K2 Principal Fund

K2 Principal Fund as of Dec. 31, 2018

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 253 positions in its portfolio as reported in the December 2018 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Alphabet Inc Class C cs (GOOG) 2.5 $17M 16k 1035.60
Alphabet Inc Class A cs (GOOGL) 2.0 $13M 13k 1044.93
Vantage Energy Acquisition 1.7 $11M 1.1M 10.05
Federal Str Acquisition Corp cl a 1.7 $11M 1.1M 10.09
Integrated Device Tech conv 1.6 $11M 7.0k 1542.27
Simon Property (SPG) 1.6 $11M 63k 167.98
Spartan Energy Acquisition Cl A Unt 1.6 $10M 1.0M 10.00
Aerojet Rocketdyne Hldgs Inc Note 2.25012/1 bnd 1.4 $9.5M 6.5k 1469.08
Pure Acquisition Corp unit 04/13/2023 1.4 $9.3M 904k 10.30
Far Pt Acquisition Corp unit 06/01/2025 1.4 $9.2M 917k 10.09
Technology SPDR (XLK) 1.3 $8.8M 143k 61.98
Apple (AAPL) 1.3 $8.4M 53k 157.73
Cm Seven Star Acquisition 1.3 $8.3M 820k 10.10
Cf Fin Acquisition Corp unit 04/30/2025 1.2 $8.0M 800k 10.00
Brookfield Property Reit Inc cl a 1.2 $7.8M 484k 16.10
Dfb Healthcare Acquistion Co unit 01/30/2023 1.2 $7.6M 756k 10.10
Fintech Acquisition Corp Iii unit 12/01/2023 1.1 $7.5M 750k 10.00
Dell Technologies (DELL) 1.1 $7.2M 148k 48.87
Dun & Bradstreet Corporation 1.1 $7.1M 50k 142.80
Republic Services (RSG) 1.0 $6.7M 93k 72.09
iShares Russell 2000 Index (IWM) 1.0 $6.7M 50k 133.90
SPDR S&P Oil & Gas Explore & Prod. 1.0 $6.6M 248k 26.53
Saban Cap Acquisition 1.0 $6.6M 651k 10.09
Constellation Alpha Cap Corp 1.0 $6.5M 639k 10.21
Vectren Corporation 1.0 $6.3M 88k 71.98
Haymaker Acquisition unit 10/19/2022 1.0 $6.4M 602k 10.55
athenahealth 0.9 $5.8M 44k 131.92
Collier Creek Holdings unit 99/99/9999 0.9 $5.8M 578k 10.00
Pensare Acquisition Corp 0.9 $5.7M 567k 10.13
State Street Bank Financial 0.9 $5.7M 264k 21.59
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 0.9 $5.7M 65k 87.28
Zillow Group Inc note 2.000%12/0 0.8 $5.4M 5.5k 980.00
Pandora Media 0.8 $5.4M 663k 8.09
Microchip Technology (MCHP) 0.8 $5.3M 74k 71.92
Chaserg Technlgy Acquisitn C unit 09/30/2023 0.8 $5.2M 525k 9.99
Liberty Tripadvisor Hldgs (LTRPA) 0.8 $5.2M 326k 15.89
Vale (VALE) 0.8 $5.1M 390k 13.19
Megalith Finl Acquisition Co unit 09/30/2025 0.8 $5.0M 494k 10.08
Legacy Acquisition Corp unit 05/31/2024 0.8 $5.0M 488k 10.18
Amci Acquisition Corp unit 01/07/2019 0.8 $5.0M 500k 9.95
Red Hat 0.7 $4.8M 28k 175.64
United Technologies Corporation 0.7 $4.8M 45k 106.49
Electronic Arts (EA) 0.7 $4.7M 60k 78.92
Trinity Merger Corp 0.7 $4.6M 450k 10.32
Tkk Symphony Acquisition Cor unit 08/15/2023 0.7 $4.6M 456k 10.09
Sirius Xm Holdings 0.7 $4.5M 797k 5.71
