K2 Principal Fund

K2 Principal Fund as of Sept. 30, 2019

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 278 positions in its portfolio as reported in the September 2019 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Amazon (AMZN) 3.6 $33M 19k 1735.89
Social Cap Hedosophia Hldgs cl a 2.3 $21M 2.0M 10.70
Franco-Nevada Corporation (FNV) 1.8 $17M 187k 91.16
Finisar Corp note 0.500%12/1 1.7 $16M 16k 997.32
Visa (V) 1.7 $16M 93k 172.02
Vaneck Vectors Semiconductor Etf semiconductor (SMH) 1.5 $14M 115k 119.13
Advanced Micro Devices (AMD) 1.4 $13M 445k 28.99
Invesco Qqq Trust Series 1 (QQQ) 1.3 $12M 65k 188.80
Xilinx 1.3 $12M 125k 95.90
Mosaic Acquisition Corp 1.2 $11M 1.1M 10.33
Tpg Pace Hldgs Corp cl a 1.2 $11M 1.1M 10.28
Gannett Co Inc note 4.750% 4/1 1.2 $11M 10k 1081.30
Texas Instruments Incorporated (TXN) 1.1 $10M 80k 129.24
Alphabet Inc Class A cs (GOOGL) 1.1 $10M 8.3k 1221.13
Aerojet Rocketdyne Hldgs Inc Note 2.25012/1 bnd 1.1 $10M 5.0k 1995.60
Colony Starwood Homes convertible security 1.1 $10M 7.5k 1331.60
Pure Acquisition Corp unit 04/13/2023 1.1 $10M 929k 10.73
Far Pt Acquisition Corp unit 06/01/2025 1.1 $9.8M 917k 10.69
Cf Fin Acquisition Corp unit 04/30/2025 1.0 $9.5M 895k 10.59
Waste Connections (WCN) 1.0 $9.3M 76k 121.72
iShares iBoxx $ High Yid Corp Bond (HYG) 0.9 $8.7M 100k 87.18
Legacy Acquisition Corp 0.9 $8.7M 857k 10.20
Tuscan Holdings Corp unit 99/99/9999 0.9 $8.5M 800k 10.69
Spartan Energy Acquisition Cl A Unt 0.9 $8.4M 809k 10.36
Blackberry Ltd ebt 3.750%11/1 0.9 $8.2M 8.2k 1001.23
Qualcomm (QCOM) 0.9 $8.0M 105k 76.28
Fintech Acquisition Corp Iii unit 12/01/2023 0.9 $8.0M 750k 10.68
Proofpoint 0.9 $8.0M 62k 129.06
Cypress Semiconductor Corp note 4.500% 1/1 0.8 $7.8M 4.5k 1741.65
Alder Biopharmaceuticals Inc convertible security 0.8 $7.7M 7.0k 1105.14
iShares S&P NA Tec.-SW. Idx. Fund (IGV) 0.8 $7.3M 35k 211.88
Insurance Acquisition Corp unit 03/31/2024 0.8 $7.3M 700k 10.42
Dfb Healthcare Acquistion 0.8 $7.2M 712k 10.18
Pvh Corporation (PVH) 0.7 $6.7M 76k 88.24
Mongodb Inc. Class A (MDB) 0.7 $6.4M 54k 120.47
Silicon Laboratories Inc convertible security 0.7 $6.5M 5.0k 1303.80
Gx Acquisiton Unt 0.7 $6.5M 638k 10.20
Norbord 0.7 $6.4M 200k 31.76
Graf Industrial Corp 0.7 $6.3M 632k 10.03
Collier Creek Holdings unit 99/99/9999 0.7 $6.2M 578k 10.70
NVIDIA Corporation (NVDA) 0.7 $6.1M 35k 174.06
WABCO Holdings 0.7 $6.1M 45k 133.74
