K2 Principal Fund

K2 Principal Fund as of March 31, 2019

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 261 positions in its portfolio as reported in the March 2019 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 6.1 $48M 450k 106.33
Qualcomm (QCOM) 3.6 $29M 500k 57.03
SPDR S&P Oil & Gas Explore & Prod. 3.6 $28M 925k 30.74
Tuscan Holdings Corp unit 99/99/9999 2.2 $17M 1.7M 10.43
iShares Barclays 20+ Yr Treas.Bond (TLT) 1.8 $14M 110k 126.43
Royal Gold Inc conv 1.7 $13M 13k 999.00
Vantage Energy Acquisition 1.5 $12M 1.2M 10.22
Integrated Device Tech conv 1.4 $11M 7.0k 1566.79
Coty Inc Cl A (COTY) 1.4 $11M 929k 11.50
Spartan Energy Acquisition Cl A Unt 1.3 $11M 1.0M 10.11
Pure Acquisition Corp unit 04/13/2023 1.2 $9.6M 904k 10.58
Far Pt Acquisition Corp unit 06/01/2025 1.2 $9.5M 917k 10.40
Sentinel Energy Svcs Inc cl a 1.1 $8.6M 854k 10.04
Tribune Co New Cl A 1.1 $8.2M 178k 46.14
Cf Fin Acquisition Corp unit 04/30/2025 1.0 $8.2M 800k 10.20
Cm Seven Star Acquisition 1.0 $8.1M 820k 9.83
Trine Acquisition Corp unit 03/31/2021 1.0 $8.0M 800k 10.02
Dfb Healthcare Acquistion Co unit 01/30/2023 1.0 $7.7M 756k 10.15
Domtar Corp 1.0 $7.6M 154k 49.65
Travelport Worldwide 1.0 $7.6M 481k 15.73
Fintech Acquisition Corp Iii unit 12/01/2023 1.0 $7.6M 750k 10.19
Aerojet Rocketdyne Hldgs Inc Note 2.25012/1 bnd 0.9 $7.4M 5.0k 1475.00
Invesco Qqq Trust Series 1 (QQQ) 0.9 $7.2M 40k 179.67
Insurance Acquisition Corp unit 03/31/2024 0.9 $7.1M 700k 10.10
Crescent Acquisition Corp unit 99/99/9999 0.9 $7.0M 700k 10.00
One Madison Corp 0.9 $6.9M 670k 10.25
CBS Corporation 0.8 $6.7M 140k 47.53
Liberty Expedia Holdings ser a 0.8 $6.7M 156k 42.80
Social Cap Hedosophia Hldgs cl a 0.8 $6.6M 643k 10.19
Mosaic Acquisition Corp 0.8 $6.1M 609k 10.08
Blackberry Ltd ebt 3.750%11/1 0.8 $5.9M 5.0k 1185.03
Collier Creek Holdings unit 99/99/9999 0.8 $6.0M 578k 10.32
Red Hat 0.8 $5.8M 32k 182.69
Graf Industrial Corp 0.7 $5.8M 587k 9.84
Dbx Etf Tr dbxtr har cs 300 (ASHR) 0.7 $5.7M 200k 28.73
Zillow Group Inc note 2.000%12/0 0.7 $5.6M 5.5k 1020.91
Workday Inc note 0.250%10/0 0.7 $5.6M 4.0k 1412.00
Ultimate Software 0.7 $5.5M 17k 330.12
Tpg Pace Hldgs Corp cl a 0.7 $5.5M 539k 10.21
Chaserg Technlgy Acquisitn C unit 09/30/2023 0.7 $5.3M 525k 10.10
Pensare Acquisition Corp 0.7 $5.3M 516k 10.25
Mercer International (MERC) 0.7 $5.1M 380k 13.51
eBay (EBAY) 0.6 $5.1M 136k 37.14
Megalith Finl Acquisition Co unit 09/30/2025 0.6 $5.0M 494k 10.21
Amci Acquisition Corp unit 01/07/2019 0.6 $5.1M 500k 10.12
First Majestic Silver Corp note 1.875% 3/0 0.6 $4.9M 5.0k 978.60
Gores Holdings Iii Inc unit 09/07/2024 0.6 $4.7M 456k 10.30
Tiberius Acquisition Corp unit 02/28/2021 0.6 $4.6M 446k 10.37