Tiberius Acquisition Corp unit 02/28/2021 0.7 $4.5M 446k 10.18
Gores Holdings Iii Inc unit 09/07/2024 0.7 $4.6M 456k 10.05
Ceridian Hcm Hldg 0.7 $4.3M 126k 34.50
Tribune Co New Cl A 0.7 $4.3M 94k 45.38
Citrix Systems Inc conv 0.7 $4.3M 3.0k 1422.00
Discovery Communications 0.6 $4.2M 184k 23.08
Silicon Laboratories Inc convertible security 0.6 $4.2M 4.0k 1056.75
Activision Blizzard 0.6 $4.1M 89k 46.58
Diamondback Energy (FANG) 0.6 $4.2M 45k 92.70
Opes Acquisition Corp 0.6 $4.2M 420k 9.93
HEICO Corporation (HEI.A) 0.6 $4.1M 65k 63.00
Churchill Cap Corp unit 99/99/9999 0.6 $4.0M 400k 10.11
Forum Merger Ii Corp unit 09/30/2025 0.6 $4.0M 400k 10.12
Arya Sciences Acquisition Co unit 10/04/2023 0.6 $4.1M 392k 10.34
Alberton Acquisition Corp unit 04/22/2020 0.6 $4.0M 400k 10.03
Aspen Insurance Holdings 0.6 $4.0M 94k 41.99
Pattern Energy Group Inc. 4.00% July 15, 2020 ccb 0.6 $3.7M 3.8k 989.67
One Madison Corp 0.6 $3.8M 376k 10.03
Tenzing Acquisition Corp unit 08/24/2024 0.6 $3.8M 375k 10.07
Imperva 0.6 $3.6M 65k 55.69
Encana Corp 0.5 $3.5M 612k 5.78
Leo Holdings Corp unit 99/99/9999 0.5 $3.6M 349k 10.19
Union Acquisition Corp unit 99/99/9999 0.5 $3.6M 336k 10.65
Chardan Healthcare Acquisition 0.5 $3.5M 350k 10.07
Haymaker Acquisition Corp 0.5 $3.5M 345k 10.01
Twenty-first Century Fox 0.5 $3.4M 70k 48.12
Modern Media Acquisition 0.5 $3.4M 332k 10.20
SYNNEX Corporation (SNX) 0.5 $3.3M 41k 80.85
Clearwater Paper (CLW) 0.5 $3.3M 135k 24.37
Guaranty Bancorp Del 0.5 $3.3M 159k 20.75
Lf Cap Acquisition Corp unit 06/19/2025 0.5 $3.2M 317k 10.11
Mercer International (MERC) 0.5 $3.1M 301k 10.44
Travelport Worldwide 0.5 $3.0M 193k 15.62
Social Cap Hedosophia Hldgs cl a 0.5 $3.1M 307k 10.00
New Frontier Corp unit 99/99/9999 0.5 $3.0M 300k 10.10
Dd3 Acquisition Corp unit 10/12/2023 0.5 $3.0M 300k 10.02
Leisure Acquisition Corp unit 99/99/9999 0.5 $3.0M 294k 10.13
Wheaton Precious Metals Corp (WPM) 0.4 $2.9M 150k 19.53
Magnolia Oil & Gas Corp tpg pace energy hold 0.4 $2.9M 948k 3.03
Investment Technology 0.4 $2.8M 94k 30.24
Hortonworks 0.4 $2.8M 195k 14.42
Thunder Bridge Acquisition L unit 01/01/2025 0.4 $2.9M 282k 10.17
VMware 0.4 $2.7M 20k 137.10
Platinum Eagle Acquisitin Co Unit 01/09/2023 0.4 $2.7M 262k 10.48
MB Financial 0.4 $2.7M 68k 39.63
Univar 0.4 $2.7M 151k 17.75
Sentinel Energy Svcs Inc unit 11/02/2022 0.4 $2.7M 260k 10.30
Graf Industrial Red Unt 0.4 $2.6M 264k 9.95
Kbl Merger Corp Iv 0.4 $2.5M 250k 10.20
Blackberry Ltd ebt 3.750%11/1 0.4 $2.6M 2.5k 1020.00
Microsoft Corporation (MSFT) 0.4 $2.5M 25k 101.53
Tpg Pace Hldgs Corp cl a 0.4 $2.5M 248k 10.00
