K2 Principal Fund

K2 Principal Fund as of June 30, 2019

Portfolio Holdings for K2 Principal Fund

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

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Alphabet Inc Class A cs (GOOGL) 5.1 $43M 39k 1082.76
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 4.9 $40M 366k 110.18
Invesco Qqq Trust Series 1 (QQQ) 2.5 $21M 110k 186.73
Qualcomm (QCOM) 1.7 $14M 185k 76.07
Proofpoint 1.5 $13M 106k 120.28
Social Cap Hedosophia Hldgs cl a 1.5 $13M 1.2M 10.44
Franco-Nevada Corporation (FNV) 1.4 $12M 135k 84.88
Apple (AAPL) 1.3 $11M 55k 197.93
Pure Acquisition Corp unit 04/13/2023 1.2 $9.9M 929k 10.69
eBay (EBAY) 1.2 $9.8M 247k 39.50
Far Pt Acquisition Corp unit 06/01/2025 1.1 $9.5M 917k 10.40
Blackberry Ltd ebt 3.750%11/1 1.1 $9.2M 8.0k 1144.94
Mosaic Acquisition Corp 1.1 $9.1M 895k 10.20
Aerojet Rocketdyne Hldgs Inc Note 2.25012/1 bnd 1.1 $8.9M 5.0k 1787.60
L3 Technologies 1.0 $8.6M 35k 245.16
Innovative Industria A (IIPR) 1.0 $8.6M 70k 123.56
Spartan Energy Acquisition Cl A Unt 1.0 $8.4M 834k 10.10
Tuscan Holdings Corp unit 99/99/9999 1.0 $8.5M 800k 10.60
Cf Fin Acquisition Corp unit 04/30/2025 1.0 $8.3M 800k 10.35
Via 1.0 $8.0M 269k 29.87
Red Hat 1.0 $8.0M 43k 187.77
Fintech Acquisition Corp Iii unit 12/01/2023 1.0 $8.0M 750k 10.71
Gx Acquisiton Unt 1.0 $8.0M 800k 10.05
Wheaton Precious Metals Corp (WPM) 1.0 $8.0M 330k 24.18
Tribune Co New Cl A 0.9 $7.9M 170k 46.22
Finisar Corp note 0.500%12/1 0.9 $7.8M 8.1k 973.30
Dfb Healthcare Acquistion Co unit 01/30/2023 0.9 $7.8M 756k 10.37
Replay Acquisition Unt 0.9 $7.8M 783k 10.00
Sentinel Energy Svcs Inc cl a 0.9 $7.6M 754k 10.15
Trine Acquisition Corp unit 03/31/2021 0.9 $7.3M 719k 10.10
Insurance Acquisition Corp unit 03/31/2024 0.9 $7.2M 700k 10.30
Gannett Co Inc note 4.750% 4/1 0.8 $7.0M 7.0k 1005.57
Crescent Acquisition Corp unit 99/99/9999 0.8 $6.9M 690k 10.05
Domtar Corp 0.8 $6.7M 150k 44.53
Louisiana-Pacific Corporation (LPX) 0.8 $6.6M 250k 26.22
Capitol Invt Corp Iv cl a ord 0.8 $6.5M 638k 10.23
Graf Industrial Corp 0.8 $6.3M 632k 9.95
Zillow Group Inc note 2.000%12/0 0.8 $6.2M 5.5k 1129.27
Silicon Laboratories Inc convertible security 0.8 $6.2M 5.0k 1241.40
Haymaker Acquisition Unt 0.7 $6.1M 600k 10.21
Workday Inc note 0.250%10/0 0.7 $6.0M 4.0k 1494.00
Collier Creek Holdings unit 99/99/9999 0.7 $6.0M 578k 10.30
stock 0.7 $5.9M 47k 125.77
Landcadia Holdings Ii Unt 0.7 $5.8M 584k 10.00
HEICO Corporation (HEI.A) 0.7 $5.7M 55k 103.38
Anadarko Petroleum Corporation 0.6 $5.3M 75k 70.56
Amci Acquisition Corp unit 01/07/2019 0.6 $5.1M 500k 10.18
Advanced Micro Devices (AMD) 0.6 $5.0M 165k 30.36
Dexcom Inc dbcv 0.750% 5/1 0.6 $4.8M 3.0k 1595.33