Haymaker Acquisition Unt 0.6 $5.9M 575k 10.33
Avaya Holdings Corp convertible security 0.6 $5.9M 7.0k 847.34
McDonald's Corporation (MCD) 0.6 $5.8M 27k 214.71
Weyerhaeuser Company (WY) 0.6 $5.8M 210k 27.70
Pattern Energy Group Inc. 4.00% July 15, 2020 ccb 0.6 $5.8M 5.5k 1047.60
Advanced Disposal Services I 0.6 $5.8M 178k 32.57
First Trust Cloud Computing Et (SKYY) 0.6 $5.8M 103k 56.42
Brown-Forman Corporation (BF.A) 0.6 $5.7M 95k 59.75
iShares Lehman Aggregate Bond (AGG) 0.6 $5.7M 50k 113.18
Greenland Acquisitin Corpora 0.6 $5.4M 524k 10.35
Pivotal Software Inc ordinary shares 0.6 $5.3M 358k 14.92
New Frontier Corp 0.6 $5.2M 516k 10.17
Twitter Inc note 0.250% 6/1 0.6 $5.3M 5.0k 1061.00
Workday Inc note 0.250%10/0 0.6 $5.2M 4.0k 1306.75
Amci Acquisition Corp unit 01/07/2019 0.6 $5.2M 500k 10.35
Sc Health Corp unit 99/99/9999 0.6 $5.2M 500k 10.35
Microsoft Corporation (MSFT) 0.5 $5.0M 36k 139.03
Celgene Corporation 0.5 $5.0M 50k 99.30
HEICO Corporation (HEI.A) 0.5 $4.9M 51k 97.32
Versum Matls 0.5 $4.9M 92k 52.93
Gores Holdings Iii Inc unit 09/07/2024 0.5 $4.8M 455k 10.55
Tuscan Hldgs Corp Ii unit 04/01/2026 0.5 $4.8M 475k 10.05
Wright Medical Group Nv 2.25 20211115 0.5 $4.7M 4.0k 1169.50
Dexcom Inc dbcv 0.750% 5/1 0.5 $4.8M 3.0k 1587.33
First Majestic Silver Corp note 1.875% 3/0 0.5 $4.7M 4.0k 1172.50
Carnival (CUK) 0.5 $4.6M 110k 42.07
Nuvasive Inc note 2.250% 3/1 0.5 $4.6M 3.9k 1176.95
Megalith Finl Acquisition Co unit 09/30/2025 0.5 $4.6M 442k 10.46
Brookfield Property Reit Inc cl a 0.5 $4.6M 224k 20.39
Dd3 Acquisition Corp 0.5 $4.5M 443k 10.15
Trine Acquisition Corp unit 03/31/2021 0.5 $4.5M 439k 10.35
Wynn Resorts (WYNN) 0.5 $4.3M 40k 108.72
Genesee & Wyoming 0.5 $4.3M 39k 110.51
Zayo Group Hldgs 0.5 $4.3M 128k 33.90
stock 0.5 $4.2M 36k 117.86
Arya Sciences Acquisition Co unit 10/04/2023 0.5 $4.3M 392k 10.95
International Paper Company (IP) 0.5 $4.2M 100k 41.82
Allergan 0.5 $4.2M 25k 168.28
Innovative Industria A (IIPR) 0.5 $4.2M 45k 92.36
Gigcapital2 Inc unit 02/28/2026 0.5 $4.1M 400k 10.30
TJX Companies (TJX) 0.4 $4.1M 73k 55.74
Landcadia Holdings Ii Unt 0.4 $4.1M 405k 10.10
Replay Acquisition Unt 0.4 $4.1M 399k 10.21
Pivotal Invt Corp Ii unit 06/01/2025 0.4 $4.1M 400k 10.18
Netfin Acquisition Corp unit 08/01/2024 0.4 $4.0M 400k 10.09
Oaktree Acquisition Corp unit 99/99/9999 0.4 $4.1M 400k 10.16
Suntrust Banks Inc $1.00 Par Cmn 0.4 $4.0M 58k 68.80
