K2 Principal Fund

K2 Principal Fund as of Sept. 30, 2018

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 296 positions in its portfolio as reported in the September 2018 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Alphabet Inc Class A cs (GOOGL) 5.3 $55M 45k 1207.05
Nxp Semiconductors N V (NXPI) 2.9 $30M 347k 85.50
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 2.4 $25M 235k 106.44
Aetna 2.2 $23M 114k 202.85
Technology SPDR (XLK) 2.2 $23M 300k 75.33
Rockwell Collins 2.0 $21M 151k 140.47
iShares Barclays 20+ Yr Treas.Bond (TLT) 2.0 $21M 179k 117.27
Hennessy Cap Acquston Corp I 1.8 $19M 1.8M 10.19
Easterly Acquisition 1.6 $16M 1.6M 10.40
Express Scripts Holding 1.5 $15M 160k 95.02
athenahealth 1.4 $15M 112k 133.33
Energen Corporation 1.4 $14M 166k 86.18
Etf Managers Tr tierra xp latin 1.1 $12M 290k 40.06
Cypress Semiconductor Corporation 1.1 $11M 781k 14.49
Dowdupont 1.1 $11M 175k 64.31
Aerojet Rocketdyne Hldgs Inc Note 2.25012/1 bnd 1.0 $11M 7.5k 1423.87
Integrated Device Tech conv 1.0 $11M 7.0k 1503.78
Pure Acquisition Corp unit 04/13/2023 1.0 $10M 1.0M 10.38
Spartan Energy Acquisition Cl A Unt 1.0 $11M 1.0M 10.15
Brookfield Property Reit Inc cl a 1.0 $10M 489k 20.93
Amazon (AMZN) 1.0 $10M 5.0k 2003.00
Ca 0.9 $9.8M 222k 44.14
Apple (AAPL) 0.9 $9.6M 42k 225.73
Mylan Nv 0.9 $9.5M 261k 36.60
Dell Technologies Inc Class V equity 0.9 $9.2M 95k 97.12
Far Pt Acquisition Corp unit 06/01/2025 0.9 $9.2M 895k 10.28
Spdr S&p 500 Etf (SPY) 0.8 $8.7M 30k 290.73
Vantage Energy Acquisition 0.8 $8.7M 871k 9.95
Zillow Group Inc note 2.000%12/0 0.8 $8.7M 8.0k 1081.25
Microchip Technology (MCHP) 0.8 $8.3M 105k 78.91
Morgan Stanley (MS) 0.8 $8.1M 175k 46.56
Mitel Networks Corp 0.8 $8.1M 733k 11.02
Mercer International (MERC) 0.8 $8.0M 475k 16.80
Silicon Laboratories Inc convertible security 0.8 $8.0M 7.0k 1140.71
Dfb Healthcare Acquistion Co unit 01/30/2023 0.8 $7.8M 764k 10.20
Select Energy Svcs Inc cl a (WTTR) 0.7 $7.6M 638k 11.84
Vale (VALE) 0.7 $7.5M 506k 14.84
Avista Corporation (AVA) 0.7 $7.5M 149k 50.56
Fox News 0.7 $7.4M 161k 45.82
Gramercy Property Trust 0.7 $7.2M 261k 27.44
Gores Hldgs Ii 0.7 $7.2M 679k 10.62
Haymaker Acquisition unit 10/19/2022 0.7 $7.0M 677k 10.38
Arconic 0.7 $6.8M 310k 22.01
Intel Corporation (INTC) 0.6 $6.6M 140k 47.30
Spdr Euro Stoxx 50 Etf (FEZ) 0.6 $6.7M 175k 38.27
Saban Cap Acquisition 0.6 $6.6M 649k 10.13
Citigroup (C) 0.6 $6.5M 90k 71.74
Constellation Alpha Cap Corp 0.6 $6.5M 638k 10.12
