K2 Principal Fund

K2 Principal Fund as of Dec. 31, 2019

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 274 positions in its portfolio as reported in the December 2019 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 3.7 $42M 299k 141.41
iShares S&P NA Tec.-SW. Idx. Fund (IGV) 3.6 $42M 181k 233.04
iShares IBoxx $ Invest Grade Corp Bd (LQD) 3.4 $40M 311k 127.96
Microsoft Corporation (MSFT) 3.3 $38M 240k 157.70
SPDR Gold Trust (GLD) 2.6 $31M 214k 142.90
3M Company (MMM) 2.6 $30M 170k 176.42
Visa (V) 2.2 $26M 136k 187.91
McDonald's Corporation (MCD) 2.1 $25M 124k 197.61
NVIDIA Corporation (NVDA) 1.7 $20M 84k 235.30
iShares Lehman Aggregate Bond (AGG) 1.5 $17M 150k 112.37
Weyerhaeuser Company (WY) 1.4 $17M 545k 30.20
Alphabet Inc Class A cs (GOOGL) 1.4 $16M 12k 1339.38
Proofpoint 1.4 $16M 136k 114.77
Qualcomm (QCOM) 1.2 $14M 160k 88.23
Bunge 1.2 $14M 236k 57.55
iShares iBoxx $ High Yid Corp Bond (HYG) 1.1 $13M 150k 87.94
Skyworks Solutions (SWKS) 1.1 $12M 101k 120.88
Medicines Company 2.750000 07/15/2023 bond 1.1 $12M 7.0k 1741.29
Domtar Corp 1.0 $12M 304k 38.24
Mosaic Acquisition Corp 1.0 $12M 1.1M 10.28
Xilinx 1.0 $11M 117k 97.78
Pure Acquisition Corp cl a 1.0 $11M 1.1M 10.37
Pattern Energy Group Inc. 4.00% July 15, 2020 ccb 1.0 $11M 11k 1010.34
Alteryx 0.9 $11M 105k 100.06
Colony Starwood Homes convertible security 0.9 $10M 7.5k 1346.40
Magnachip Semiconductor Corp (MX) 0.9 $10M 859k 11.61
Far Pt Acquisition Corp unit 06/01/2025 0.9 $9.9M 917k 10.80
Cf Fin Acquisition Corp unit 04/30/2025 0.8 $9.7M 895k 10.89
Mongodb Inc. Class A (MDB) 0.8 $9.2M 70k 131.60
Blackberry Ltd ebt 3.750%11/1 0.8 $8.9M 8.8k 1013.35
Tuscan Holdings Corp unit 99/99/9999 0.7 $8.4M 800k 10.51
Industrial SPDR (XLI) 0.7 $8.1M 100k 81.47
Fintech Acquisition Corp Iii unit 12/01/2023 0.7 $8.1M 750k 10.75
Apex Technology Acquisitn Co unit 06/11/2026 0.7 $8.1M 775k 10.47
Viacomcbs (PARA) 0.7 $7.9M 189k 41.97
Cypress Semiconductor Corp note 4.500% 1/1 0.7 $7.8M 4.5k 1732.52
WABCO Holdings 0.7 $7.6M 56k 135.51
Docusign Inc convertible security 0.7 $7.5M 6.0k 1244.17
Cision 0.6 $7.4M 739k 9.97
Insurance Acquisition Corp unit 03/31/2024 0.6 $7.4M 700k 10.58
salesforce (CRM) 0.6 $7.3M 45k 162.64
Wright Medical Group Nv 2.25 20211115 0.6 $7.3M 5.0k 1450.80
Collier Creek Holdings unit 99/99/9999 0.6 $7.2M 678k 10.62
Workday Inc note 0.250%10/0 0.6 $7.0M 5.5k 1278.94