Megalith Finl Acquisition Co unit 09/30/2025 0.6 $4.8M 467k 10.25
Gores Holdings Iii Inc unit 09/07/2024 0.6 $4.8M 455k 10.47
Discovery Communications 0.6 $4.7M 165k 28.45
Carnival (CUK) 0.6 $4.5M 100k 45.27
Pattern Energy Group Inc. 4.00% July 15, 2020 ccb 0.6 $4.6M 4.5k 1008.84
Mongodb Inc. Class A (MDB) 0.6 $4.6M 30k 152.11
Nuvasive Inc note 2.250% 3/1 0.5 $4.5M 3.9k 1133.54
Thunder Bridge Acquisition L shs class a 0.5 $4.5M 430k 10.43
Opes Acquisition Corp 0.5 $4.3M 422k 10.26
Brookfield Property Reit Inc cl a 0.5 $4.2M 224k 18.89
Dell Technologies (DELL) 0.5 $4.2M 83k 50.81
Arya Sciences Acquisition Co unit 10/04/2023 0.5 $4.2M 392k 10.69
First Majestic Silver Corp note 1.875% 3/0 0.5 $4.3M 4.0k 1066.00
International Paper Company (IP) 0.5 $4.1M 95k 43.32
Advanced Disposal Services I 0.5 $4.1M 130k 31.91
Modern Media Acquisition 0.5 $4.1M 394k 10.50
Thunder Bridge Acquisition L *w exp 01/01/202 0.5 $4.2M 2.1M 2.02
Magnachip Semiconductor Corp (MX) 0.5 $4.0M 387k 10.35
B Riley Principal Merger Cor unit 99/99/9999 0.5 $4.0M 402k 9.98
Gigcapital2 Inc unit 02/28/2026 0.5 $4.0M 400k 10.03
Xilinx 0.5 $3.8M 32k 117.92
Chaserg Technlgy Acquisitn C unit 09/30/2023 0.5 $3.8M 375k 10.23
Celgene Corporation 0.5 $3.7M 40k 92.45
Chardan Healthcare Acquisition 0.5 $3.7M 400k 9.36
United States Oil Fund 0.4 $3.6M 300k 12.04
Seacor Holding Inc note 3.000 11/1 0.4 $3.6M 3.7k 981.33
Spdr S&p 500 Etf (SPY) 0.4 $3.5M 12k 293.00
WABCO Holdings 0.4 $3.4M 26k 132.62
Global Brass & Coppr Hldgs I 0.4 $3.5M 79k 43.74
Tpg Pace Hldgs Corp cl a 0.4 $3.4M 328k 10.40
Caesars Entmt Corp note 5.000%10/0 0.4 $3.4M 2.0k 1713.50
Cypress Semiconductor Corp note 4.500% 1/1 0.4 $3.4M 2.0k 1676.50
Electronics For Imaging 0.4 $3.2M 88k 36.91
Legacy Acquisition Corp unit 05/31/2024 0.4 $3.3M 313k 10.45
Avista Corporation (AVA) 0.4 $3.1M 70k 44.60
Forum Merger Ii Corp unit 09/30/2025 0.4 $3.2M 300k 10.61
Republic Services (RSG) 0.4 $3.0M 35k 86.63
Sierra Wireless 0.4 $3.1M 254k 12.08
Leisure Acquisition Corp unit 99/99/9999 0.4 $3.1M 294k 10.42
Colony Starwood Homes convertible security 0.4 $3.1M 2.5k 1222.00
Trinity Merger Corp 0.4 $3.1M 290k 10.63
Dd3 Acquisition Corp unit 10/12/2023 0.4 $3.1M 300k 10.24
Hennessy Cap Acqustion Corp unit 99/99/9999 0.4 $3.1M 299k 10.32
MGM Resorts International. (MGM) 0.4 $3.0M 105k 28.57
Tableau Software Inc Cl A 0.3 $2.9M 18k 166.00
Pure Acquisition Corp cl a 0.3 $2.9M 286k 10.14
Lf Cap Acquisition Corp unit 06/19/2025 0.3 $2.9M 277k 10.42
Twitter Inc note 0.250% 6/1 0.3 $2.9M 3.0k 976.67
Versum Matls 0.3 $2.7M 53k 51.58
Churchill Cap Corp Ii unit 99/99/9999 0.3 $2.7M 268k 10.15
Zillow Group Inc Cl A (ZG) 0.3 $2.7M 59k 45.76