Big Rock Partners Acquisi Co unit 11/20/2022 0.4 $2.5M 240k 10.45
iShares Barclays 20+ Yr Treas.Bond (TLT) 0.4 $2.4M 20k 121.50
Bojangles 0.4 $2.4M 151k 16.08
Lions Gate Entmnt Corp cl b non vtg 0.4 $2.5M 165k 14.88
Liberty Expedia Holdings ser a 0.4 $2.4M 62k 39.11
Gs Acquisition Holdings Cl A Ord 0.4 $2.4M 248k 9.80
Harris Corporation 0.4 $2.4M 18k 134.65
Union Acquisition Corp 0.4 $2.3M 233k 10.07
Market Vectors Etf Tr Oil Svcs 0.3 $2.3M 166k 14.03
Cm Seven Star Acquisition Co unit 08/21/2022 0.3 $2.3M 218k 10.55
Sendgrid 0.3 $2.3M 53k 43.16
Central Garden & Pet (CENTA) 0.3 $2.2M 70k 31.26
Tesaro Inc note 3.000%10/0 0.3 $2.2M 1.0k 2174.00
Senseonics Hldgs Inc note 5.250% 2/0 0.3 $2.2M 2.0k 1090.00
Far Pt Acquisition Corp cl a founders sh 0.3 $2.2M 225k 9.65
Mosaic Acquisition Corp unit 99/99/9999 0.3 $2.2M 217k 10.12
Cars (CARS) 0.3 $2.1M 98k 21.50
Regalwood Global Energy Ltd unit 99/99/9999 0.3 $2.1M 208k 10.18
Cypress Semiconductor Corporation 0.3 $2.0M 160k 12.72
Leisure Acquisition Corp 0.3 $2.1M 210k 9.82
Longevity Acquisition Corp unit 08/29/2024 0.3 $2.0M 200k 10.15
Greenland Acquisitin Corpora unit 03/03/2025 0.3 $2.0M 200k 10.27
Shire 0.3 $2.0M 12k 174.04
Electro Scientific Industries 0.3 $2.0M 66k 29.95
Carnival (CUK) 0.3 $2.0M 40k 48.74
Jensyn Acquisition 0.3 $2.0M 178k 11.00
Big Rock Partners Acquisi 0.3 $2.0M 193k 10.20
Waste Management (WM) 0.3 $1.9M 22k 88.98
Avista Corporation (AVA) 0.3 $1.9M 44k 42.49
CECO Environmental (CECO) 0.3 $1.9M 283k 6.75
Gigcapital Inc unit 03/06/2025 0.3 $1.9M 182k 10.57
One Madison Unt 0.3 $1.9M 182k 10.40
Platinum Eagle Acq Corp 0.3 $1.9M 189k 10.08
Navigators 0.3 $1.9M 27k 69.49
Pvh Corporation (PVH) 0.3 $1.9M 20k 92.95
Dbx Etf Tr dbxtr har cs 300 (ASHR) 0.3 $1.9M 85k 21.94
Apptio Inc cl a 0.3 $1.8M 49k 37.96
International Speedway Corporation 0.3 $1.8M 40k 43.85
Denbury Resources 0.3 $1.8M 1.0M 1.71
Rent-A-Center (UPBD) 0.2 $1.6M 102k 16.20
Sentinel Energy Svcs Inc cl a 0.2 $1.7M 168k 10.02
Wildhorse Resource Dev Corp 0.2 $1.6M 111k 14.11
Pure Acquisition Corp *w exp 04/17/202 0.2 $1.6M 1.4M 1.14
Brown-Forman Corporation (BF.A) 0.2 $1.5M 31k 47.42
Pretium Res Inc Com Isin# Ca74 0.2 $1.4M 170k 8.45
Twelve Seas Investment Compa unit 06/21/2023 0.2 $1.4M 139k 10.25
International Business Machines (IBM) 0.2 $1.4M 12k 113.67
American Equity Investment Life Holding 0.2 $1.4M 50k 27.94
Marriott Vacations Wrldwde Cp (VAC) 0.2 $1.4M 20k 70.50
Penn Va 0.2 $1.4M 25k 54.08
Bison Cap Acquisition Corp ord 0.2 $1.4M 131k 10.40
Tesla Motors (TSLA) 0.2 $1.3M 4.0k 332.75
Nxp Semiconductors N V (NXPI) 0.2 $1.3M 18k 73.30
Twitter 0.2 $1.3M 45k 28.73