Avista Healthcare Pub Acq Co cl a 0.6 $6.2M 616k 10.13
Cm Seven Star Acquisition Co unit 08/21/2022 0.6 $6.2M 579k 10.75
Kayne Anderson Acquisition 0.6 $6.1M 605k 10.16
Convergys Corporation 0.6 $5.9M 250k 23.74
Bunge 0.6 $5.7M 83k 68.71
Pensare Acquisition Corp 0.6 $5.7M 573k 9.96
Ocean Rig Udw 0.6 $5.7M 165k 34.62
Magnolia Oil & Gas Corp tpg pace energy hold 0.6 $5.7M 1.2M 4.68
Av Homes 0.5 $5.6M 280k 20.00
Dycom Inds Inc Note 0.750% 9/1 bond 0.5 $5.7M 5.1k 1103.70
Discovery Communications 0.5 $5.4M 184k 29.58
Cisco Systems (CSCO) 0.5 $5.4M 110k 48.66
Sierra Wireless 0.5 $5.2M 259k 20.10
SPDR KBW Regional Banking (KRE) 0.5 $5.1M 85k 59.42
Legacy Acquisition Corp unit 05/31/2024 0.5 $5.0M 491k 10.13
Megalith Finl Acquisition Co unit 09/30/2025 0.5 $5.0M 494k 10.10
HEICO Corporation (HEI.A) 0.5 $4.9M 65k 75.50
Magnachip Semiconductor Corp (MX) 0.5 $4.9M 494k 9.90
Social Cap Hedosophia Hldgs cl a 0.5 $4.9M 490k 9.91
Gores Holdings Iii Inc unit 09/07/2024 0.5 $4.7M 456k 10.21
Pretium Res Inc Com Isin# Ca74 0.4 $4.6M 607k 7.61
Citrix Systems Inc conv 0.4 $4.6M 3.0k 1537.00
Tiberius Acquisition Corp unit 02/28/2021 0.4 $4.6M 447k 10.20
Pure Acquisition Corp cl a 0.4 $4.6M 474k 9.71
Tkk Symphony Acquisition Cor unit 08/15/2023 0.4 $4.6M 457k 10.10
iShares Dow Jones US Aerospace & Def.ETF (ITA) 0.4 $4.3M 20k 216.45
Klx Inc Com $0.01 0.4 $4.3M 68k 62.78
Daily Gold Miners Index Bull 3x Shs New Feb 2017 0.4 $4.2M 324k 12.95
Opes Acquisition Corp 0.4 $4.1M 419k 9.85
Barrick Gold Corp (GOLD) 0.4 $4.1M 368k 11.10
Dun & Bradstreet Corporation 0.4 $4.1M 29k 142.52
Cm Seven Star Acquisition 0.4 $4.0M 400k 10.08
Trinity Merger Corp 0.4 $4.0M 396k 10.23
Churchill Cap Corp unit 99/99/9999 0.4 $4.1M 400k 10.13
Forum Merger Ii Corp unit 09/30/2025 0.4 $4.0M 400k 10.10
Landcadia Hldgs Inc cl a 0.4 $3.9M 360k 10.84
Union Acquisition Corp unit 99/99/9999 0.4 $3.8M 362k 10.45
Tenzing Acquisition Corp unit 08/24/2024 0.4 $3.8M 375k 10.06
Qualcomm (QCOM) 0.3 $3.6M 50k 72.04
Ceridian Hcm Hldg (DAY) 0.3 $3.7M 88k 42.03
Shire 0.3 $3.5M 19k 181.26
Liberty Media Corp Del Com Ser 0.3 $3.5M 98k 35.58
Wildhorse Resource Dev Corp 0.3 $3.6M 152k 23.64
Leo Holdings Corp unit 99/99/9999 0.3 $3.6M 349k 10.25
BGC Partners 0.3 $3.4M 285k 11.82
CoBiz Financial 0.3 $3.3M 151k 22.14
K2m Group Holdings 0.3 $3.4M 124k 27.37
Xerox 0.3 $3.4M 125k 26.98
Modern Media Acquisition 0.3 $3.4M 332k 10.10
Lf Cap Acquisition Corp unit 06/19/2025 0.3 $3.3M 331k 10.10
Liberty Media Corp Delaware Com A Siriusxm 0.3 $3.3M 76k 43.44
