K2 Principal Fund

K2 Principal Fund as of June 30, 2017

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 280 positions in its portfolio as reported in the June 2017 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
PowerShares QQQ Trust, Series 1 12.8 $193M 1.4M 137.64
Alphabet Inc Class A cs (GOOGL) 6.0 $90M 97k 929.68
Bristol Myers Squibb (BMY) 3.9 $59M 1.0M 55.72
iShares Barclays 20+ Yr Treas.Bond (TLT) 2.7 $41M 331k 125.12
Dominion Diamond Corp foreign 2.7 $41M 3.3M 12.56
Time Warner 2.5 $38M 380k 100.41
Financial Select Sector SPDR (XLF) 2.2 $34M 1.4M 24.67
At&t (T) 1.9 $29M 761k 37.72
Vantage Energy Acquisition 1.6 $24M 2.5M 9.75
Altaba 1.6 $24M 441k 54.48
Wheaton Precious Metals Corp (WPM) 1.5 $23M 1.2M 19.89
Spdr S&p 500 Etf (SPY) 1.4 $22M 90k 241.75
Nxp Semiconductors N V (NXPI) 1.4 $22M 200k 109.45
Louisiana-Pacific Corporation (LPX) 1.4 $22M 900k 24.11
SPDR S&P Biotech (XBI) 1.4 $22M 280k 77.18
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 1.4 $21M 260k 81.86
Mobileye 1.4 $21M 337k 62.80
Kayne Anderson Acquisition 1.3 $19M 2.0M 9.72
National Energy Services Reu (NESR) 1.3 $19M 2.0M 9.55
Cypress Semiconductor Corporation 1.2 $18M 1.3M 13.65
Tpg Pace Energy Hldgs Corp cl a 1.2 $18M 1.7M 10.06
Harmony Merger 1.0 $15M 1.4M 10.33
B2gold Corp conv 0.9 $14M 13k 1051.23
VCA Antech 0.9 $13M 141k 92.31
Amc Entmt Hldgs Inc Cl A 0.8 $13M 549k 22.75
Paypal Holdings (PYPL) 0.8 $12M 230k 53.67
Tpg Pace Holdings Corp 0.8 $12M 1.2M 10.26
iShares Silver Trust (SLV) 0.8 $12M 775k 15.71
Syneron Medical Ltd ord 0.8 $12M 1.1M 10.95
Alibaba Group Holding (BABA) 0.8 $12M 86k 140.90
Brocade Communications conv 0.8 $12M 12k 1015.09
Netflix (NFLX) 0.8 $12M 78k 149.42
Rice Energy 0.7 $11M 409k 26.63
Reynolds American 0.7 $10M 161k 65.04
NVIDIA Corporation (NVDA) 0.7 $9.8M 68k 144.57
Dell Technologies Inc Class V equity 0.7 $9.8M 160k 61.11
Diebold Incorporated 0.6 $9.7M 346k 28.00
ShoreTel 0.6 $9.6M 1.6M 5.80
Apple (AAPL) 0.6 $9.4M 65k 144.03
Hennessy Cap Acquston Corp I unit 06/15/2024 0.6 $9.1M 900k 10.06
Whole Foods Market 0.6 $8.7M 208k 42.11
KapStone Paper and Packaging 0.6 $8.7M 422k 20.63
Csra 0.5 $7.8M 245k 31.75
Huntsman Corporation (HUN) 0.5 $7.8M 300k 25.84
VMware 0.5 $7.5M 86k 87.43
Qualcomm (QCOM) 0.5 $7.2M 130k 55.22
General Motors Company (GM) 0.5 $7.2M 208k 34.92
Valeant Pharmaceuticals Int 0.5 $6.9M 400k 17.31
Ubiquiti Networks 0.5 $6.8M 130k 51.96
Blackberry (BB) 0.5 $6.8M 682k 9.99
Modern Media Acquisition 0.5 $6.8M 700k 9.77
Ford Motor Company (F) 0.4 $6.7M 600k 11.16
Gores Hldgs Ii 0.4 $6.5M 650k 10.03
