K2 Principal Fund

K2 Principal Fund as of March 31, 2020

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 211 positions in its portfolio as reported in the March 2020 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
SPDR Dow Jones Industrial Average ETF (DIA) 6.2 $33M 150k 219.24
SPDR Gold Trust (GLD) 3.5 $19M 125k 148.05
Qualcomm (QCOM) 3.4 $18M 268k 67.64
iShares IBoxx $ Invest Grade Corp Bd (LQD) 2.9 $15M 122k 123.50
Spdr Bloomberg Barclays High Yield Bond Etf etf (JNK) 2.7 $14M 150k 94.74
Weyerhaeuser Company (WY) 2.7 $14M 835k 16.95
iShares iBoxx $ High Yid Corp Bond (HYG) 2.2 $12M 150k 77.07
Tuscan Holdings Corp 2.2 $12M 1.1M 9.97
Tuscan Holdings Ii Acq Corp 2.1 $11M 1.1M 9.75
TJX Companies (TJX) 2.0 $11M 222k 47.81
Fintech Acquisition Corp Iii 1.9 $10M 999k 10.01
Bunge 1.9 $9.8M 239k 41.03
Cf Fin Acquisition Corp unit 04/30/2025 1.8 $9.5M 895k 10.65
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 1.8 $9.4M 80k 117.14
Docusign Inc convertible security 1.6 $8.5M 6.0k 1409.83
Churchill Cap Corp Ii cl a 1.6 $8.4M 843k 9.95
Collier Creek Holdings 1.6 $8.3M 810k 10.23
Allergan 1.6 $8.2M 46k 177.09
Collier Creek Holdings unit 99/99/9999 1.5 $8.2M 770k 10.60
Colony Starwood Homes convertible security 1.5 $7.9M 7.5k 1057.47
Apex Technology Acquisitn Co unit 06/11/2026 1.5 $7.8M 777k 10.00
salesforce (CRM) 1.4 $7.2M 50k 144.00
Wright Medical Group Nv 2.25 20211115 1.3 $6.9M 5.0k 1384.60
Proofpoint 1.2 $6.6M 64k 102.58
Spartan Energy Acquisition Cl A Ord 1.1 $5.9M 588k 10.12
iShares Lehman Aggregate Bond (AGG) 1.1 $5.8M 50k 115.38
Stable Rd Acquisition Corp unit 05/15/2026 1.1 $5.6M 561k 10.05
Churchill Capital Iii Corp 1.1 $5.6M 556k 10.00
Avaya Holdings Corp convertible security 1.0 $5.2M 7.0k 751.22
Insurance Acquisition Corp unit 03/31/2024 1.0 $5.2M 502k 10.38
Amci Acquisition Corp unit 01/07/2019 1.0 $5.2M 500k 10.30
Lf Cap Acquisition Corp cl a 1.0 $5.1M 502k 10.25
Aerojet Rocketdyne Hldgs Inc Note 2.25012/1 bnd 0.9 $5.0M 3.0k 1657.00
Gain Cap Hldgs Inc bond 0.9 $4.9M 5.0k 980.00
Etf Managers Tr tierra xp latin 0.9 $4.6M 400k 11.40
eBay (EBAY) 0.9 $4.5M 150k 30.06
Norbord 0.8 $4.4M 266k 16.65
Louisiana-Pacific Corporation (LPX) 0.8 $4.3M 252k 17.17
Leisure Acquisition Corp 0.8 $4.2M 410k 10.30
Zillow Group Inc note 2.000%12/0 0.8 $4.0M 4.0k 1002.00
Oaktree Acquisition Corp shs cl a 0.8 $4.0M 400k 10.00
Landcadia Holdings Ii Unt 0.8 $4.0M 405k 9.80
Scorpio Tankers Inc note 3.000% 5/1 0.7 $3.9M 4.8k 812.50
Magnachip Semiconductor Corp (MX) 0.7 $3.9M 350k 11.05
International Paper Company (IP) 0.7 $3.8M 123k 31.13
Hubspot convertible security 0.7 $3.7M 2.5k 1490.00
Netfin Acquisition Corp unit 08/01/2024 0.7 $3.7M 368k 10.07
Gogo Inc note 6.000% 5/1 0.7 $3.7M 5.9k 620.00