Senseonics Hldgs Inc note 5.250% 2/0 0.3 $3.2M 2.0k 1599.00
Blackberry Ltd ebt 3.750%11/1 0.3 $3.2M 2.5k 1290.00
Xcerra 0.3 $3.1M 218k 14.27
Pattern Energy Group Inc. 4.00% July 15, 2020 ccb 0.3 $3.0M 3.0k 993.03
Federal Str Acquisition Corp cl a 0.3 $3.0M 296k 10.11
Leisure Acquisition Corp unit 99/99/9999 0.3 $3.0M 294k 10.20
New Frontier Corp unit 99/99/9999 0.3 $3.1M 300k 10.20
Draper Oakwood Technology 0.3 $2.9M 283k 10.14
Haymaker Acquisition Corp 0.3 $2.9M 295k 9.76
One Madison Unt 0.3 $2.9M 282k 10.35
JPMorgan Chase & Co. (JPM) 0.3 $2.8M 25k 112.84
Liberty Tripadvisor Hldgs (LTRPA) 0.3 $2.8M 191k 14.85
Sentinel Energy Svcs Inc unit 11/02/2022 0.3 $2.8M 271k 10.28
Thunder Bridge Acquisition L unit 01/01/2025 0.3 $2.9M 282k 10.12
Perry Ellis International 0.3 $2.7M 100k 27.30
Viper Energy Partners 0.3 $2.7M 65k 42.09
Platinum Eagle Acquisitin Co Unit 01/09/2023 0.3 $2.7M 262k 10.39
CECO Environmental (CECO) 0.2 $2.6M 331k 7.88
Liberty Expedia Holdings ser a 0.2 $2.6M 56k 47.05
Tpg Pace Hldgs Corp cl a 0.2 $2.6M 259k 10.07
Big Rock Partners Acquisi Co unit 11/20/2022 0.2 $2.6M 250k 10.40
Web 0.2 $2.5M 88k 27.90
Summit Matls Inc cl a (SUM) 0.2 $2.5M 140k 18.18
Kbl Merger Corp Iv 0.2 $2.5M 250k 10.10
Gs Acquisition Holdings Cl A Ord 0.2 $2.5M 261k 9.75
Microsoft Corporation (MSFT) 0.2 $2.4M 21k 114.35
Braskem SA (BAK) 0.2 $2.3M 81k 28.86
Central Garden & Pet (CENTA) 0.2 $2.3M 70k 33.14
Cars (CARS) 0.2 $2.3M 82k 27.61
Vulcan Materials Company (VMC) 0.2 $2.2M 20k 111.20
Orbotech Ltd Com Stk 0.2 $2.1M 36k 59.44
Forest City Realty Trust Inc Class A 0.2 $2.2M 89k 25.09
Mosaic Acquisition Corp unit 99/99/9999 0.2 $2.2M 217k 10.18
Regalwood Global Energy Ltd unit 99/99/9999 0.2 $2.1M 208k 10.28
I Am Cap Acquisition 0.2 $2.1M 211k 10.15
Far Pt Acquisition Corp cl a founders sh 0.2 $2.2M 226k 9.63
Tesla Motors (TSLA) 0.2 $2.1M 8.0k 264.71
Industries N shs - a - (LYB) 0.2 $2.1M 20k 102.53
Tripadvisor (TRIP) 0.2 $2.0M 40k 51.08
Brookfield Ppty Partners L P unit ltd partn 0.2 $2.1M 100k 20.89
Rti Intl Metals Inc note 1.625%10/1 0.2 $2.0M 2.0k 1021.00
Leisure Acquisition Corp 0.2 $2.0M 210k 9.69
Longevity Acquisition Corp unit 08/29/2024 0.2 $2.0M 200k 10.24
Greenland Acquisitin Corpora unit 03/03/2025 0.2 $2.1M 200k 10.32
Amtrust Financial Services 0.2 $1.9M 133k 14.52
Mazor Robotics Ltd. equities 0.2 $2.0M 35k 58.32
Science App Int'l (SAIC) 0.2 $1.9M 24k 80.62
Gigcapital Inc unit 03/06/2025 0.2 $1.9M 182k 10.74