Panera Bread Company 0.4 $6.2M 20k 314.66
DigitalGlobe 0.4 $6.2M 187k 33.30
TJX Companies (TJX) 0.4 $6.0M 83k 72.16
Tesla Motors (TSLA) 0.4 $6.0M 17k 361.62
Silver Standard Resources Inc note 2.875 2/0 0.4 $5.8M 6.0k 970.00
Silver Run Acquisition 0.4 $5.8M 574k 10.13
Forum Merger Corp - A 0.4 $5.7M 591k 9.71
Enernoc, Inc. conv 0.4 $5.5M 5.5k 994.55
Waste Connections (WCN) 0.3 $5.3M 82k 64.42
Mylan Nv 0.3 $5.1M 130k 38.82
Alphabet Inc Class C cs (GOOG) 0.3 $5.1M 5.6k 908.82
Constellation Alpha Capital unit 99/99/9999 0.3 $5.1M 500k 10.14
Colgate-Palmolive Company (CL) 0.3 $5.0M 68k 74.12
DuPont Fabros Technology 0.3 $5.0M 81k 61.15
Kbl Merger Corp Iv 0.3 $4.9M 509k 9.70
United Parcel Service (UPS) 0.3 $4.9M 44k 110.57
Fintech Acquisition Corp Ii 0.3 $4.9M 500k 9.80
Gas Nat 0.3 $4.6M 357k 12.92
Microsoft Corporation (MSFT) 0.3 $4.5M 66k 68.94
Staples 0.3 $4.6M 456k 10.07
Saban Cap Acquisition 0.3 $4.5M 450k 10.00
Sprint 0.3 $4.4M 538k 8.21
Chicago Bridge & Iron Company 0.3 $4.3M 216k 19.73
Bunge 0.3 $4.1M 55k 74.60
Morgan Stanley (MS) 0.3 $4.0M 90k 44.55
Winnebago Industries (WGO) 0.3 $4.0M 114k 35.00
Praxair 0.3 $4.1M 31k 132.56
Marvell Technology Group 0.3 $4.0M 245k 16.52
TransDigm Group Incorporated (TDG) 0.3 $4.0M 15k 268.90
M I Acquisitions 0.3 $4.1M 405k 10.02
Rosehill Resources 0.3 $4.1M 488k 8.34
First Potomac Realty Trust 0.3 $3.9M 347k 11.11
Synchrony Financial (SYF) 0.3 $3.9M 130k 29.82
Matlin & Partners Acquisitio cl a 0.3 $3.9M 400k 9.66
Hormel Foods Corporation (HRL) 0.2 $3.7M 109k 34.11
Deltic Timber Corporation 0.2 $3.8M 51k 74.66
Direxion Shs Etf Tr Daily Gold Miner 0.2 $3.8M 124k 30.97
Gty Technology Holdings Inc cl a 0.2 $3.8M 377k 10.10
Nxp Semiconductors N V dbcv 1.000% 12/0 0.2 $3.6M 3.0k 1192.00
Astoria Financial Corporation 0.2 $3.4M 171k 20.15
Entercom Communications 0.2 $3.5M 338k 10.35
Novadaq Technologies 0.2 $3.5M 300k 11.72
Ambarella (AMBA) 0.2 $3.4M 70k 48.56
Electrum Spl Acquisition Cor 0.2 $3.5M 343k 10.09
Avista Healthcare Pub Acq Co cl a 0.2 $3.4M 350k 9.85
Spirit Airlines 0.2 $3.3M 64k 51.65
Sears Holdings Corporation 0.2 $3.1M 351k 8.87
Gp Invts Acquisition Cor 0.2 $3.0M 299k 10.01
Double Eagle Acquisition Cor 0.2 $3.1M 306k 10.00
Blackstone 0.2 $2.8M 85k 33.35
Restaurant Brands Intl Inc Com equity / large cap (QSR) 0.2 $2.9M 46k 62.54
Priceline Group Inc/the conv 0.2 $2.9M 2.5k 1147.20
Walt Disney Company (DIS) 0.2 $2.7M 25k 106.24
Onebeacon Insurance Group Ltd Cl-a 0.2 $2.8M 152k 18.23
Barington Hilco Acquisition 0.2 $2.8M 271k 10.20
Aegerion Pharmaceuticals 2% Du cvbond 0.2 $2.7M 3.4k 790.00
Intel Corporation (INTC) 0.2 $2.5M 75k 33.75