Trinity Merger Corp 0.6 $4.6M 440k 10.45
Pattern Energy Group Inc. 4.00% July 15, 2020 ccb 0.6 $4.5M 4.5k 1000.22
Synchrony Financial (SYF) 0.6 $4.5M 140k 31.90
Bunge 0.6 $4.4M 83k 53.08
Opes Acquisition Corp 0.6 $4.3M 422k 10.15
Tkk Symphony Acquisition Cor unit 08/15/2023 0.6 $4.3M 420k 10.22
Legacy Acquisition Corp unit 05/31/2024 0.5 $4.2M 413k 10.27
Alphabet Inc Class A cs (GOOGL) 0.5 $4.1M 3.5k 1176.86
Brookfield Property Reit Inc cl a 0.5 $4.1M 200k 20.49
Arya Sciences Acquisition Co unit 10/04/2023 0.5 $4.1M 392k 10.35
Celgene Corporation 0.5 $4.0M 43k 94.40
Mylan Nv 0.5 $4.0M 140k 28.34
Dexcom Inc dbcv 0.750% 5/1 0.5 $4.0M 3.0k 1341.00
Hennessy Cap Acqustion Corp unit 99/99/9999 0.5 $4.0M 400k 10.08
WABCO Holdings 0.5 $4.0M 30k 131.85
Modern Media Acquisition 0.5 $4.0M 382k 10.36
Liberty Tripadvisor Hldgs (LTRPA) 0.5 $3.8M 268k 14.19
ON Semiconductor (ON) 0.5 $3.6M 175k 20.57
Attunity 0.5 $3.6M 153k 23.42
Kbl Merger Corp Iv 0.5 $3.6M 350k 10.39
Ellie Mae 0.5 $3.5M 36k 98.70
Diamondback Energy (FANG) 0.5 $3.5M 35k 101.52
Leo Holdings Corp unit 99/99/9999 0.5 $3.6M 344k 10.36
Chardan Healthcare Acquisition 0.5 $3.5M 350k 10.03
Arris 0.4 $3.5M 109k 31.61
Forum Merger Ii Corp unit 09/30/2025 0.4 $3.4M 325k 10.34
Caesars Entertainment 0.4 $3.3M 375k 8.69
Churchill Cap Corp Com Cl A 0.4 $3.3M 248k 13.44
Maxim Integrated Products 0.4 $3.2M 60k 53.17
Texas Instruments Incorporated (TXN) 0.4 $3.2M 30k 106.07
Liberty Media Corp Delaware Com A Siriusxm 0.4 $3.2M 85k 38.18
Magnolia Oil & Gas Corp tpg pace energy hold 0.4 $3.2M 948k 3.39
Alberton Acquisition Corp unit 04/22/2020 0.4 $3.2M 322k 10.09
Discovery Communications 0.4 $3.1M 124k 25.42
New Frontier Corp unit 99/99/9999 0.4 $3.0M 300k 10.10
Dd3 Acquisition Corp unit 10/12/2023 0.4 $3.0M 300k 10.14
Leisure Acquisition Corp unit 99/99/9999 0.4 $3.0M 294k 10.24
Rio Tinto (RIO) 0.4 $2.9M 50k 58.85
Goldcorp 0.4 $2.9M 252k 11.44
Finisar Corp note 0.500%12/1 0.4 $2.9M 3.0k 978.67
Lf Cap Acquisition Corp unit 06/19/2025 0.4 $2.9M 277k 10.37
Dell Technologies (DELL) 0.4 $2.9M 49k 58.69
Republic Services (RSG) 0.4 $2.8M 35k 80.37
USG Corporation 0.4 $2.8M 65k 43.30
Medequities Realty Trust reit 0.4 $2.8M 251k 11.13
Boeing Company (BA) 0.3 $2.7M 7.2k 381.50
Carnival (CUK) 0.3 $2.7M 54k 49.80
Nxp Semiconductors N V (NXPI) 0.3 $2.6M 30k 88.40
Spark Therapeutics 0.3 $2.6M 23k 113.89
Seacor Holding Inc note 3.000 11/1 0.3 $2.6M 2.7k 972.54
Vale (VALE) 0.3 $2.5M 190k 13.06
Navistar Intl Corp conv 0.3 $2.5M 2.5k 1000.00
Big Rock Partners Acquisi Co unit 11/20/2022 0.3 $2.5M 240k 10.50
Gs Acquisition Holdings Cl A Ord 0.3 $2.5M 248k 10.02
Avista Corporation (AVA) 0.3 $2.4M 60k 40.62