Twitter Inc note 0.250% 6/1 0.6 $6.8M 7.0k 967.86
Dexcom Inc dbcv 0.750% 5/1 0.6 $6.7M 3.0k 2223.33
Silicon Laboratories Inc convertible security 0.6 $6.7M 5.0k 1332.00
Gx Acquisiton Unt 0.6 $6.6M 638k 10.31
Brown-Forman Corporation (BF.A) 0.6 $6.5M 103k 62.77
Graf Industrial Corp 0.6 $6.4M 632k 10.19
Advanced Micro Devices (AMD) 0.5 $6.2M 135k 45.88
Allergan 0.5 $6.2M 33k 191.17
Avaya Holdings Corp convertible security 0.5 $6.2M 7.0k 887.34
Chp Merger Corp unit 11/22/2024 0.5 $6.1M 600k 10.17
Src Energy 0.5 $6.0M 1.5M 4.12
Opes Acquisition Corp 0.5 $6.0M 575k 10.52
Haymaker Acquisition Unt 0.5 $6.0M 575k 10.50
Stable Rd Acquisition Corp unit 05/15/2026 0.5 $5.7M 551k 10.29
Carnival (CUK) 0.5 $5.5M 115k 48.16
Scorpio Tankers Inc note 3.000% 5/1 0.5 $5.5M 4.5k 1227.78
Brookfield Property Reit Inc cl a 0.5 $5.5M 300k 18.45
Aerojet Rocketdyne Hldgs Inc Note 2.25012/1 bnd 0.5 $5.4M 3.0k 1813.00
Zayo Group Hldgs 0.5 $5.3M 152k 34.65
Netflix (NFLX) 0.5 $5.2M 16k 323.58
Nuvasive Inc note 2.250% 3/1 0.5 $5.3M 3.9k 1333.08
Amci Acquisition Corp unit 01/07/2019 0.5 $5.2M 500k 10.39
Sc Health Corp unit 99/99/9999 0.5 $5.2M 500k 10.36
Wesco Aircraft Holdings 0.4 $5.1M 465k 11.02
Liberty Broadband Corporation (LBRDA) 0.4 $5.1M 41k 124.57
Gores Holdings Iii 0.4 $5.1M 491k 10.34
Finserv Acquisition Corp unit 12/31/2026 0.4 $5.1M 500k 10.21
Osprey Technlgy Aquistion Co unit 10/30/2024 0.4 $5.1M 500k 10.18
Home Depot (HD) 0.4 $4.8M 22k 218.38
Tuscan Hldgs Corp Ii unit 04/01/2026 0.4 $4.9M 487k 10.06
Discovery Communications 0.4 $4.5M 149k 30.49
United States Oil Fund 0.4 $4.5M 350k 12.81
HEICO Corporation (HEI.A) 0.4 $4.5M 51k 89.54
Zillow Group Inc note 2.000%12/0 0.4 $4.5M 4.0k 1118.50
Arya Sciences Acquisition Co unit 10/04/2023 0.4 $4.5M 392k 11.50
Dd3 Acquisition Corp 0.4 $4.5M 443k 10.22
Trine Acquisition Corp unit 03/31/2021 0.4 $4.4M 439k 10.06
Interxion Holding 0.4 $4.3M 51k 83.82
Lions Gate Entmnt Corp cl b non vtg (LGF.B) 0.4 $4.3M 433k 9.93
Hubspot convertible security 0.4 $4.3M 2.5k 1730.00
First Majestic Silver Corp note 1.875% 3/0 0.4 $4.3M 3.0k 1421.33
TJX Companies (TJX) 0.4 $4.2M 68k 61.05
stock 0.4 $4.1M 28k 149.78
Replay Acquisition Unt 0.4 $4.1M 399k 10.37
Dollar Tree (DLTR) 0.3 $4.0M 43k 94.10
Landcadia Holdings Ii Unt 0.3 $4.1M 405k 10.12
B Riley Principal Merger Cor cl a 0.3 $4.0M 399k 10.01
Pivotal Invt Corp Ii unit 06/01/2025 0.3 $4.1M 400k 10.20