Summit Matls Inc cl a 0.2 $1.2M 100k 12.40
Liberty Media Corp Delaware Com A Siriusxm 0.2 $1.3M 35k 36.79
Fox News 0.2 $1.2M 25k 47.80
Tkk Symphony Acquistion Cor 0.2 $1.2M 125k 9.65
International Paper Company (IP) 0.2 $1.1M 28k 40.36
Louisiana-Pacific Corporation (LPX) 0.2 $1.1M 50k 22.23
USG Corporation 0.2 $1.1M 25k 42.68
Liberty Media Corp Delaware Com C Braves Grp 0.2 $1.0M 42k 24.89
Waste Connections (WCN) 0.2 $1.1M 15k 74.28
National Energy Services Reu *w exp 05/05/202 (NESRW) 0.2 $1.0M 874k 1.20
United States Oil Fund 0.1 $966k 100k 9.66
Pure Acquisition Corp cl a 0.1 $1.0M 103k 9.84
Trinity Merger Corp 0.1 $999k 100k 9.99
M I Acquisitions Inc *w exp 11/15/202 0.1 $997k 797k 1.25
Caesars Entertainment 0.1 $934k 138k 6.79
Pershing Gold 0.1 $894k 843k 1.06
Canada Goose Holdings Inc shs sub vtg (GOOS) 0.1 $953k 22k 43.73
Lattice Semiconductor (LSCC) 0.1 $840k 121k 6.92
Ensco Plc Shs Class A 0.1 $844k 237k 3.56
Select Energy Svcs Inc cl a (WTTR) 0.1 $861k 136k 6.32
Alithya Group Inc cl a sub vtg (ALYAF) 0.1 $812k 346k 2.35
Carnival Corporation (CCL) 0.1 $740k 15k 49.33
Civitas Solutions 0.1 $701k 40k 17.50
Hyde Park Bancorp, Mhc 0.1 $747k 35k 21.34
Lf Cap Acquisition Corp cl a 0.1 $734k 75k 9.79
Cigna Corp (CI) 0.1 $693k 3.7k 189.86
Edtechx Holdings Acquisition unit 12/31/2025 0.1 $749k 75k 9.99
Bunge 0.1 $645k 12k 53.41
Sparton Corporation 0.1 $689k 38k 18.18
Science App Int'l (SAIC) 0.1 $637k 10k 63.66
Zillow Group Inc Cl A (ZG) 0.1 $669k 21k 31.44
Capitol Invt Corp Iv cl a ord 0.1 $645k 65k 10.00
Accenture (ACN) 0.1 $564k 4.0k 141.00
Viper Energy Partners 0.1 $599k 23k 26.04
Fcb Financial Holdings-cl A 0.1 $566k 17k 33.58
Golden Star Res Ltd F 0.1 $613k 195k 3.15
Graf Industrial Corp 0.1 $624k 65k 9.60
Mellanox Technologies 0.1 $508k 5.5k 92.36
iShares Dow Jones Transport. Avg. (IYT) 0.1 $495k 3.0k 165.00
Del Friscos Restaurant 0.1 $537k 75k 7.15
Social Cap Hedosophia Hldgs *w exp 99/99/999 0.1 $533k 740k 0.72
Mudrick Cap Acquisition Corp 0.1 $516k 52k 9.87
Intersections 0.1 $472k 128k 3.69
Liberty Global Inc C 0.1 $485k 24k 20.63
Liberty Latin America (LILA) 0.1 $459k 32k 14.49
Lennar Corporation (LEN) 0.1 $413k 11k 39.15
Cimarex Energy 0.1 $365k 5.9k 61.71
Randgold Resources 0.1 $371k 4.5k 82.81
Infrareit 0.1 $396k 19k 21.00
Liberty Media Corp Del Com Ser 0.1 $418k 14k 29.69
Rosehill Resources 0.1 $393k 196k 2.01
Nexeo Solutions Inc *w exp 06/09/202 0.1 $300k 750k 0.40
Gordon Pointe Acquisition 0.1 $327k 33k 9.99
Platinum Eagle Acquisitin Co *w exp 01/17/202 0.1 $326k 251k 1.30
Dfb Healthcare Acquistion 0.1 $343k 35k 9.80
Far Pt Acquisition Corp w exp 06/01/202 0.1 $312k 260k 1.20