Summit Matls Inc cl a 0.3 $2.4M 152k 15.87
Cigna Corp (CI) 0.3 $2.4M 15k 160.80
Monocle Acquisition Corp 0.3 $2.5M 250k 9.80
Cars (CARS) 0.3 $2.3M 102k 22.80
Cm Seven Star Acquisition Co unit 08/21/2022 0.3 $2.3M 218k 10.50
Far Pt Acquisition Corp cl a founders sh 0.3 $2.2M 225k 9.95
Mosaic Acquisition Corp unit 99/99/9999 0.3 $2.2M 217k 10.30
First Data 0.3 $2.2M 84k 26.26
Etf Managers Tr tierra xp latin 0.3 $2.2M 60k 36.37
Silicon Laboratories Inc convertible security 0.3 $2.2M 2.0k 1080.00
Thunder Bridge Acquisition L unit 01/01/2025 0.3 $2.2M 207k 10.80
Central Garden & Pet (CENTA) 0.3 $2.1M 90k 23.25
Zillow Group Inc Cl A (ZG) 0.3 $2.1M 63k 34.19
Regalwood Global Energy Ltd unit 99/99/9999 0.3 $2.1M 208k 10.32
Leisure Acquisition Corp 0.3 $2.1M 210k 10.00
Senseonics Hldgs Inc note 5.250% 2/0 0.3 $2.1M 2.0k 1050.00
Danaher Corporation 4.75 mnd cv p 0.3 $2.1M 2.0k 1053.00
Cypress Semiconductor Corporation 0.3 $2.0M 135k 14.92
CECO Environmental (CECO) 0.3 $2.0M 283k 7.20
Longevity Acquisition Corp unit 08/29/2024 0.3 $2.0M 200k 10.20
8i Enterprises Acquisitin Co unit 99/99/9999 0.3 $2.0M 200k 10.04
Brown-Forman Corporation (BF.A) 0.2 $2.0M 39k 51.17
International Speedway Corporation 0.2 $2.0M 45k 43.63
UQM Technologies 0.2 $2.0M 1.2M 1.65
Belmond 0.2 $2.0M 79k 24.93
Jensyn Acquisition 0.2 $2.0M 178k 11.00
Big Rock Partners Acquisi 0.2 $2.0M 193k 10.33
One Madison Unt 0.2 $1.9M 182k 10.67
Maxwell Technologies 0.2 $1.8M 410k 4.50
Quad/Graphics (QUAD) 0.2 $1.8M 152k 11.90
Magnachip Semiconductor Corp (MX) 0.2 $1.8M 240k 7.40
Greenland Acquisitin Corpora unit 03/03/2025 0.2 $1.8M 176k 10.44
Lennar Corporation (LEN) 0.2 $1.8M 36k 49.10
Oaktree Cap 0.2 $1.8M 35k 49.65
Capitol Invt Corp Iv cl a ord 0.2 $1.7M 165k 10.18
Bluegreen Vacations Ord 0.2 $1.7M 113k 14.86
Mudrick Cap Acquisition Corp 0.2 $1.7M 167k 10.08
Xilinx 0.2 $1.6M 13k 126.80
Advanced Micro Devices (AMD) 0.2 $1.5M 60k 25.51
Pershing Gold 0.2 $1.6M 1.3M 1.16
Market Vectors Etf Tr Oil Svcs 0.2 $1.6M 91k 17.23
Utilities SPDR (XLU) 0.2 $1.5M 25k 58.16
iShares Dow Jones Transport. Avg. (IYT) 0.2 $1.5M 8.0k 187.25
Pointer Telocation 0.2 $1.5M 94k 15.64
90184l Ab 8 Twitter Inc Note 0.250% 9/1 twitter 0.2 $1.5M 1.5k 984.00
Legacy Acquisition Corp 0.2 $1.5M 145k 10.04
Gigcapital 0.2 $1.5M 146k 10.20
Pure Acquisition Corp *w exp 04/17/202 0.2 $1.5M 1.4M 1.09
Rmg Acquisition Corp unit 99/99/9999 0.2 $1.5M 150k 10.03
Suntrust Banks Inc $1.00 Par Cmn 0.2 $1.4M 23k 59.27
Mellanox Technologies 0.2 $1.4M 12k 118.33
Tesla Motors (TSLA) 0.2 $1.4M 5.0k 279.80
Barrick Gold Corp 0.2 $1.3M 97k 13.72
American Equity Investment Life Holding 0.2 $1.4M 50k 27.02