iShares Silver Trust (SLV) 0.7 $3.6M 275k 13.05
Forum Merger Ii Corp cl a 0.7 $3.6M 347k 10.29
Dexcom Inc convertible security 0.6 $3.3M 1.9k 1732.11
Arya Sciences Acquisition-a shs cl a 0.6 $3.2M 310k 10.18
Proptech Acquisition Corpora unit 10/01/2026 0.6 $3.1M 311k 9.94
Atlas Air Worldwide Hldgs In note 2.250% 6/0 0.6 $3.1M 3.7k 839.50
Waste Connections (WCN) 0.6 $3.1M 28k 109.18
Pivotal Invt Corp Ii unit 06/01/2025 0.6 $3.0M 299k 9.96
Churchill Cap Corp Ii unit 99/99/9999 0.5 $2.9M 276k 10.34
Twitter Inc note 0.250% 6/1 0.5 $2.7M 3.0k 891.00
Travelers Companies (TRV) 0.5 $2.6M 27k 99.36
Dycom Inds Inc Note 0.750% 9/1 bond 0.5 $2.6M 3.0k 857.67
Depomed Inc conv 0.5 $2.5M 2.5k 984.80
McDonald's Corporation (MCD) 0.4 $2.3M 14k 165.36
8i Enterprises Acquisitin 0.4 $2.3M 228k 10.09
Stars Group 0.4 $2.2M 110k 20.42
Cf Fin Acquisition Corp 0.4 $2.2M 212k 10.29
Osprey Technlgy Aquistion Co unit 10/30/2024 0.4 $2.2M 220k 9.76
Knight Swift Transn Hldgs (KNX) 0.4 $2.1M 65k 32.80
Cloudera 0.4 $2.1M 270k 7.87
iShares S&P NA Tec.-SW. Idx. Fund (IGV) 0.4 $2.1M 10k 210.30
Pure Acquisition Corp cl a 0.4 $2.1M 200k 10.39
Microsoft Corporation (MSFT) 0.4 $2.0M 13k 157.69
Waste Management (WM) 0.4 $2.0M 22k 92.60
Insurance Acquisition Corp cl a 0.4 $2.0M 201k 10.06
Nuvasive Inc note 2.250% 3/1 0.4 $2.0M 1.9k 1038.68
Charles Schwab Corporation (SCHW) 0.4 $2.0M 60k 33.62
Atlas Air Worldwide Holdings 0.4 $1.9M 75k 25.67
Innovative Industria A (IIPR) 0.4 $1.9M 25k 75.91
Alberton Acquisition Corp ord 0.4 $1.9M 177k 10.50
Clearwater Paper (CLW) 0.3 $1.7M 80k 21.81
Rio Tinto (RIO) 0.3 $1.7M 37k 45.56
3M Company (MMM) 0.3 $1.6M 12k 136.45
Vaneck Vectors Gold Miners mutual (GDX) 0.3 $1.6M 70k 23.04
Aurinia Pharmaceuticals (AUPH) 0.3 $1.6M 111k 14.51
Agnico (AEM) 0.3 $1.6M 40k 39.80
Marriott Vacation Worldw convertible security 0.3 $1.6M 2.0k 780.50
Far Pt Acquisition Corp cl a founders sh 0.3 $1.5M 151k 10.12
Amci Acquisition Corp class a 0.3 $1.5M 146k 10.16
Morgan Stanley (MS) 0.3 $1.5M 43k 34.00
Sprint 0.3 $1.5M 168k 8.62
Visa (V) 0.3 $1.4M 8.6k 161.13
Utilities SPDR (XLU) 0.3 $1.4M 25k 55.40
Microchip Technology (MCHP) 0.3 $1.4M 20k 67.80
Texas Capital Bancshares (TCBI) 0.2 $1.3M 58k 22.17
Gordon Pointe Acquisition 0.2 $1.2M 116k 10.60
Northrop Grumman Corporation (NOC) 0.2 $1.2M 4.0k 302.50
Seacor Holdings Inc note 2.500%12/1 0.2 $1.2M 1.4k 830.88
Spirit AeroSystems Holdings (SPR) 0.2 $1.2M 49k 23.92
Carolina Financial 0.2 $1.1M 43k 25.86
Tiffany & Co. 0.2 $1.1M 8.4k 129.52
Shake Shack Inc cl a (SHAK) 0.2 $1.1M 28k 37.77
Nebula Acquisition Corp 0.2 $1.0M 101k 10.15
Zillow Group Inc Cl A (ZG) 0.2 $1.0M 30k 33.97
Energy Select Sector SPDR (XLE) 0.2 $1.0M 35k 29.06
Brooge Hldgs Ltd *w exp 12/20/202 (BROGW) 0.2 $1000k 1.2M 0.80