Liberty Broadband Corporation (LBRDA) 0.3 $2.6M 25k 102.84
Zayo Group Hldgs 0.3 $2.6M 79k 32.91
Target Hospitality Corp (TH) 0.3 $2.5M 280k 9.10
Array BioPharma 0.3 $2.5M 55k 46.33
Central Garden & Pet (CENTA) 0.3 $2.5M 100k 24.64
Liberty Media Corp Delaware Com A Siriusxm 0.3 $2.5M 65k 37.81
Magnolia Oil & Gas Corp tpg pace energy hold 0.3 $2.5M 742k 3.34
Gs Acquisition Holdings Cl A Ord 0.3 $2.5M 248k 10.14
Monocle Acquisition Corp 0.3 $2.5M 252k 9.90
Control4 0.3 $2.4M 102k 23.75
Tiberius Acquisition Corp unit 02/28/2021 0.3 $2.4M 231k 10.51
Cypress Semiconductor Co convertible security 0.3 $2.4M 2.0k 1182.00
Mercer International (MERC) 0.3 $2.3M 150k 15.47
Multi-Color Corporation 0.3 $2.3M 46k 49.96
First Trust Cloud Computing Et (SKYY) 0.3 $2.3M 40k 57.78
Big Rock Partners Acquisi Co unit 11/20/2022 0.3 $2.3M 240k 9.53
Legacy Acquisition Corp 0.3 $2.3M 231k 10.10
Far Pt Acquisition Corp cl a founders sh 0.3 $2.3M 225k 10.19
Bunge 0.3 $2.2M 40k 55.72
Wpx Energy 0.3 $2.3M 197k 11.51
First Data 0.3 $2.3M 84k 27.07
Danaher Corporation 4.75 mnd cv p 0.3 $2.2M 2.0k 1104.50
8i Enterprises Acquisitin Co unit 99/99/9999 0.3 $2.3M 214k 10.55
Health Sciences Acqustn Corp unit 04/01/2024 0.3 $2.2M 212k 10.60
Liberty Tripadvisor Hldgs (LTRPA) 0.3 $2.1M 173k 12.40
Regalwood Global Energy Ltd unit 99/99/9999 0.3 $2.2M 208k 10.35
Gores Metropoulos Inc unit 99/99/9999 0.3 $2.1M 202k 10.47
Monolithic Power Systems (MPWR) 0.2 $2.0M 15k 135.80
UQM Technologies 0.2 $2.1M 1.2M 1.65
Allergan 0.2 $2.1M 13k 167.44
Gigcapital 0.2 $2.1M 199k 10.30
Senseonics Hldgs Inc note 5.250% 2/0 0.2 $2.1M 2.0k 1040.00
Longevity Acquisition Corp unit 08/29/2024 0.2 $2.1M 200k 10.32
ON Semiconductor (ON) 0.2 $2.0M 100k 20.21
Cars (CARS) 0.2 $2.0M 102k 19.72
Big Rock Partners Acquisi 0.2 $2.0M 193k 10.43
Vale (VALE) 0.2 $1.9M 140k 13.44
Pure Acquisition Corp *w exp 04/17/202 0.2 $1.9M 1.8M 1.08
Brown-Forman Corporation (BF.A) 0.2 $1.8M 33k 55.00
Greenland Acquisitin Corpora unit 03/03/2025 0.2 $1.9M 176k 10.57
Alberton Acquisition Corp unit 04/22/2020 0.2 $1.8M 172k 10.46
Tuscan Holdings Corp 0.2 $1.8M 182k 9.88
Stewart Information Services Corporation (STC) 0.2 $1.7M 43k 40.49
Pointer Telocation 0.2 $1.7M 115k 15.25
Waste Connections (WCN) 0.2 $1.8M 19k 95.59
Intel Corporation (INTC) 0.2 $1.7M 35k 47.86
El Paso Electric Company 0.2 $1.7M 26k 65.42
Mudrick Cap Acquisition Corp 0.2 $1.7M 167k 10.16
Mosaic Acquisition Corp unit 99/99/9999 0.2 $1.6M 156k 10.57
Amber Road 0.2 $1.6M 121k 13.06
New Frontier Corp unit 99/99/9999 0.2 $1.6M 150k 10.40
Nrc Group Hldgs Corp 0.2 $1.5M 139k 11.12
Fidelity Southern Corporation 0.2 $1.5M 48k 30.97
90184l Ab 8 Twitter Inc Note 0.250% 9/1 twitter 0.2 $1.5M 1.5k 993.33