Silvercrest Metals 0.2 $1.4M 418k 3.27
Carnival Corporation (CCL) 0.2 $1.3M 25k 50.72
Tkk Symphony Acquistion Cor 0.2 $1.2M 125k 9.91
Wealthbridge Acquisition Ltd unit 99/99/9999 0.2 $1.3M 125k 10.07
iShares Dow Jones US Brok-Dea. Ind.ETF (IAI) 0.1 $1.2M 20k 58.80
Pacific Biosciences of California (PACB) 0.1 $1.2M 162k 7.23
Rowan Companies 0.1 $1.2M 109k 10.79
News Corp Class B cos (NWS) 0.1 $1.1M 92k 12.49
Leo Holdings Corp 0.1 $1.2M 116k 10.04
BGC Partners 0.1 $1.1M 200k 5.31
BHP Billiton (BHP) 0.1 $1.1M 20k 54.65
Sierra Wireless 0.1 $1.1M 90k 12.37
Alithya Group Inc cl a sub vtg (ALYAF) 0.1 $1.1M 347k 3.20
Alteryx 0.1 $1.0M 13k 83.84
National Energy Services Reu *w exp 05/05/202 (NESRW) 0.1 $985k 864k 1.14
Pure Acquisition Corp cl a 0.1 $1.0M 103k 10.02
Trinity Merger Corp 0.1 $1.0M 100k 10.22
Gs Acquisition Hldgs Corp unit 06/12/2023 0.1 $1.0M 100k 10.49
Cgi Inc Cl A Sub Vtg (GIB) 0.1 $1.0M 15k 68.73
Pivotal Acquisition Cl A Red Unt 0.1 $1.0M 100k 10.19
Diamondpeak Hldgs Cor unit 99/99/9999 0.1 $1.0M 100k 10.02
Bristol Myers Squibb (BMY) 0.1 $954k 20k 47.70
Toll Brothers (TOL) 0.1 $919k 25k 36.18
Immune Design 0.1 $926k 158k 5.85
Twelve Seas Investment Compa unit 06/21/2023 0.1 $928k 89k 10.45
Fintech Acquisition Corp Iii 0.1 $975k 100k 9.75
Liberty Media Corp Delaware Com C Braves Grp 0.1 $868k 31k 27.76
Waste Connections (WCN) 0.1 $886k 10k 88.60
Innovative Industria A (IIPR) 0.1 $833k 10k 81.67
Nightstar Therapeutics 0.1 $870k 34k 25.38
Pulte (PHM) 0.1 $769k 28k 27.96
Viper Energy Partners 0.1 $763k 23k 33.17
Saban Cap Acquisition 0.1 $763k 74k 10.28
Lf Cap Acquisition Corp cl a 0.1 $754k 75k 10.05
Thunder Bridge Acquisition L shs class a 0.1 $765k 75k 10.20
Alberton Acquisition Corp ord 0.1 $746k 75k 9.95
Tenzing Acquisition Corp ord 0.1 $755k 75k 10.07
Echostar Corporation (SATS) 0.1 $729k 20k 36.45
Lattice Semiconductor (LSCC) 0.1 $730k 61k 11.93
Hyde Park Bancorp, Mhc 0.1 $712k 30k 23.89
Forum Merger Ii Corp cl a 0.1 $743k 75k 9.91
Varonis Sys (VRNS) 0.1 $596k 10k 59.60
Rosehill Resources 0.1 $599k 196k 3.06
M/I Homes (MHO) 0.1 $532k 20k 26.60
EMC Insurance 0.1 $549k 17k 31.90
Pretium Res Inc Com Isin# Ca74 0.1 $536k 63k 8.56
Liberty Media Corp Series C Li 0.1 $586k 17k 35.03
Social Cap Hedosophia Hldgs *w exp 99/99/999 0.1 $560k 700k 0.80
Target Hospitality Corp *w exp 03/15/202 0.1 $518k 336k 1.54
Gores Metropoulos Inc unit 99/99/9999 0.1 $512k 50k 10.24
International Paper Company (IP) 0.1 $463k 10k 46.30
Lions Gate Entmnt Corp cl b non vtg 0.1 $454k 30k 15.11
Select Energy Svcs Inc cl a (WTTR) 0.1 $500k 42k 12.01
Ssr Mining (SSRM) 0.1 $437k 35k 12.67
Cleveland-cliffs (CLF) 0.1 $500k 50k 10.00