Netfin Acquisition Corp unit 08/01/2024 0.3 $4.1M 400k 10.19
Oaktree Acquisition Corp unit 99/99/9999 0.3 $4.1M 400k 10.20
Alussa Energy Acquisition Co unit 10/31/2026 0.3 $4.0M 400k 10.08
Gigcapital2 Acq Corp 0.3 $4.0M 400k 9.93
Caesars Entmt Corp note 5.000%10/0 0.3 $3.8M 2.0k 1921.00
Tuscan Holdings Ii Acq Corp 0.3 $3.8M 388k 9.86
Avista Corporation (AVA) 0.3 $3.7M 78k 48.08
Seacor Holding Inc note 3.000 11/1 0.3 $3.7M 3.7k 992.79
Spartan Energy Acquisition Cl A Unt 0.3 $3.7M 359k 10.20
Northrop Grumman Corporation (NOC) 0.3 $3.6M 10k 344.04
Cypress Semiconductor Co convertible security 0.3 $3.6M 3.0k 1208.67
Union Acquisition Corp Ii unit 99/99/9999 0.3 $3.6M 350k 10.18
Sierra Wireless 0.3 $3.5M 367k 9.55
Liberty Media Corp Del Com Ser 0.3 $3.5M 79k 43.78
Cloudera 0.3 $3.5M 298k 11.63
8i Enterprises Acquisitin 0.3 $3.4M 339k 10.02
Leisure Acquisition Corp unit 99/99/9999 0.3 $3.2M 294k 10.88
Forum Merger Ii Corp unit 09/30/2025 0.3 $3.2M 300k 10.70
Proptech Acquisition Corpora unit 10/01/2026 0.3 $3.2M 311k 10.24
Franco-Nevada Corporation (FNV) 0.3 $3.1M 30k 103.30
New Providence Acquisitin Co unit 09/01/2024 0.3 $3.1M 300k 10.25
Healthcare Merger Corp unit 12/17/2021 0.3 $3.1M 300k 10.35
Juniper Indl Hldgs Inc unit 11/13/2026 0.3 $3.0M 294k 10.18
WellCare Health Plans 0.2 $2.9M 8.8k 330.17
Lf Cap Acquisition Corp unit 06/19/2025 0.2 $2.9M 277k 10.58
Churchill Cap Corp Ii unit 99/99/9999 0.2 $2.9M 269k 10.78
Travelers Companies (TRV) 0.2 $2.8M 20k 136.96
Rio Tinto (RIO) 0.2 $2.6M 45k 59.37
Lennar Corporation (LEN.B) 0.2 $2.7M 60k 44.69
Tech Data Corporation 0.2 $2.6M 18k 143.59
Big Rock Partners Acquisi Co unit 11/20/2022 0.2 $2.6M 240k 10.93
Megalith Finl Acquisition Co cl a 0.2 $2.7M 262k 10.26
Seacor Holdings Inc note 2.500%12/1 0.2 $2.5M 2.6k 958.86
Tallgrass Energy Gp Lp master ltd part 0.2 $2.6M 116k 22.12
Monocle Acquisition Corp 0.2 $2.6M 252k 10.18
OMNOVA Solutions 0.2 $2.5M 244k 10.11
Liberty Global Inc C 0.2 $2.5M 113k 21.79
Fitbit 0.2 $2.5M 374k 6.57
Chaserg Technlgy Acquisitn C class a 0.2 $2.4M 219k 10.85
Waste Connections (WCN) 0.2 $2.3M 25k 90.80
Pure Acquisition Corp *w exp 04/17/202 0.2 $2.3M 2.4M 0.99
Far Pt Acquisition Corp cl a founders sh 0.2 $2.3M 225k 10.30
Aurinia Pharmaceuticals (AUPH) 0.2 $2.2M 111k 20.26
Paypal Holdings (PYPL) 0.2 $2.2M 20k 108.15
Longevity Acquisition Corp unit 08/29/2024 0.2 $2.1M 200k 10.70