Bluegreen Vacations Ord 0.2 $1.5M 130k 11.69
Lions Gate Entmnt Corp cl b non vtg 0.2 $1.4M 123k 11.61
Chaserg Technlgy Acquisitn C class a 0.2 $1.4M 144k 10.04
Fox Corp (FOXA) 0.2 $1.4M 39k 36.64
DISH Network 0.2 $1.3M 35k 38.40
Monocle Acquisition Corp unit 99/99/9999 0.2 $1.3M 126k 10.30
NVIDIA Corporation (NVDA) 0.1 $1.2M 7.5k 164.27
TCF Financial Corporation 0.1 $1.3M 62k 20.80
Everi Hldgs (EVRI) 0.1 $1.3M 105k 11.93
Coupa Software 0.1 $1.3M 10k 126.70
Agba Acquistion 0.1 $1.2M 122k 10.02
Waste Management (WM) 0.1 $1.2M 10k 115.40
Maxim Integrated Products 0.1 $1.2M 19k 59.80
Hydrogenics Corporation 0.1 $1.2M 79k 14.85
Under Armour Inc Cl C (UA) 0.1 $1.1M 51k 22.20
Liberty Media Corp Del Com Ser 0.1 $1.1M 31k 35.87
Aphria Inc foreign 0.1 $1.1M 150k 7.01
Leisure Acquisition Corp 0.1 $1.1M 110k 10.13
Gs Acquisition Hldgs Corp unit 06/12/2023 0.1 $1.1M 100k 10.50
CECO Environmental (CECO) 0.1 $1.0M 105k 9.59
Avaya Holdings Corp 0.1 $953k 80k 11.91
Trinity Merger Corp 0.1 $1.0M 100k 10.30
Fintech Acquisition Corp Iii 0.1 $981k 100k 9.81
Pack (PACK) 0.1 $956k 108k 8.85
Diamond Eagle Acquisition Co unit 0.1 $1.0M 100k 10.06
Diamondpeak Hldgs Cor 0.1 $972k 100k 9.72
BGC Partners 0.1 $941k 180k 5.23
News (NWSA) 0.1 $871k 65k 13.50
Liberty Media Corp Delaware Com C Braves Grp 0.1 $949k 34k 27.97
Social Cap Hedosophia Hldgs *w exp 99/99/999 0.1 $911k 680k 1.34
Twelve Seas Investment Compa unit 06/21/2023 0.1 $942k 89k 10.61
Ii-vi 0.1 $801k 22k 36.54
Del Friscos Restaurant 0.1 $830k 104k 7.96
Spark Therapeutics 0.1 $809k 7.9k 102.41
Liberty Expedia Holdings ser a 0.1 $855k 18k 47.78
Twelve Seas Investment Compa 0.1 $837k 83k 10.15
Tkk Symphony Acquistion Cor 0.1 $821k 82k 10.01
Alithya Group Inc cl a sub vtg (ALYAF) 0.1 $839k 347k 2.42
Accenture (ACN) 0.1 $739k 4.0k 184.75
Caesars Entertainment 0.1 $773k 65k 11.82
National Energy Services Reu *w exp 05/05/202 (NESRW) 0.1 $734k 863k 0.85
Lf Cap Acquisition Corp cl a 0.1 $761k 75k 10.15
Forum Merger Ii Corp cl a 0.1 $753k 75k 10.04
Nrc Group Holdings Corp nrc group holdings corp-cw24 0.1 $727k 441k 1.65
Suntrust Banks Inc $1.00 Par Cmn 0.1 $629k 10k 62.86
Speedway Motorsports 0.1 $690k 37k 18.55
iShares Dow Jones Transport. Avg. (IYT) 0.1 $677k 3.6k 188.06
Pretium Res Inc Com Isin# Ca74 0.1 $627k 63k 10.02
Abbvie (ABBV) 0.1 $625k 8.6k 72.67
Rosehill Resources 0.1 $652k 196k 3.33
Target Hospitality Corp *w exp 03/15/202 0.1 $671k 336k 2.00
Tuscan Holdings Corp tuscan holdings corp-cw26 0.1 $663k 850k 0.78
Greenlane Holdings Cl A Ord 0.1 $671k 70k 9.59
Quad/Graphics (QUAD) 0.1 $610k 77k 7.91
Worldpay Ord 0.1 $600k 4.9k 122.45
HFF 0.1 $460k 10k 45.45
Intermolecular 0.1 $531k 454k 1.17