Carnival (CUK) 0.2 $1.9M 30k 63.07
Matlin & Partners Acquisitio cl a 0.2 $1.9M 186k 10.01
Micron Technology (MU) 0.2 $1.8M 40k 45.22
Extra Space Storage (EXR) 0.2 $1.7M 20k 86.65
Jensyn Acquisition 0.2 $1.8M 166k 10.70
Navigators 0.2 $1.7M 24k 69.11
Marriott Vacations Wrldwde Cp (VAC) 0.2 $1.7M 15k 111.80
Pinnacle Foods Inc De 0.2 $1.7M 26k 64.82
National Energy Services Reu *w exp 05/05/202 0.2 $1.7M 879k 1.90
Fgl Holdings Warrants warrants 0.2 $1.7M 862k 1.97
Texas Instruments Incorporated (TXN) 0.1 $1.6M 15k 107.27
Fifth Third Ban (FITB) 0.1 $1.6M 56k 27.91
Synovus Finl (SNV) 0.1 $1.6M 35k 45.80
Lennar Corporation (LEN) 0.1 $1.5M 31k 46.68
LifePoint Hospitals 0.1 $1.4M 23k 64.39
Edgewater Technology 0.1 $1.5M 353k 4.27
Senomyx 0.1 $1.4M 971k 1.48
Stellar Acquisition Iii 0.1 $1.5M 138k 10.52
Twelve Seas Investment Compa unit 06/21/2023 0.1 $1.4M 139k 10.27
Pure Acquisition Corp *w exp 04/17/202 0.1 $1.4M 1.1M 1.35
Louisiana-Pacific Corporation (LPX) 0.1 $1.3M 50k 26.48
Clearwater Paper (CLW) 0.1 $1.3M 44k 29.71
Hunter Maritime Acquisition cl a 0.1 $1.4M 137k 9.96
Bison Cap Acquisition Corp ord 0.1 $1.3M 131k 10.21
Big Rock Partners Acquisi 0.1 $1.3M 134k 10.00
Praxair 0.1 $1.2M 7.7k 160.78
SYNNEX Corporation (SNX) 0.1 $1.3M 15k 84.73
Lattice Semiconductor (LSCC) 0.1 $1.2M 153k 8.00
Dbx Etf Tr dbxtr har cs 300 (ASHR) 0.1 $1.3M 50k 25.36
Landcadia Hldgs Inc *w exp 06/01/202 0.1 $1.2M 1.0M 1.19
Rent-A-Center (UPBD) 0.1 $1.2M 83k 14.39
Sparton Corporation 0.1 $1.1M 79k 14.42
Waste Connections (WCN) 0.1 $1.2M 15k 79.78
Gores Hldgs Ii Inc *w exp 03/06/202 0.1 $1.1M 518k 2.12
Vantage Energy Acquisition w exp 04/12/202 0.1 $1.1M 833k 1.35
M I Acquisitions Inc *w exp 11/15/202 0.1 $1.1M 797k 1.40
Teva Pharmaceutical Industries (TEVA) 0.1 $1.1M 50k 21.54
Newell Rubbermaid (NWL) 0.1 $1.0M 50k 20.30
Brown-Forman Corporation (BF.A) 0.1 $1.1M 21k 50.79
United States Oil Fund 0.1 $1.1M 70k 15.51
KapStone Paper and Packaging 0.1 $1.1M 32k 33.92
Nevsun Res 0.1 $999k 226k 4.43
SPDR S&P Oil & Gas Explore & Prod. 0.1 $1.1M 25k 43.28
American Airls (AAL) 0.1 $1.1M 26k 41.31
Barington Hilco Acquisition 0.1 $1.1M 98k 10.83
Invuity 0.1 $1.0M 136k 7.40
Lions Gate Entmnt Corp cl b non vtg (LGF.B) 0.1 $1.1M 46k 23.30
Rosehill Resources 0.1 $1.1M 196k 5.49
Mtech Acquisition Corp 0.1 $1.0M 103k 10.20
International Mny Express In *w exp 01/19/202 0.1 $1.1M 457k 2.35
Electronic Arts (EA) 0.1 $964k 8.0k 120.50
Magna Intl Inc cl a (MGA) 0.1 $886k 17k 52.50