Gores Metropoulos Inc unit 99/99/9999 0.2 $2.1M 202k 10.60
Walt Disney Company (DIS) 0.2 $2.1M 15k 144.62
Tiffany & Co. 0.2 $2.1M 16k 133.63
Innophos Holdings 0.2 $2.0M 64k 31.97
Big Rock Partners Acquisi 0.2 $2.0M 193k 10.60
Marriott Vacation Worldw convertible security 0.2 $2.1M 2.0k 1065.00
B Riley Principal Merger Cor unit 99/99/9999 0.2 $2.1M 200k 10.48
Lgl Sys Acquisition Corp unit 10/24/2024 0.2 $2.0M 200k 10.20
Software Acquisition Group I unit 10/01/2026 0.2 $2.0M 200k 10.16
Under Armour Inc Cl C (UA) 0.2 $2.0M 104k 19.18
Dycom Inds Inc Note 0.750% 9/1 bond 0.2 $1.9M 2.0k 968.50
Maxar Technologies 0.2 $2.0M 127k 15.67
Zoom Video Communications In cl a (ZM) 0.2 $1.9M 29k 68.04
Gannett (GCI) 0.2 $2.0M 309k 6.38
Liv Cap Acquisition Corp unit 99/99/9999 0.2 $2.0M 200k 10.06
iShares MSCI Emerging Markets Indx (EEM) 0.2 $1.8M 40k 44.88
Charles Schwab Corporation (SCHW) 0.2 $1.8M 38k 47.57
Alberton Acquisition Corp unit 04/22/2020 0.2 $1.8M 172k 10.65
Hennessy Cap Acqustion Corp unit 99/99/9999 0.2 $1.8M 169k 10.70
Tuscan Holdings Corp 0.2 $1.8M 182k 9.96
Churchill Cap Corp Ii cl a 0.2 $1.9M 182k 10.33
Zillow Group Inc Cl A (ZG) 0.1 $1.8M 38k 45.75
Madison Square Garden Cl A (MSGS) 0.1 $1.8M 6.0k 294.29
Mudrick Cap Acquisition Corp 0.1 $1.7M 167k 10.32
Orisun Acquisition Corp unit 99/99/9999 0.1 $1.8M 175k 10.16
Stars Group 0.1 $1.6M 60k 26.08
Fintech Acquisition Corp Iii 0.1 $1.6M 162k 10.12
Robert Half International (RHI) 0.1 $1.5M 24k 63.12
Caesars Entertainment 0.1 $1.5M 109k 13.60
Parsley Energy Inc-class A 0.1 $1.5M 78k 18.91
Audentes Therapeutics 0.1 $1.5M 26k 59.85
Canada Goose Holdings Inc shs sub vtg (GOOS) 0.1 $1.4M 40k 36.24
Thunder Brdg Acquistion Ii L Cl A 0.1 $1.5M 151k 9.95
News (NWSA) 0.1 $1.4M 99k 14.14
Shake Shack Inc cl a (SHAK) 0.1 $1.3M 23k 59.60
Condor Hospitality reit 0.1 $1.4M 129k 11.04
Bluegreen Vacations Ord 0.1 $1.4M 133k 10.34
Monocle Acquisition Corp unit 99/99/9999 0.1 $1.4M 126k 10.85
Cf Fin Acquisition Corp 0.1 $1.4M 136k 10.23
Lowe's Companies (LOW) 0.1 $1.3M 11k 119.73
iShares Silver Trust (SLV) 0.1 $1.3M 75k 16.68
Pattern Energy 0.1 $1.2M 46k 26.75
Fox Corporation (FOX) 0.1 $1.3M 36k 36.40
Us Ecology Incorporated Warrant Exp 101723 *w exp 10/17/202 0.1 $1.3M 112k 11.60
Waste Management (WM) 0.1 $1.1M 9.8k 114.02
Ladenburg Thalmann Financial Services 0.1 $1.1M 330k 3.48
Eldorado Resorts 0.1 $1.2M 20k 59.65