Amazon (AMZN) 0.2 $2.5M 2.6k 968.05
Vwr Corp cash securities 0.2 $2.6M 79k 33.00
Landcadia Hldgs Inc cl a 0.2 $2.5M 250k 10.12
Snap Inc cl a (SNAP) 0.2 $2.6M 148k 17.78
NRG Energy (NRG) 0.2 $2.4M 140k 17.23
Monsanto Company 0.2 $2.4M 20k 118.38
Genuine Parts Company (GPC) 0.2 $2.4M 26k 92.75
Thor Industries (THO) 0.2 $2.4M 24k 104.47
WebMD Health 0.2 $2.3M 40k 58.65
Maxim Integrated Products 0.1 $2.2M 50k 44.90
KLA-Tencor Corporation (KLAC) 0.1 $2.3M 25k 91.52
Forestar Group Inc note 0.1 $2.2M 2.2k 1023.69
Select Energy Svcs Inc cl a (WTTR) 0.1 $2.2M 183k 12.15
O'reilly Automotive (ORLY) 0.1 $2.2M 10k 218.50
Level 3 Communications 0.1 $2.1M 35k 59.31
Fireeye 0.1 $2.1M 135k 15.21
Gastar Exploration 0.1 $2.1M 2.3M 0.93
Quinpario Acquisition Corp 2 0.1 $2.1M 209k 9.92
Nike (NKE) 0.1 $2.0M 33k 59.01
Dollar Tree (DLTR) 0.1 $2.0M 29k 69.92
Enbridge (ENB) 0.1 $2.0M 49k 39.81
Hrg 0.1 $2.0M 114k 17.71
Pacific Spl Acquisition Corp 0.1 $2.0M 201k 10.00
Liberty Media Corp Delaware Com A Siriusxm 0.1 $2.0M 49k 41.98
Bison Cap Acquisition Corp unit 99/99/9999t 0.1 $1.9M 185k 10.20
DISH Network 0.1 $1.9M 30k 62.77
NCR Corporation (VYX) 0.1 $1.8M 45k 40.84
FelCor Lodging Trust Incorporated 0.1 $1.9M 257k 7.21
Proshares Tr ultrapro qqq (TQQQ) 0.1 $1.8M 18k 97.56
Intrawest Resorts Holdings 0.1 $1.8M 76k 23.73
M Iii Acquisition Corp equities 0.1 $1.8M 185k 9.80
Westar Energy 0.1 $1.6M 30k 53.03
Turkish Investment Fund 0.1 $1.7M 178k 9.64
Ally Financial (ALLY) 0.1 $1.7M 80k 20.90
Oi Sa - (OIBZQ) 0.1 $1.7M 277k 6.04
Horizon Pharma Plc convertible security 0.1 $1.7M 2.0k 862.50
Berkshire Hathaway (BRK.B) 0.1 $1.6M 9.2k 169.41
Cabela's Incorporated 0.1 $1.6M 27k 59.44
Weyerhaeuser Company (WY) 0.1 $1.6M 47k 33.51
Atwood Oceanics 0.1 $1.6M 191k 8.15
Cheesecake Factory Incorporated (CAKE) 0.1 $1.5M 30k 50.30
BorgWarner (BWA) 0.1 $1.6M 37k 42.35
United States Steel Corporation 0.1 $1.4M 65k 22.13
Liberty Media Corp Del Com Ser 0.1 $1.6M 45k 35.02
C.H. Robinson Worldwide (CHRW) 0.1 $1.3M 19k 68.68
American Axle & Manufact. Holdings 0.1 $1.4M 89k 15.60
Hldgs (UAL) 0.1 $1.3M 17k 75.26
Mallinckrodt Pub 0.1 $1.3M 30k 44.80
Arbutus Biopharma (ABUS) 0.1 $1.4M 376k 3.60
Rosehill Resources Inc - A warrant 0.1 $1.3M 1.2M 1.10
JPMorgan Chase & Co. (JPM) 0.1 $1.2M 14k 91.45
Visa (V) 0.1 $1.2M 13k 93.79
Aaron's 0.1 $1.2M 30k 38.93
Mosaic (MOS) 0.1 $1.1M 50k 22.84
Tribune Co New Cl A 0.1 $1.2M 30k 40.77
Fox News 0.1 $1.2M 43k 27.86
Kate Spade & Co 0.1 $1.2M 64k 18.48
Liberty Tripadvisor Hldgs (LTRPA) 0.1 $1.2M 105k 11.60
Cf Corp shs cl a 0.1 $1.2M 105k 11.25