Advanced Micro Devices (AMD) 0.1 $927k 30k 30.90
iShares iBoxx $ High Yid Corp Bond (HYG) 0.1 $951k 11k 86.45
Marathon Petroleum Corp (MPC) 0.1 $976k 12k 79.99
Univar 0.1 $986k 32k 30.65
Easterly Acquisition Corp *w exp 07/29/202 0.1 $955k 868k 1.10
Rosehill Resources Inc - A warrant 0.1 $899k 865k 1.04
Hennessy Cap Acquston Corp I *w exp 06/15/202 0.1 $890k 593k 1.50
Capitol Invt Corp Iv cl a ord 0.1 $886k 90k 9.90
Trinity Merger Corp 0.1 $983k 100k 9.83
USG Corporation 0.1 $812k 19k 43.31
Syntel 0.1 $828k 20k 40.97
FMC Corporation (FMC) 0.1 $872k 10k 87.20
Sodastream International 0.1 $873k 6.1k 143.11
Cubesmart (CUBE) 0.1 $856k 30k 28.53
Twitter 0.1 $854k 30k 28.47
Sirius Xm Holdings (SIRI) 0.1 $683k 108k 6.32
Kayne Anderson Acquisition *w exp 06/30/202 0.1 $761k 609k 1.25
Social Cap Hedosophia Hldgs *w exp 99/99/999 0.1 $711k 665k 1.07
Lf Cap Acquisition Corp cl a 0.1 $717k 75k 9.56
Akorn 0.1 $649k 50k 12.98
Pan American Silver Corp Can (PAAS) 0.1 $605k 41k 14.76
Reis 0.1 $641k 28k 23.00
State Street Bank Financial 0.1 $669k 22k 30.20
News (NWSA) 0.1 $658k 50k 13.19
Zoe's Kitchen 0.1 $598k 47k 12.72
Zillow Group Inc Cl A (ZG) 0.1 $660k 15k 44.21
Canada Goose Holdings Inc shs sub vtg (GOOS) 0.1 $645k 10k 64.50
Liberty Latin America Ser C (LILAK) 0.1 $634k 31k 20.61
Semtech Corporation (SMTC) 0.1 $556k 10k 55.60
Liberty Media Corp Delaware Com C Braves Grp 0.1 $482k 18k 27.27
Tpg Pace Hldgs Corp w exp 99/99/999 0.1 $525k 300k 1.75
Mudrick Cap Acquisition Corp 0.1 $506k 52k 9.68
One Madison Corp 0.1 $496k 51k 9.73
Mtech Acquisition Corp warrants 0.1 $570k 385k 1.48
McDonald's Corporation (MCD) 0.0 $418k 2.5k 167.20
Cabot Microelectronics Corporation 0.0 $445k 4.3k 103.10
Navistar International Corporation 0.0 $385k 10k 38.50
Liberty Broadband Cl C (LBRDK) 0.0 $413k 4.9k 84.29
Babcock & Wilcox Enterprises 0.0 $430k 418k 1.03
Saban Cap Acquisition Corp *w exp 09/21/202 0.0 $419k 381k 1.10
Gty Technology Holdings Inc w exp 99/99/999 0.0 $468k 374k 1.25
Simply Good Foods Co *w exp 07/07/202 0.0 $397k 50k 7.91
Federal Str Acquisition Corp *w exp 07/24/202 0.0 $376k 269k 1.40
Sleep Number Corp (SNBR) 0.0 $368k 10k 36.80
Platinum Eagle Acquisitin Co *w exp 01/17/202 0.0 $390k 289k 1.35
Far Pt Acquisition Corp w exp 06/01/202 0.0 $428k 260k 1.65
CBS Corporation 0.0 $277k 4.8k 57.49
Starbucks Corporation (SBUX) 0.0 $341k 6.0k 56.83
Concho Resources 0.0 $336k 2.2k 152.73
Golden Star Cad 0.0 $284k 395k 0.72
Magicjack Vocaltec 0.0 $264k 32k 8.34