Yatra Online Inc ord (YTRA) 0.1 $1.1M 350k 3.15
Leisure Acquisition Corp 0.1 $1.1M 110k 10.42
Brooge Hldgs (BROG) 0.1 $1.1M 128k 8.83
Callon Pete Co Del Com Stk 0.1 $1.0M 217k 4.83
Wheaton Precious Metals Corp (WPM) 0.1 $1.1M 36k 29.76
Cf Finance Acquisition Corp cf finance acquisition -cw25 0.1 $998k 1.1M 0.87
Stewart Information Services Corporation (STC) 0.1 $938k 23k 40.78
Lyon William Homes cl a 0.1 $981k 49k 19.99
Gogo (GOGO) 0.1 $896k 140k 6.40
Wright Medical Group Nv 0.1 $914k 30k 30.47
Brooge Hldgs Ltd *w exp 12/20/202 (BROGW) 0.1 $902k 1.2M 0.74
Pretium Res Inc Com Isin# Ca74 0.1 $752k 68k 11.12
Liberty Media Corp Delaware Com A Siriusxm 0.1 $754k 16k 48.33
Innovative Industria A (IIPR) 0.1 $759k 10k 75.90
Daily Gold Miners Index Bull 3x Shs New Feb 2017 0.1 $784k 23k 34.84
National Energy Services Reu *w exp 05/05/202 0.1 $777k 863k 0.90
Legacy Acquisition Corp 0.1 $771k 75k 10.27
Lf Cap Acquisition Corp cl a 0.1 $774k 75k 10.32
Forum Merger Ii Corp cl a 0.1 $766k 75k 10.21
Dell Technologies (DELL) 0.1 $838k 16k 51.36
Crescent Acquisition Corp unit 99/99/9999 0.1 $865k 85k 10.24
AVX Corporation 0.1 $701k 34k 20.47
Liberty Media Corp Delaware Com C Braves Grp 0.1 $689k 23k 29.56
Texas Capital Bancshares (TCBI) 0.1 $568k 10k 56.80
BHP Billiton (BHP) 0.1 $547k 10k 54.70
Continental Bldg Prods 0.1 $546k 15k 36.40
Warrior Met Coal (HCC) 0.1 $528k 25k 21.12
Far Pt Acquisition Corp w exp 06/01/202 0.1 $528k 410k 1.29
Edtechx Hldgs Acquisition 0.1 $526k 51k 10.27
Spartan Energy Acquisition Cl A Ord 0.1 $559k 55k 10.16
B Riley Principal Merger Corwt warrant and righ 0.1 $559k 682k 0.82
Thunder Brdg Acquistion Ii L unit 99/99/9999 0.1 $608k 58k 10.45
Republic Services (RSG) 0.0 $493k 5.5k 89.64
CENTRAL EUROPEAN MEDIA Enterpr Com Stk 0.0 $426k 94k 4.53
Care 0.0 $420k 28k 15.03
Sirius International Insuran 0.0 $470k 54k 8.73
Organogenesis Hldgs (ORGO) 0.0 $429k 89k 4.81
Tuscan Holdings Corp tuscan holdings corp-cw26 0.0 $420k 840k 0.50
Liberty Property Trust 0.0 $330k 5.5k 60.08
Pacific Biosciences of California (PACB) 0.0 $337k 65k 5.16
Knight Swift Transn Hldgs (KNX) 0.0 $358k 10k 35.80
Hl Acquisitions Corp 0.0 $382k 37k 10.33
Gs Acquisition Hldgs Corp *w exp 06/12/202 0.0 $330k 143k 2.31
Alberton Acquisition Corp ord 0.0 $354k 34k 10.34
Collier Creek Holdings 0.0 $399k 39k 10.28
Ctacw Us 30 Sep 23 C11.5 w exp 04/10/202 0.0 $358k 163k 2.20