Zillow Group Inc note 2.000%12/0 0.4 $4.0M 4.0k 989.75
Chaserg Technlgy Acquisitn C unit 09/30/2023 0.4 $4.0M 375k 10.65
Mountain Province Diamonds (MPVDF) 0.4 $3.9M 3.2M 1.24
Everi Hldgs (EVRI) 0.4 $3.9M 463k 8.46
Chardan Healthcare Acquisiti 0.4 $3.9M 385k 10.15
B Riley Principal Merger Cor unit 99/99/9999 0.4 $3.9M 382k 10.10
Apex Technology Acquisitn Co unit 06/11/2026 0.4 $3.8M 371k 10.19
Discovery Communications 0.4 $3.7M 149k 24.62
salesforce (CRM) 0.4 $3.7M 25k 148.44
Zynga 0.4 $3.7M 644k 5.82
KLA-Tencor Corporation (KLAC) 0.4 $3.6M 23k 159.47
Seacor Holding Inc note 3.000 11/1 0.4 $3.6M 3.7k 979.70
Cypress Semiconductor Co convertible security 0.4 $3.6M 3.0k 1210.33
Walt Disney Company (DIS) 0.4 $3.5M 27k 130.33
Avista Corporation (AVA) 0.4 $3.5M 71k 48.44
Domtar Corp 0.4 $3.5M 97k 35.82
Caesars Entmt Corp note 5.000%10/0 0.4 $3.4M 2.0k 1702.50
eBay (EBAY) 0.4 $3.3M 85k 38.98
Vale (VALE) 0.3 $3.2M 280k 11.50
Magnachip Semiconductor Corp (MX) 0.3 $3.2M 316k 10.14
Forum Merger Ii Corp unit 09/30/2025 0.3 $3.2M 300k 10.70
Carrizo Oil & Gas 0.3 $3.1M 365k 8.58
Leisure Acquisition Corp unit 99/99/9999 0.3 $3.1M 294k 10.66
El Paso Electric Company 0.3 $3.0M 45k 67.08
Liberty Media Corp Del Com Ser 0.3 $3.1M 78k 39.60
Wheaton Precious Metals Corp (WPM) 0.3 $3.0M 115k 26.25
New Providence Acquisitin Co unit 09/01/2024 0.3 $3.0M 300k 10.09
Monotype Imaging Holdings 0.3 $3.0M 150k 19.81
Vitamin Shoppe Inc note 2.250 12/0 0.3 $3.0M 3.0k 986.33
Pure Acquisition Corp cl a 0.3 $3.0M 289k 10.25
Lf Cap Acquisition Corp unit 06/19/2025 0.3 $2.9M 277k 10.59
Churchill Cap Corp Ii unit 99/99/9999 0.3 $2.8M 269k 10.51
Lions Gate Entmnt Corp cl b non vtg 0.3 $2.8M 317k 8.74
Liberty Broadband Corporation (LBRDA) 0.3 $2.7M 26k 104.50
Liberty Media Corp Delaware Com A Siriusxm 0.3 $2.7M 65k 41.57
Sentinel Energy Svcs Inc cl a 0.3 $2.7M 263k 10.27
Lennar Corporation (LEN.B) 0.3 $2.6M 59k 44.38
Paypal Holdings (PYPL) 0.3 $2.6M 25k 103.60
Condor Hospitality reit 0.3 $2.6M 236k 11.05
Big Rock Partners Acquisi Co unit 11/20/2022 0.3 $2.6M 240k 10.70
Tiberius Acquisition Corp unit 02/28/2021 0.3 $2.5M 231k 10.77
Gs Acquisition Holdings Cl A Ord 0.3 $2.5M 248k 10.20
Monocle Acquisition Corp 0.3 $2.5M 252k 9.96
Corindus Vascular Robotics I 0.3 $2.4M 572k 4.28
Valley National Ban (VLY) 0.2 $2.3M 213k 10.87
United States Oil Fund 0.2 $2.3M 200k 11.34