Matlin & Partners Acquisitio *w exp 03/15/202 0.0 $318k 424k 0.75
Pensare Acquisition Corp *w exp 07/27/202 0.0 $350k 673k 0.52
I Am Cap Acq Warrant 5/22/24 warrant and righ 0.0 $287k 820k 0.35
Gordon Pointe Acquisition 0.0 $323k 33k 9.86
Platinum Eagle Acq Corp 0.0 $264k 27k 9.83
Dfb Healthcare Acquistion 0.0 $340k 35k 9.71
Twelve Seas Investment Compa 0.0 $270k 28k 9.57
Priority Technology Hldgs In (PRTH) 0.0 $270k 28k 9.71
Pebblebrook Hotel Trust (PEB) 0.0 $223k 6.1k 36.31
Vectren Corporation 0.0 $207k 2.9k 71.38
Xo Group 0.0 $225k 6.5k 34.46
Guaranty Bancorp Del 0.0 $215k 7.2k 29.74
Gores Hldin-cw20 equity wrt 0.0 $237k 224k 1.06
Avista Healthcare Pub Acq Co w exp 99/99/999 0.0 $214k 1.1M 0.20
I Am Cap Acquisition Right warrant and righ 0.0 $211k 422k 0.50
Cm Seven Star Acquisition Co *w exp 08/21/202 0.0 $240k 510k 0.47
Cm Seven Star Acquisition Co right 08/21/2022 0.0 $236k 472k 0.50
Haymaker Acquisition Corp *w exp 10/27/202 0.0 $183k 152k 1.21
Gigcapital 0.0 $251k 25k 9.94
One Madison Corp w exp 99/99/999 0.0 $219k 189k 1.16
Gs Acquisition Hldgs Corp *w exp 06/12/202 0.0 $172k 101k 1.70
Just Energy Group 0.0 $93k 30k 3.10
Arbutus Biopharma (ABUS) 0.0 $112k 12k 9.42
Pensare Acquisition Corp right 0.0 $78k 174k 0.45
Capitol Invt Corp Iv *w exp 01/01/202 0.0 $135k 92k 1.47
Big Rock Partners Acquisi Co right 12/01/2022 0.0 $146k 340k 0.43
Alta Mesa Res Inc *w exp 03/28/202 0.0 $79k 157k 0.50
Gigcapital Inc right 03/06/2020 0.0 $84k 159k 0.53
Trinity Merger Corp *w exp 05/11/202 0.0 $150k 299k 0.50
Tiberius Acquisition Corp w exp 02/28/202 0.0 $118k 200k 0.59
Sears Holdings Corporation 0.0 $10k 10k 0.98
Asanko Gold 0.0 $12k 15k 0.80
Jensyn Acquisition Corp *w exp 03/01/202 0.0 $31k 348k 0.09
Jensyn Acquisition Corp right 99/99/9999 0.0 $35k 130k 0.27
Kbl Merger Corp Iv *w exp 01/15/202 0.0 $15k 74k 0.20
Black Ridge Acquisition Corp right 07/10/2019 0.0 $28k 76k 0.37
Draper Oakwood Technology right 09/19/2018 0.0 $25k 48k 0.52
Estre Ambiental Inc *w exp 12/21/202 (ESTWF) 0.0 $51k 146k 0.35
Big Rock Partners Acquisi Co *w exp 12/01/202 0.0 $31k 101k 0.31
Legacy Acquisition Corp wt 0.0 $21k 50k 0.42
Leisure Acquisition Corp *w exp 12/05/201 0.0 $38k 40k 0.94
Union Acquisition Corp w exp 07/01/202 0.0 $18k 55k 0.32
Mudrick Cap Acquisition Corp *w exp 02/12/202 0.0 $12k 18k 0.65
Nebula Acquisition Corp *w exp 03/12/202 0.0 $33k 28k 1.18
Twelve Seas Investment Compa right 12/22/2019 0.0 $41k 100k 0.41
Twelve Seas Investment Compa *w exp 12/22/202 0.0 $34k 96k 0.36