Virgin Galactic Holdings Inc virgin galactic holding-cw22 0.0 $394k 118k 3.35
Immunovant Inc *w exp 12/18/202 0.0 $332k 166k 2.00
Thunder Brdg Acquistion Ii L *w exp 11/30/202 0.0 $380k 422k 0.90
Just Energy Group 0.0 $240k 143k 1.68
Xperi 0.0 $210k 11k 18.46
Liberty Latin America (LILA) 0.0 $195k 10k 19.33
Trident Acquisitions Corp 0.0 $287k 27k 10.55
Tiberius Acquisition Corp w exp 02/28/202 0.0 $263k 231k 1.14
Allegro Merger Corp 0.0 $184k 18k 10.22
Gs Acquisition Holdings Cl A Ord 0.0 $181k 16k 11.01
Grshw Us 11 Sep 23 C11.5 w exp 09/11/202 0.0 $235k 152k 1.55
Chardan Healthcare Acq warrants (PHGEW) 0.0 $227k 472k 0.48
Vale (VALE) 0.0 $158k 12k 13.17
BGC Partners 0.0 $132k 22k 5.95
Rubicon Proj 0.0 $140k 17k 8.16
Rosehill Resources Inc - A warrant 0.0 $78k 865k 0.09
Big Rock Partners Acquisi Co right 12/01/2022 0.0 $105k 422k 0.25
Leo Holdings Corp *w exp 02/07/202 0.0 $101k 150k 0.67
Megalith Finl Acquisition Co warrant 0.0 $141k 442k 0.32
Alberton Acquisition Corp right 10/04/2020 0.0 $125k 570k 0.22
Loacw Us 31 Jul 25 C11.5 w exp 07/31/202 0.0 $59k 658k 0.09
Spaq/ws Us 01 Oct 23 C11.5 w exp 08/27/202 0.0 $83k 150k 0.55
Edtechx Hldgs Acquisition Co *w exp 12/31/202 0.0 $61k 169k 0.36
Dd3 Acquisition Corp *w exp 10/20/202 0.0 $115k 256k 0.45
Target Hospitality Corp *w exp 03/15/202 0.0 $155k 298k 0.52
Ranpak Hldgs Corp *w exp 06/03/202 0.0 $103k 91k 1.14
8i Enterprises Acquisiti-rts rights 0.0 $138k 364k 0.38
Netfin Acquisition Corp *w exp 08/01/202 0.0 $92k 307k 0.30
Gigcapital2 Inc *w exp 02/28/202 0.0 $124k 400k 0.31
Tuscan Hldgs Corp Ii *w exp 04/01/202 0.0 $115k 288k 0.40
Chardan Healthcare Acqu- Ord (PHGE) 0.0 $161k 17k 9.69
Rts/bristol-myers Squibb Compa 0.0 $151k 50k 3.00
Big Rock Partners Acquisi Co *w exp 12/01/202 0.0 $16k 101k 0.16
Leisure Acquisition Corp *w exp 12/05/201 0.0 $37k 35k 1.05
Trident Acquisitions Corp *w exp 05/09/202 0.0 $4.0k 37k 0.11
Forum Merger Ii Corp warrant 0.0 $18k 39k 0.46
Graf Indl Corp *w exp 12/31/202 0.0 $14k 32k 0.44
Alacw Us 21 Nov 23 C11.5 w exp 04/26/202 0.0 $14k 235k 0.06
Amci Acquisition Corp *w exp 05/20/202 0.0 $26k 83k 0.32
Wealthbridge Acquisition Ltd right 11/02/2023 0.0 $15k 45k 0.34
Hennessy Cap Acqustion Corp *w exp 09/05/202 0.0 $40k 50k 0.80
Diamondpeak Hldgs Cor *w exp 02/22/202 0.0 $12k 15k 0.79
8i Enterprises Acquisi -cw25 warrants 0.0 $49k 141k 0.35
Greenland Technologs Hldg (GTEC) 0.0 $25k 10k 2.50