Organogenesis Hldgs Inc *w exp 10/07/202 0.1 $360k 1.7M 0.21
Saban Cap Acquisition Corp *w exp 09/21/202 0.0 $231k 385k 0.60
Gty Technology Holdings Inc w exp 99/99/999 0.0 $257k 330k 0.78
Rosehill Resources Inc - A warrant 0.0 $277k 865k 0.32
Tpg Pace Hldgs Corp w exp 99/99/999 0.0 $291k 291k 1.00
Twelve Seas Investment Compa 0.0 $277k 28k 9.82
Concrete Pumping Hldgs Inc *w exp 08/01/202 0.0 $233k 299k 0.78
Chesapeake Energy Corporation 0.0 $210k 100k 2.10
Independent Bank 0.0 $229k 5.0k 45.80
Fnf (FNF) 0.0 $205k 6.5k 31.39
Gores Hldin-cw20 equity wrt 0.0 $180k 194k 0.93
Vantage Energy Acquisition w exp 04/12/202 0.0 $189k 402k 0.47
Cm Seven Star Acquisition Co right 08/21/2022 0.0 $213k 575k 0.37
Convergeone Hldgs Inc Com Cl A 0.0 $228k 18k 12.37
Nrc Group Holdings Corp nrc group holdings corp-cw24 0.0 $215k 265k 0.81
Smaaash Entertainment 0.0 $203k 34k 6.00
Pensare Acquisition Corp *w exp 07/27/202 0.0 $135k 673k 0.20
Cm Seven Star Acquisition Co *w exp 08/21/202 0.0 $132k 528k 0.25
Big Rock Partners Acquisi Co right 12/01/2022 0.0 $123k 340k 0.36
One Madison Corp w exp 99/99/999 0.0 $144k 185k 0.78
Trinity Merger Corp *w exp 05/11/202 0.0 $117k 299k 0.39
Gs Acquisition Hldgs Corp *w exp 06/12/202 0.0 $127k 101k 1.26
Smaaash Entertainment Inc *w exp 05/22/202 0.0 $135k 795k 0.17
Just Energy Group 0.0 $66k 20k 3.30
Pensare Acquisition Corp right 0.0 $50k 174k 0.29
Capitol Invt Corp Iv *w exp 01/01/202 0.0 $92k 92k 1.00
Big Rock Partners Acquisi Co *w exp 12/01/202 0.0 $40k 101k 0.39
Gigcapital Inc right 03/06/2020 0.0 $44k 164k 0.27
Tiberius Acquisition Corp w exp 02/28/202 0.0 $78k 200k 0.39
Twelve Seas Investment Compa right 12/22/2019 0.0 $35k 100k 0.35
Priority Technology Hldgs In (PRTH) 0.0 $80k 10k 7.95
Us Well Services Inc us well services inc-cw21 0.0 $48k 81k 0.60
Jensyn Acquisition Corp *w exp 03/01/202 0.0 $31k 383k 0.08
Jensyn Acquisition Corp right 99/99/9999 0.0 $18k 130k 0.14
Black Ridge Acquisition Corp right 07/10/2019 0.0 $21k 71k 0.30
Estre Ambiental Inc *w exp 12/21/202 (ESTWF) 0.0 $7.4k 82k 0.09
Legacy Acquisition Corp wt 0.0 $17k 50k 0.34
Leisure Acquisition Corp *w exp 12/05/201 0.0 $32k 40k 0.79
Alta Mesa Res Inc *w exp 03/28/202 0.0 $7.5k 107k 0.07
Union Acquisition Corp right 12/02/2019 0.0 $22k 58k 0.38
Union Acquisition Corp w exp 07/01/202 0.0 $18k 71k 0.25
Mudrick Cap Acquisition Corp *w exp 02/12/202 0.0 $5.0k 11k 0.45
Nebula Acquisition Corp *w exp 03/12/202 0.0 $26k 28k 0.93
Twelve Seas Investment Compa *w exp 12/22/202 0.0 $25k 96k 0.26
Tkk Symphony Acquisition Cor *w exp 02/20/202 0.0 $8.0k 50k 0.16