Gores Metropoulos 0.2 $991k 98k 10.16
Bausch Health Companies (BHC) 0.2 $930k 60k 15.50
Fgl Holdings 0.2 $905k 92k 9.80
Viacomcbs (PARA) 0.2 $899k 64k 14.00
Warrior Met Coal (HCC) 0.2 $888k 84k 10.61
Newborn Acquisition Corp unit 99/99/9999 0.2 $874k 90k 9.70
Legg Mason 0.2 $855k 18k 48.86
MasterCard Incorporated (MA) 0.2 $845k 3.5k 241.43
Franklin Resources (BEN) 0.2 $835k 50k 16.70
Robert Half International (RHI) 0.2 $819k 22k 37.74
WABCO Holdings 0.1 $764k 5.7k 135.10
Taubman Centers 0.1 $752k 18k 41.89
BHP Billiton (BHP) 0.1 $719k 20k 36.68
Tuscan Holdings Corp tuscan holdings corp-cw26 0.1 $703k 1.8M 0.39
Cf Finance Acquisition Corp cf finance acquisition -cw25 0.1 $697k 1.4M 0.50
Oshkosh Corporation (OSK) 0.1 $643k 10k 64.30
stock 0.1 $631k 5.0k 126.20
Merit Medical Systems (MMSI) 0.1 $625k 20k 31.25
Cae (CAE) 0.1 $608k 34k 17.78
Thunder Brdg Acquistion Ii L unit 99/99/9999 0.1 $593k 58k 10.19
Collier Creek Holdings *w exp 99/99/999 0.1 $567k 420k 1.35
Trident Acquisitions Corp 0.1 $531k 49k 10.83
Sirius International Insuran 0.1 $512k 60k 8.50
Gogo (GOGO) 0.1 $511k 241k 2.12
Us Ecology Incorporated Warrant Exp 101723 *w exp 10/17/202 0.1 $492k 112k 4.40
Advanced Disposal Services I 0.1 $492k 15k 32.80
Alteryx 0.1 $476k 5.0k 95.20
El Paso Electric Company 0.1 $469k 6.9k 67.97
Docusign (DOCU) 0.1 $462k 5.0k 92.40
Adesto Technologies 0.1 $460k 41k 11.20
Citic Capital Acquisition unit 0.1 $452k 46k 9.86
Navistar International Corporation 0.1 $438k 27k 16.47
United States Oil Fund 0.1 $421k 100k 4.21
Harmony Gold Mining (HMY) 0.1 $413k 190k 2.18
Avaya Holdings Corp 0.1 $405k 50k 8.10
Liberty Media Corp Delaware Com C Braves Grp 0.1 $381k 20k 19.05
Netflix (NFLX) 0.1 $376k 1.0k 376.00
Arya Sciences Acquisition Co *w exp 10/10/202 0.1 $361k 196k 1.84
Liberty Latin America Ser C (LILAK) 0.1 $359k 35k 10.26
Discovery Communications 0.1 $353k 20k 17.56
Pretium Res Inc Com Isin# Ca74 0.1 $353k 44k 8.02
Apex Technology Acquisitn 0.1 $347k 36k 9.76
Wealthbridge Acquisition 0.1 $338k 33k 10.23
Delphi Technologies 0.1 $335k 42k 8.06
Hubspot (HUBS) 0.1 $333k 2.5k 133.20
Vale (VALE) 0.1 $332k 40k 8.30
News Corp Class B cos (NWS) 0.1 $320k 36k 8.98
United States Steel Corporation (X) 0.1 $316k 50k 6.32
Immunovant Inc *w exp 12/18/202 0.1 $305k 127k 2.40
Thunder Brdg Acquistion Ii L *w exp 11/30/202 0.1 $295k 422k 0.70
Ssr Mining (SSRM) 0.1 $285k 25k 11.40
Kinross Gold Corp (KGC) 0.1 $283k 50k 5.66
Chardan Healthcare Acq warrants (PHGEW) 0.1 $273k 455k 0.60
National Energy Services Reu *w exp 05/05/202 0.0 $256k 775k 0.33
IBERIABANK Corporation 0.0 $251k 6.9k 36.13
Tenzing Acquisition Corp ord 0.0 $246k 23k 10.53
Sc Health Corp *w exp 99/99/999 0.0 $239k 250k 0.96
Equinox Gold Corp equities (EQX) 0.0 $227k 24k 9.38