Varonis Sys (VRNS) 0.1 $496k 8.0k 62.00
Edtechx Hldgs Acquisition 0.1 $493k 50k 9.86
Chardan Healthcare Acquisiti 0.1 $461k 49k 9.35
United States Steel Corporation 0.1 $383k 25k 15.32
Shutterfly 0.1 $409k 8.1k 50.49
Medidata Solutions 0.1 $407k 4.5k 90.44
Liberty Global Inc Com Ser A 0.1 $453k 17k 26.97
Liberty Latin America (LILA) 0.1 $430k 25k 17.23
Cf Finance Acquisition Corp cf finance acquisition -cw25 0.1 $377k 628k 0.60
Rosehill Resources Inc - A warrant 0.0 $372k 865k 0.43
Gordon Pointe Acquisition 0.0 $350k 34k 10.34
Dfb Healthcare Acquistion 0.0 $354k 35k 10.11
Far Pt Acquisition Corp w exp 06/01/202 0.0 $332k 260k 1.28
Alberton Acquisition Corp ord 0.0 $347k 34k 10.13
Ranpak Hldgs Corp *w exp 06/03/202 0.0 $331k 276k 1.20
Seacor Holdings 0.0 $285k 6.0k 47.50
HopFed Ban 0.0 $258k 14k 18.95
Tpg Pace Hldgs Corp w exp 99/99/999 0.0 $221k 140k 1.58
Twelve Seas Investment Compa right 12/22/2019 0.0 $258k 888k 0.29
Concrete Pumping Hldgs (BBCP) 0.0 $267k 52k 5.11
Gty Govtech Inc gty govtech 0.0 $251k 37k 6.86
MidSouth Ban 0.0 $128k 11k 11.81
Gores Hldin-cw20 equity wrt 0.0 $179k 94k 1.90
Capitol Invt Corp Iv *w exp 01/01/202 0.0 $204k 147k 1.39
Leo Holdings Corp *w exp 02/07/202 0.0 $188k 150k 1.25
Allegro Merger Corp 0.0 $180k 18k 10.00
Megalith Finl Acquisition Co cl a 0.0 $200k 20k 10.06
Gs Acquisition Hldgs Corp *w exp 06/12/202 0.0 $126k 101k 1.25
Twelve Seas Investment Compa *w exp 12/22/202 0.0 $150k 749k 0.20
Pivotal Acquisition Corp pivotal acquisition co-cw24 0.0 $145k 107k 1.35
Big Rock Partners Acquisi Co right 12/01/2022 0.0 $44k 340k 0.13
Gigcapital Inc right 03/06/2020 0.0 $68k 131k 0.52
Gigcapital Inc w exp 06/08/202 0.0 $76k 254k 0.30
Tiberius Acquisition Corp w exp 02/28/202 0.0 $54k 173k 0.31
Sentinel Energy Svcs Inc *w exp 11/02/202 0.0 $61k 87k 0.70
Alberton Acquisition Corp right 10/04/2020 0.0 $55k 220k 0.25
Loacw Us 31 Jul 25 C11.5 w exp 07/31/202 0.0 $92k 656k 0.14
Pivotal Acquisition Cl A Ord 0.0 $107k 11k 10.14
Hertz Global Hldgs Inc right 07/12/2019 0.0 $49k 25k 1.96
8i Enterprises Acquisiti-rts rights 0.0 $57k 150k 0.38
Modern Media Acquisition right 99/99/9999 0.0 $3.0k 10k 0.30
Big Rock Partners Acquisi Co *w exp 12/01/202 0.0 $22k 101k 0.22
Legacy Acquisition Corp wt 0.0 $3.0k 10k 0.30
Leisure Acquisition Corp *w exp 12/05/201 0.0 $19k 35k 0.54
Forum Merger Ii Corp warrant 0.0 $25k 39k 0.63
Alacw Us 21 Nov 23 C11.5 w exp 04/26/202 0.0 $23k 209k 0.11
Dd3 Acquisition Corp *w exp 10/20/202 0.0 $4.0k 20k 0.20
Chardan Healthcare Acquisiti *w exp 12/13/202 0.0 $32k 72k 0.45
Hennessy Cap Acqustion Corp *w exp 09/05/202 0.0 $30k 50k 0.60
Diamondpeak Hldgs Cor *w exp 02/22/202 0.0 $13k 16k 0.83