Colony Northstar 0.1 $1.2M 84k 14.09
Alteryx 0.1 $1.2M 63k 19.52
Delta Air Lines (DAL) 0.1 $1.1M 21k 53.76
Neustar 0.1 $990k 30k 33.36
HEICO Corporation (HEI.A) 0.1 $1.0M 17k 62.06
Western Asset Emerging Mrkts Dbt Fnd (EMD) 0.1 $1.0M 66k 15.56
Fairpoint Communications 0.1 $996k 64k 15.65
Wolverine Bancorp 0.1 $1.0M 25k 40.12
Gnc Holdings Inc Cl A 0.1 $989k 117k 8.42
National Energy Services Reu *w exp 05/05/202 (NESRW) 0.1 $1.1M 2.0M 0.55
Vantage Energy Acquisition w exp 04/12/202 0.1 $1.0M 833k 1.25
Biogen Idec (BIIB) 0.1 $977k 3.6k 271.39
Ecopetrol (EC) 0.1 $867k 96k 9.08
ARI Network Services 0.1 $936k 133k 7.05
Kraft Heinz (KHC) 0.1 $907k 11k 85.61
Market Vectors Etf Tr Oil Svcs 0.1 $868k 35k 24.80
Pfizer (PFE) 0.1 $725k 22k 33.60
Nordstrom 0.1 $818k 17k 47.85
Foot Locker 0.1 $724k 15k 49.25
Advance Auto Parts (AAP) 0.1 $700k 6.0k 116.67
Edgewater Technology 0.1 $747k 110k 6.80
BGC Partners 0.1 $736k 58k 12.64
Celgene Corporation 0.1 $684k 5.3k 129.91
Pacific Continental Corporation 0.1 $825k 32k 25.56
EnerNOC 0.1 $702k 91k 7.75
Twenty-first Century Fox 0.1 $709k 25k 28.36
Pangaea Logistics Solution L (PANL) 0.1 $708k 255k 2.78
Nielsen Hldgs Plc Shs Eur 0.1 $809k 21k 38.64
Patheon N V 0.1 $719k 21k 34.88
Tpg Pace Energy Hldgs Corp w exp 99/99/999 0.1 $823k 583k 1.41
Vale (VALE) 0.0 $613k 70k 8.75
Republic Services (RSG) 0.0 $637k 10k 63.70
Dick's Sporting Goods (DKS) 0.0 $620k 16k 39.84
Wells Fargo & Company (WFC) 0.0 $554k 10k 55.40
Ross Stores (ROST) 0.0 $577k 10k 57.70
AutoZone (AZO) 0.0 $627k 1.1k 570.00
Alere 0.0 $528k 11k 50.21
CHECK POINT SOFTWARE Technolog Com Stk (CHKP) 0.0 $530k 4.9k 109.12
Macerich Company (MAC) 0.0 $581k 10k 58.10
Direxion Daily Small Cp Bull 3X (TNA) 0.0 $670k 12k 55.83
Kcg Holdings Inc Cl A 0.0 $609k 31k 19.93
Twitter 0.0 $536k 30k 17.87
Fidelity Natl Inc New Fnfv Group Com Isin #us31620r4020 0.0 $559k 35k 15.81
BlackRock 0.0 $422k 1.0k 422.00
PAREXEL International Corporation 0.0 $521k 6.0k 86.83
Marathon Oil Corporation (MRO) 0.0 $457k 39k 11.84
Alon USA Energy 0.0 $442k 33k 13.33
Kinross Gold Corp (KGC) 0.0 $421k 104k 4.05
Oclaro 0.0 $467k 50k 9.34
WisdomTree Japan Total Dividend (DXJ) 0.0 $397k 7.6k 52.07
Fortuna Silver Mines 0.0 $418k 86k 4.89
4068594 Enphase Energy (ENPH) 0.0 $379k 441k 0.86
Liberty Global Inc C 0.0 $433k 14k 31.15
Independence Realty Trust In (IRT) 0.0 $437k 44k 9.87
Pattern Energy 0.0 $418k 18k 23.81
Tucows, Inc. Cmn Class A (TCX) 0.0 $433k 8.1k 53.46
Xenon Pharmaceuticals (XENE) 0.0 $518k 165k 3.15
Andina Acquisition Corp Ii 0.0 $428k 42k 10.11
Cf Corp *w exp 05/25/202 0.0 $453k 211k 2.15