OMNOVA Solutions 0.2 $2.3M 233k 10.07
Far Pt Acquisition Corp cl a founders sh 0.2 $2.3M 225k 10.22
Twelve Seas Investment Compa 0.2 $2.3M 228k 10.24
Danaher Corporation 4.75 mnd cv p 0.2 $2.3M 2.0k 1140.00
8i Enterprises Acquisitin Co unit 99/99/9999 0.2 $2.3M 214k 10.62
Health Sciences Acqustn Corp unit 04/01/2024 0.2 $2.3M 212k 10.73
Pdc Energy 0.2 $2.2M 80k 27.76
Regalwood Global Energy Ltd unit 99/99/9999 0.2 $2.2M 208k 10.48
Sierra Wireless 0.2 $2.1M 195k 10.70
Vaneck Vectors Gold Miners mutual (GDX) 0.2 $2.2M 81k 26.70
Longevity Acquisition Corp unit 08/29/2024 0.2 $2.1M 200k 10.65
Gores Metropoulos Inc unit 99/99/9999 0.2 $2.1M 202k 10.60
Zebra Technologies (ZBRA) 0.2 $2.1M 10k 206.40
Big Rock Partners Acquisi 0.2 $2.0M 193k 10.58
Gigcapital 0.2 $2.1M 199k 10.40
Pure Acquisition Corp *w exp 04/17/202 0.2 $2.0M 1.9M 1.05
Medidata Solutions 0.2 $1.9M 21k 91.51
Avedro 0.2 $2.0M 86k 22.70
Carbonite Inc note 2.500% 4/0 0.2 $1.9M 2.0k 944.50
Alberton Acquisition Corp unit 04/22/2020 0.2 $1.8M 172k 10.55
Datadog Inc Cl A (DDOG) 0.2 $1.9M 55k 33.91
Stewart Information Services Corporation (STC) 0.2 $1.8M 46k 38.78
Maxim Integrated Products 0.2 $1.7M 30k 57.90
Cambrex Corporation 0.2 $1.7M 29k 59.49
Yatra Online Inc ord (YTRA) 0.2 $1.8M 427k 4.12
Hennessy Cap Acqustion Corp unit 99/99/9999 0.2 $1.8M 169k 10.55
Tuscan Holdings Corp 0.2 $1.8M 182k 9.80
Orisun Acquisition Corp unit 99/99/9999 0.2 $1.8M 175k 10.00
Bunge 0.2 $1.7M 30k 56.63
Pointer Telocation 0.2 $1.7M 113k 15.04
Mam Software Group 0.2 $1.7M 139k 12.06
Mudrick Cap Acquisition Corp 0.2 $1.7M 167k 10.19
Via 0.2 $1.6M 65k 24.03
New Frontier Corp unit 99/99/9999 0.2 $1.6M 150k 10.66
Cibc Cad (CM) 0.2 $1.5M 14k 109.28
Bluegreen Vacations Ord 0.2 $1.5M 157k 9.32
Chaserg Technlgy Acquisitn C class a 0.2 $1.4M 144k 10.01
Nrc Group Hldgs Corp 0.2 $1.5M 120k 12.44
Wpx Energy 0.1 $1.4M 132k 10.59
News (NWSA) 0.1 $1.4M 100k 13.92
Nrc Group Holdings Corp nrc group holdings corp-cw24 0.1 $1.3M 570k 2.36
Fox Corp (FOXA) 0.1 $1.4M 45k 31.54
Caesars Entertainment 0.1 $1.3M 109k 11.66
Gs Acquisition Hldgs Corp unit 06/12/2023 0.1 $1.3M 125k 10.65
Monocle Acquisition Corp unit 99/99/9999 0.1 $1.3M 126k 10.44
Rio Tinto (RIO) 0.1 $1.2M 23k 52.09
Prosperity Bancshares (PB) 0.1 $1.2M 17k 70.65
Navigant Consulting 0.1 $1.2M 42k 27.94
Waste Management (WM) 0.1 $1.2M 10k 115.00
New Media Inv Grp 0.1 $1.1M 127k 8.82