Fintech Acquisition Corp Iii *w exp 12/01/202 0.0 $227k 378k 0.60
Nebula Acquisition Corp *w exp 03/12/202 0.0 $219k 217k 1.01
Longevity Acquisition Corp ord 0.0 $217k 21k 10.43
8i Enterprises Acquisiti-rts rights 0.0 $192k 493k 0.39
Rts/bristol-myers Squibb Compa 0.0 $191k 50k 3.80
Graf Industrial Corp 0.0 $162k 16k 10.17
Allegro Merger Corp 0.0 $161k 14k 11.28
Greenrose Acquisition Corp unit 02/28/2024 (GNRSU) 0.0 $158k 16k 9.69
Alberton Acquisition Corp right 10/04/2020 0.0 $146k 767k 0.19
Eldorado Resorts 0.0 $144k 10k 14.40
Landcadia Holdings Ii -cw warrants 0.0 $132k 330k 0.40
Cymabay Therapeutics 0.0 $123k 83k 1.48
Gigcapital2 Inc *w exp 02/28/202 0.0 $123k 400k 0.31
Tuscan Hldgs Corp Ii *w exp 04/01/202 0.0 $123k 585k 0.21
Telaria 0.0 $122k 20k 5.98
Healthcare Merger Corp *w exp 12/17/202 0.0 $111k 118k 0.94
Netfin Acquisition Corp *w exp 08/01/202 0.0 $110k 282k 0.39
Apex Technology Acquisitn Co *w exp 09/18/202 0.0 $109k 121k 0.90
Haymaker Acquisition Corp Ii 0.0 $103k 11k 9.75
Far Pt Acquisition Corp w exp 06/01/202 0.0 $92k 171k 0.54
Loacw Us 31 Jul 25 C11.5 w exp 07/31/202 0.0 $92k 834k 0.11
Trine Acquisition Corp *w exp 03/31/202 0.0 $72k 120k 0.60
Churchill Cap Corp Ii *w exp 07/02/202 0.0 $72k 50k 1.44
Haymaker Acquisition Corp Ii *w exp 10/31/202 0.0 $65k 62k 1.04
Union Acquisition Corp Ii *w exp 04/01/202 0.0 $62k 249k 0.25
Hennessy Cap Acqustion Corp *w exp 09/05/202 0.0 $62k 177k 0.35
Replay Acquisition -cw20 warrants 0.0 $59k 99k 0.59
Insurance Acquisition Corp *w exp 03/31/202 0.0 $58k 100k 0.58
Big Rock Partners Acquisi Co right 12/01/2022 0.0 $57k 627k 0.09
Wealthbridge Acquisition Ltd right 11/02/2023 0.0 $56k 122k 0.46
Lf Capital Acquisition Corp lf capital acquisition-cw23 0.0 $50k 277k 0.18
Finserv Acquisition Corp *w exp 11/04/202 0.0 $47k 85k 0.55
Spaq/ws Us 01 Oct 23 C11.5 w exp 08/27/202 0.0 $37k 124k 0.30
Andina Acquisition Corp Iii right 07/31/2020 0.0 $35k 244k 0.14
Monocle Acquisition Corp monocle acquisition cor-cw24 0.0 $32k 106k 0.30
Longevity Acquisition Corp right 07/31/2020 0.0 $30k 200k 0.15
Rosehill Resources Inc - A warrant 0.0 $26k 865k 0.03
Target Hospitality Corp *w exp 03/15/202 0.0 $26k 134k 0.19
BGC Partners 0.0 $25k 10k 2.50
Orisun Acquisition Corp right 05/31/2024 0.0 $24k 160k 0.15
Pitney Bowes (PBI) 0.0 $24k 12k 2.03
Gores Metropoulos Inc *w exp 01/28/202 0.0 $20k 40k 0.50
Amci Acquisition Corp *w exp 05/20/202 0.0 $17k 97k 0.18
8i Enterprises Acquisi -cw25 warrants 0.0 $17k 96k 0.18
Big Rock Partners Acquisi Co *w exp 12/01/202 0.0 $14k 221k 0.06
Alacw Us 21 Nov 23 C11.5 w exp 04/26/202 0.0 $12k 406k 0.03
Graf Indl Corp *w exp 12/31/202 0.0 $8.0k 82k 0.10
Allegro Merger Corp right 12/31/2023 0.0 $7.0k 74k 0.09
Trident Acquisitions Corp *w exp 05/09/202 0.0 $3.0k 37k 0.08