Edtechx Hldgs Acquisition 0.1 $504k 50k 10.08
Louisiana-Pacific Corporation (LPX) 0.1 $378k 16k 24.39
Clearwater Paper (CLW) 0.1 $393k 20k 19.46
Liberty Broadband Cl C (LBRDK) 0.1 $385k 4.2k 91.67
Under Armour Inc Cl C (UA) 0.1 $392k 21k 18.85
Tpg Pace Hldgs Corp w exp 99/99/999 0.1 $390k 291k 1.34
Tenzing Acquisition Corp unit 08/24/2024 0.1 $422k 41k 10.23
Luxoft Holding Inc cmn 0.0 $294k 5.0k 58.68
Rosehill Resources Inc - A warrant 0.0 $337k 865k 0.39
Gordon Pointe Acquisition 0.0 $349k 34k 10.19
Dfb Healthcare Acquistion 0.0 $350k 35k 10.00
Far Pt Acquisition Corp w exp 06/01/202 0.0 $348k 260k 1.34
Twelve Seas Investment Compa 0.0 $282k 28k 10.00
Seacor Holdings 0.0 $254k 6.0k 42.33
Harris Corporation 0.0 $208k 1.3k 160.00
Ii-vi 0.0 $248k 6.7k 37.27
TransDigm Group Incorporated (TDG) 0.0 $227k 500.00 454.00
HopFed Ban 0.0 $208k 11k 19.72
Gores Hldin-cw20 equity wrt 0.0 $246k 189k 1.30
Quantenna Communications 0.0 $243k 10k 24.30
Sailpoint Technlgies Hldgs I 0.0 $258k 9.0k 28.67
One Madison Corp w exp 99/99/999 0.0 $209k 185k 1.13
Gty Technology Holdings Inc *w exp 02/19/202 0.0 $198k 330k 0.60
Capitol Invt Corp Iv *w exp 01/01/202 0.0 $127k 92k 1.38
Cm Seven Star Acquisition Co right 08/21/2022 0.0 $186k 565k 0.33
Gs Acquisition Hldgs Corp *w exp 06/12/202 0.0 $141k 101k 1.40
Us Well Services Inc us well services inc-cw21 0.0 $191k 189k 1.01
Target Hospitality Corp (TH) 0.0 $177k 19k 9.52
Vantage Energy Acquisition w exp 04/12/202 0.0 $81k 351k 0.23
Cm Seven Star Acquisition Co *w exp 08/21/202 0.0 $87k 512k 0.17
Big Rock Partners Acquisi Co right 12/01/2022 0.0 $102k 340k 0.30
Gigcapital Inc right 03/06/2020 0.0 $94k 144k 0.65
Gigcapital Inc w exp 06/08/202 0.0 $41k 146k 0.28
Tiberius Acquisition Corp w exp 02/28/202 0.0 $88k 200k 0.44
Nrc Group Holdings Corp nrc group holdings corp-cw24 0.0 $84k 94k 0.90
Sentinel Energy Svcs Inc *w exp 11/02/202 0.0 $59k 87k 0.68
Bioceres Crop Solutions Corp bioceres crop solutions-cw25 0.0 $77k 286k 0.27
Jensyn Acquisition Corp *w exp 03/01/202 0.0 $27k 383k 0.07
Jensyn Acquisition Corp right 99/99/9999 0.0 $35k 130k 0.27
Black Ridge Acquisition Corp right 07/10/2019 0.0 $24k 68k 0.35
Big Rock Partners Acquisi Co *w exp 12/01/202 0.0 $18k 101k 0.18
Legacy Acquisition Corp wt 0.0 $3.0k 10k 0.30
Leisure Acquisition Corp *w exp 12/05/201 0.0 $16k 35k 0.45
Alta Mesa Res Inc *w exp 03/28/202 0.0 $4.3k 107k 0.04
Twelve Seas Investment Compa right 12/22/2019 0.0 $27k 100k 0.27
Twelve Seas Investment Compa *w exp 12/22/202 0.0 $9.9k 37k 0.27
Forum Merger Ii Corp warrant 0.0 $17k 39k 0.43
Alberton Acquisition Corp right 10/04/2020 0.0 $12k 70k 0.17
Alacw Us 21 Nov 23 C11.5 w exp 04/26/202 0.0 $5.3k 59k 0.09