Liberty Tripadvisor Hldgs (LTRPA) 0.1 $1.1M 116k 9.41
Alteryx 0.1 $1.1M 11k 107.33
Leisure Acquisition Corp 0.1 $1.1M 110k 10.22
Gogo (GOGO) 0.1 $995k 165k 6.03
Alithya Group Inc cl a sub vtg (ALYAF) 0.1 $1.0M 348k 2.96
Fintech Acquisition Corp Iii 0.1 $1.0M 100k 10.07
Diamondpeak Hldgs Cor 0.1 $982k 100k 9.82
Health Sciences Acqustn Corp 0.1 $1.0M 103k 9.79
Taseko Cad (TGB) 0.1 $928k 1.9M 0.49
Alder Biopharmaceuticals 0.1 $969k 51k 18.85
Avaya Holdings Corp 0.1 $944k 92k 10.25
Twelve Seas Investment Compa unit 06/21/2023 0.1 $963k 89k 10.84
Neptune Wellness Solutions I 0.1 $890k 250k 3.56
Franklin Resources (BEN) 0.1 $875k 30k 28.87
Zillow Group Inc Cl A (ZG) 0.1 $818k 28k 29.53
Liberty Media Corp Delaware Com C Braves Grp 0.1 $842k 30k 27.75
Crescent Acquisition Corp unit 99/99/9999 0.1 $859k 85k 10.17
SPDR S&P Oil & Gas Explore & Prod. 0.1 $783k 35k 22.37
Pretium Res Inc Com Isin# Ca74 0.1 $721k 63k 11.52
Lf Cap Acquisition Corp cl a 0.1 $770k 75k 10.27
Forum Merger Ii Corp cl a 0.1 $758k 75k 10.11
CBS Corporation 0.1 $606k 15k 40.40
Under Armour (UAA) 0.1 $682k 34k 19.94
Callon Pete Co Del Com Stk 0.1 $651k 150k 4.34
Cars (CARS) 0.1 $639k 71k 8.98
Tuscan Holdings Corp tuscan holdings corp-cw26 0.1 $626k 823k 0.76
Americas Gold And Silver Cor 0.1 $684k 240k 2.85
Netflix (NFLX) 0.1 $536k 2.0k 268.00
Just Energy Group 0.1 $585k 247k 2.37
Social Cap Hedosophia Hldgs *w exp 99/99/999 0.1 $538k 215k 2.50
Edtechx Hldgs Acquisition 0.1 $520k 51k 10.16
Cf Fin Acquisition Corp 0.1 $513k 51k 10.11
Cf Finance Acquisition Corp cf finance acquisition -cw25 0.1 $570k 878k 0.65
iShares Dow Jones Transport. Avg. (IYT) 0.1 $484k 2.6k 186.15
Castle Brands 0.1 $480k 381k 1.26
Liberty Global Inc C 0.1 $433k 18k 23.78
Trinity Merger Corp *w exp 05/11/202 0.1 $468k 368k 1.27
BGC Partners 0.0 $381k 69k 5.51
CECO Environmental (CECO) 0.0 $407k 58k 6.99
Old Line Bancshares 0.0 $389k 13k 28.99
Daily Gold Miners Index Bull 3x Shs New Feb 2017 0.0 $390k 14k 27.86
Rosehill Resources 0.0 $335k 190k 1.76
National Energy Services Reu *w exp 05/05/202 (NESRW) 0.0 $345k 863k 0.40
Twelve Seas Investment Compa right 12/22/2019 0.0 $334k 1.0M 0.32
Alberton Acquisition Corp ord 0.0 $351k 34k 10.25
Target Hospitality Corp *w exp 03/15/202 0.0 $372k 354k 1.05
Chardan Healthcare Acquisiti *w exp 12/13/202 0.0 $354k 472k 0.75
8i Enterprises Acquisitin 0.0 $328k 33k 10.00