Gores Hldin-cw20 equity wrt 0.0 $524k 180k 2.91
Lions Gate Entmnt Corp cl b non vtg 0.0 $394k 15k 26.27
Canada Goose Holdings Inc shs sub vtg (GOOS) 0.0 $475k 24k 19.80
Kayne Anderson Acquisition *w exp 06/30/202 0.0 $514k 659k 0.78
Boyd Gaming Corporation (BYD) 0.0 $241k 9.7k 24.83
Discovery Communications 0.0 $358k 14k 25.21
Magna Intl Inc cl a (MGA) 0.0 $278k 6.0k 46.33
Credit Acceptance (CACC) 0.0 $257k 1.0k 257.00
Under Armour (UAA) 0.0 $355k 16k 21.78
Seabridge Gold (SA) 0.0 $327k 30k 10.79
Mgp Ingredients Inc Common Sto (MGPI) 0.0 $307k 6.0k 51.17
Sandstorm Gold (SAND) 0.0 $251k 65k 3.87
Ringcentral (RNG) 0.0 $366k 10k 36.60
Covisint 0.0 $352k 144k 2.45
Trillium Therapeutics, Inc. Cmn 0.0 $264k 60k 4.40
Harmony Merger Corp w exp 01/01/202 0.0 $279k 349k 0.80
Liberty Expedia Holdings ser a 0.0 $322k 6.0k 53.96
Saban Cap Acquisition Corp *w exp 09/21/202 0.0 $281k 225k 1.25
Stellar Acquisition Iii 0.0 $321k 32k 10.03
Fintech Acquisition Corp Ii *w exp 01/19/202 0.0 $275k 250k 1.10
Gores Hldgs Ii Inc *w exp 03/06/202 0.0 $323k 217k 1.49
Silver Run Acquisition *w exp 03/28/202 0.0 $316k 177k 1.79
Modern Media Acquisition right 99/99/9999 0.0 $266k 700k 0.38
Office Depot 0.0 $86k 15k 5.64
Forestar 0.0 $180k 11k 17.14
AEGEAN MARINE PETROLEUM Networ Com Stk 0.0 $100k 17k 5.85
Exeter Res Corp 0.0 $127k 82k 1.54
Nevsun Res 0.0 $169k 70k 2.41
Rlj Lodging Trust (RLJ) 0.0 $219k 11k 19.91
Asanko Gold 0.0 $107k 70k 1.53
News Corp Class B cos (NWS) 0.0 $204k 14k 14.17
Axalta Coating Sys (AXTA) 0.0 $202k 6.3k 32.10
Windstream Holdings 0.0 $186k 48k 3.87
Liberty Global 0.0 $214k 10k 21.40
Easterly Acquisition 0.0 $113k 11k 10.08
Nexeo Solutions Inc *w exp 06/09/202 0.0 $132k 249k 0.53
Landcadia Hldgs Inc *w exp 06/01/202 0.0 $190k 250k 0.76
M Iii Acquisition Corp *w exp 10/10/202 0.0 $81k 180k 0.45
Conyers Pk Acquisition *w exp 07/20/202 0.0 $131k 50k 2.62
Avista Healthcare Pub Acq Co w exp 99/99/999 0.0 $158k 350k 0.45
Gty Technology Holdings Inc w exp 99/99/999 0.0 $138k 126k 1.10
M I Acquisitions Inc *w exp 99/99/999 0.0 $120k 400k 0.30
Forum Merger Corp *w exp 06/01/202 0.0 $100k 293k 0.34
Forum Merger Corp right 06/01/2019 0.0 $207k 591k 0.35
Modern Media Acquisition w exp 05/17/202 0.0 $126k 350k 0.36
Kbl Merger Corp Iv *w exp 01/15/202 0.0 $92k 509k 0.18
Kbl Merger Corp Iv right 03/22/2019 0.0 $178k 509k 0.35
Gran Tierra Energy 0.0 $27k 12k 2.21
Iamgold Corp (IAG) 0.0 $74k 14k 5.14
Aeterna Zentaris 0.0 $60k 60k 1.00
Stellar Acquisition Iii Inc w exp 03/22/202 0.0 $9.9k 32k 0.31
Matlin & Partners Acquisitio *w exp 03/15/202 0.0 $74k 195k 0.38