.0 $463k 11k 44.10
Matlin & Partners Acquisitio *w exp 03/15/202 0.0 $476k 699k 0.68
Tpg Pace Hldgs Corp w exp 99/99/999 0.0 $495k 300k 1.65
Mudrick Cap Acquisition Corp 0.0 $504k 52k 9.64
Platinum Eagle Acq Corp 0.0 $511k 53k 9.72
Lennar Corporation (LEN) 0.0 $435k 8.3k 52.56
Starbucks Corporation (SBUX) 0.0 $440k 9.0k 48.89
Akorn 0.0 $408k 25k 16.59
Pan American Silver Corp Can (PAAS) 0.0 $448k 25k 17.92
Central Garden & Pet (CENTA) 0.0 $413k 10k 40.49
Restaurant Brands Intl Inc Com equity / large cap (QSR) 0.0 $446k 7.4k 60.27
Landcadia Hldgs Inc *w exp 06/01/202 0.0 $326k 407k 0.80
Avista Healthcare Pub Acq Co w exp 99/99/999 0.0 $413k 897k 0.46
Gores Hldgs Ii Inc *w exp 03/06/202 0.0 $402k 251k 1.60
Atlantic Acquisition Corp 0.0 $369k 37k 10.06
Osprey Energy Acquisition Co *w exp 07/21/202 0.0 $405k 253k 1.60
Pensare Acquisition Corp *w exp 07/27/202 0.0 $430k 672k 0.64
Social Cap Hedosophia Hldgs *w exp 99/99/999 0.0 $443k 246k 1.80
I Am Cap Acquisition 0.0 $339k 31k 10.80
Platinum Eagle Acquisitin Co *w exp 01/17/202 0.0 $431k 308k 1.40
Via 0.0 $302k 10k 30.20
Marvell Technology Group 0.0 $207k 9.6k 21.49
Gores Hldin-cw20 equity wrt 0.0 $306k 180k 1.70
Constellation Alpha Cap Corp *w exp 03/23/202 0.0 $219k 608k 0.36
Simply Good Foods Co *w exp 07/07/202 0.0 $208k 50k 4.16
Federal Str Acquisition Corp *w exp 07/24/202 0.0 $219k 182k 1.20
Fgl Holdings Warrants warrants 0.0 $253k 211k 1.20
Gigcapital 0.0 $268k 27k 9.84
Gordon Pointe Acquisition 0.0 $318k 33k 9.71
Alta Mesa Res Inc *w exp 03/28/202 0.0 $220k 157k 1.40
Dfb Healthcare Acquistion 0.0 $241k 25k 9.64
Kinross Gold Corp (KGC) 0.0 $188k 50k 3.76
B2gold Corp (BTG) 0.0 $130k 50k 2.58
Arbutus Biopharma (ABUS) 0.0 $150k 21k 7.28
Nexeo Solutions Inc *w exp 06/09/202 0.0 $170k 298k 0.57
Saban Cap Acquisition Corp *w exp 09/21/202 0.0 $150k 125k 1.20
Gty Technology Holdings Inc w exp 99/99/999 0.0 $157k 126k 1.25
Kbl Merger Corp Iv *w exp 01/15/202 0.0 $66k 227k 0.29
Draper Oakwood Technology right 09/19/2018 0.0 $96k 162k 0.59
Cm Seven Star Acquisition Co *w exp 08/21/202 0.0 $97k 249k 0.39
Cm Seven Star Acquisition Co right 08/21/2022 0.0 $86k 268k 0.32
Haymaker Acquisition Corp *w exp 10/27/202 0.0 $132k 151k 0.87
Estre Ambiental Inc *w exp 12/21/202 (ESTWF) 0.0 $88k 210k 0.42
Big Rock Partners Acquisi Co right 12/01/2022 0.0 $136k 301k 0.45
Gigcapital Inc right 03/06/2020 0.0 $72k 159k 0.45
Opes Acquisition Corp w exp 01/15/202 0.0 $109k 331k 0.33
Mtech Acquisition Corp warrants 0.0 $161k 248k 0.65
Trinity Merger Corp *w exp 05/11/202 0.0 $120k 299k 0.40
Tiberius Acquisition Corp w exp 02/28/202 0.0 $112k 200k 0.56
Hecla Mining Company (HL) 0.0 $35k 10k 3.50
Barington Hilco Acquisition *w exp 02/11/201 0.0 $4.9k 29k 0.17
Jensyn Acquisition Corp *w exp 03/01/202 0.0 $27k 210k 0.13
Kbl Merger Corp Iv right 03/22/2019 0.0 $20k 60k 0.34
Pensare Acquisition Corp right 0.0 $20k 41k 0.49
Black Ridge Acquisition Corp right 07/10/2019 0.0 $23k 76k 0.30
Big Rock Partners Acquisi Co *w exp 12/01/202 0.0 $35k 101k 0.35
Legacy Acquisition Corp wt 0.0 $22k 50k 0.44
Leisure Acquisition Corp *w exp 12/05/201 0.0 $28k 40k 0.69
Union Acquisition Corp w exp 07/01/202 0.0 $18k 50k 0.36