Intel Corporation (INTC) 0.0 $258k 5.0k 51.60
Zagg 0.0 $314k 50k 6.28
Pembina Pipeline Corp (PBA) 0.0 $244k 5.0k 49.11
Src Energy 0.0 $280k 60k 4.67
Gigcapital Inc right 03/06/2020 0.0 $315k 354k 0.89
Far Pt Acquisition Corp w exp 06/01/202 0.0 $312k 260k 1.20
Twelve Seas Investment Compa *w exp 12/22/202 0.0 $289k 902k 0.32
Dell Technologies (DELL) 0.0 $259k 5.0k 51.80
Wesco Aircraft Holdings 0.0 $211k 19k 11.02
Silvercrest Metals 0.0 $147k 21k 6.90
Canada Goose Holdings Inc shs sub vtg (GOOS) 0.0 $210k 3.6k 58.33
Rosehill Resources Inc - A warrant 0.0 $156k 865k 0.18
Aphria Inc foreign 0.0 $173k 25k 6.87
Kbl Merger Corp Iv 0.0 $212k 20k 10.50
Gigcapital Inc w exp 06/08/202 0.0 $216k 318k 0.68
Allegro Merger Corp 0.0 $182k 18k 10.11
Megalith Finl Acquisition Co cl a 0.0 $201k 20k 10.11
Target Hospitality Corp (TH) 0.0 $160k 24k 6.79
Fortuna Silver Mines 0.0 $113k 37k 3.09
Big Rock Partners Acquisi Co right 12/01/2022 0.0 $65k 340k 0.19
Dfb Healthcare Acquistion Co *w exp 04/11/202 0.0 $137k 95k 1.44
Leo Holdings Corp *w exp 02/07/202 0.0 $111k 150k 0.74
Tiberius Acquisition Corp w exp 02/28/202 0.0 $102k 173k 0.59
Gs Acquisition Hldgs Corp *w exp 06/12/202 0.0 $137k 101k 1.36
Golden Star Res Ltd F 0.0 $75k 20k 3.81
New Frontier Corp warrant 0.0 $100k 100k 1.00
Greenland Acquisitin Corpora right 04/27/2025 0.0 $96k 160k 0.60
Alberton Acquisition Corp right 10/04/2020 0.0 $78k 270k 0.29
Loacw Us 31 Jul 25 C11.5 w exp 07/31/202 0.0 $59k 658k 0.09
Dd3 Acquisition Corp *w exp 10/20/202 0.0 $99k 292k 0.34
Pivotal Acquisition Corp pivotal acquisition co-cw24 0.0 $137k 107k 1.28
Ranpak Hldgs Corp *w exp 06/03/202 0.0 $103k 138k 0.75
8i Enterprises Acquisiti-rts rights 0.0 $65k 150k 0.43
Seacor Holdings Inc note 2.500%12/1 0.0 $10k 10.00 1000.00
Big Rock Partners Acquisi Co *w exp 12/01/202 0.0 $17k 101k 0.17
Legacy Acquisition Corp wt 0.0 $17k 48k 0.36
Leisure Acquisition Corp *w exp 12/05/201 0.0 $25k 35k 0.71
Greenland Acquisitin Corpora *w exp 03/03/202 0.0 $33k 176k 0.19
Forum Merger Ii Corp warrant 0.0 $23k 39k 0.58
Sentinel Energy Svcs Inc *w exp 11/02/202 0.0 $35k 87k 0.40
Alacw Us 21 Nov 23 C11.5 w exp 04/26/202 0.0 $26k 234k 0.11
Hennessy Cap Acqustion Corp *w exp 09/05/202 0.0 $39k 50k 0.78
Diamondpeak Hldgs Cor *w exp 02/22/202 0.0 $13k 16k 0.84
8i Enterprises Acquisi -cw25 warrants 0.0 $25k 63k 0.39
Gigcapital2 Inc right 02/28/2026 0.0 $8.9k 30k 0.30