K2 Principal Fund

K2 Principal Fund as of March 31, 2023

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 244 positions in its portfolio as reported in the March 2023 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Target Corporation Call Option (TGT) 3.8 $28M 167k 165.63
Freeport-mcmoran CL B Put Option (FCX) 3.5 $26M 625k 40.91
Ishares Tr 20 Yr Tr Bd Etf Call Option (TLT) 3.5 $26M 240k 106.37
Bk Nova Cad Call Option (BNS) 3.3 $24M 482k 50.36
Freshpet Call Option (FRPT) 2.9 $21M 321k 66.19
Spdr Sp 500 Etf Tr Tr Unit Put Option (SPY) 2.8 $21M 50k 409.39
Ishares Tr Iboxx Hi Yd Etf Put Option (HYG) 2.8 $20M 269k 75.55
Atlantica Sustainable Infra Note 4.000 7/1 (Principal) 2.7 $20M 19k 1023.24
Spdr Ser Tr Sp Metals Mng Put Option (XME) 2.7 $19M 365k 53.16
Silverback Therapeutics Call Option (SPRY) 2.5 $18M 2.8M 6.51
Dropbox Note 3/0 (Principal) 1.9 $14M 16k 888.60
Splunk Note 0.500 9/1 (Principal) 1.8 $13M 13k 976.45
San Juan Basin Rty Tr Unit Ben Int Call Option (SJT) 1.8 $13M 1.2M 10.52
Wisdomtree Note 4.250 6/1 (Principal) 1.7 $13M 12k 1043.29
Mr Cooper Group Call Option (COOP) 1.6 $12M 286k 40.97
Royal Gold Call Option (RGLD) 1.6 $12M 89k 129.71
Envestnet Note 0.750 8/1 (Principal) 1.6 $11M 13k 902.08
Marathon Petroleum Corp Put Option (MPC) 1.5 $11M 82k 134.83
Spotify Usa Note 3/1 (Principal) 1.5 $11M 13k 835.73
Nutanix Note 0.25010/0 (Principal) 1.5 $11M 13k 832.47
Royal Caribbean Cruises Put Option (RCL) 1.5 $11M 163k 65.30
PennyMac Mortgage Investment Trust (PMT) 1.4 $10M 840k 12.33
Toll Brothers Call Option (TOL) 1.4 $10M 167k 60.03
Docusign Note 1/1 (Principal) 1.3 $9.8M 10k 956.46
Ishares Gold Tr Ishares New Call Option (IAU) 1.3 $9.2M 245k 37.37
Tripadvisor Note 0.250 4/0 (Principal) 1.2 $8.7M 11k 828.52
Spirit Airls Note 1.000 5/1 (Principal) 1.2 $8.5M 11k 808.61
Johnson & Johnson Call Option (JNJ) 1.2 $8.4M 54k 155.00
Doordash Cl A Call Option (DASH) 1.1 $8.2M 129k 63.56
Summit Hotel Pptys Note 1.500 2/1 (Principal) 1.1 $8.0M 9.4k 855.75
Spdr Gold Tr Gold Shs Put Option (GLD) 1.0 $7.3M 40k 183.22
Yamana Gold 1.0 $7.1M 1.2M 5.85
Ringcentral Note 3/0 (Principal) 0.9 $6.9M 7.8k 882.35
First Horizon National Corporation Put Option (FHN) 0.9 $6.8M 383k 17.78
Seritage Growth Pptys Cl A (SRG) 0.9 $6.8M 861k 7.87
United Sts Oil Units Call Option (USO) 0.9 $6.6M 100k 66.44
Hertz Global Hldgs Com New Call Option (HTZ) 0.9 $6.2M 382k 16.29
Acuityads Hldgs Call Option 0.8 $6.0M 2.8M 2.14
Albertsons Cos Common Stock (ACI) 0.8 $5.8M 281k 20.78
Ssr Mining In Note 2.500 4/0 (Principal) 0.8 $5.5M 5.0k 1094.21
Pebblebrook Hotel Tr Note 1.75012/1 (Principal) 0.7 $5.4M 6.3k 849.63
Pennymac Financial Services Call Option (PFSI) 0.7 $5.2M 88k 59.61
Two Hbrs Invt Corp (TWO) 0.7 $5.0M 340k 14.71
Activision Blizzard Call Option 0.7 $4.8M 56k 85.59
Ishares Silver Tr Ishares Call Option (SLV) 0.7 $4.8M 215k 22.12
Peloton Interactive Cl A Com Call Option (PTON) 0.6 $4.6M 402k 11.34
Globus Med Cl A Call Option (GMED) 0.6 $4.5M 80k 56.64
Alteryx Note 0.500 8/0 (Principal) 0.6 $4.5M 4.8k 935.10
Ishares Tr Russell 2000 Etf Put Option (IWM) 0.6 $4.5M 25k 178.40
Franco-Nevada Corporation Call Option (FNV) 0.6 $4.4M 30k 145.80
Wayfair Note 1.12511/0 (Principal) 0.6 $4.3M 5.0k 866.39
Splunk Note 1.125 9/1 (Principal) 0.6 $4.3M 4.4k 964.41
Hasbro Call Option (HAS) 0.6 $4.1M 76k 53.69
Redwood Trust Call Option (RWT) 0.5 $4.0M 592k 6.74
Life Storage Inc reit 0.5 $3.9M 30k 131.09
Shaw Communications Cl B Conv 0.5 $3.8M 128k 29.91
Peloton Interactive Note 2/1 (Principal) 0.5 $3.8M 5.0k 760.00
Vmware Cl A Com 0.5 $3.8M 30k 124.85
National Instruments 0.5 $3.7M 71k 52.41
Nevro Call Option (NVRO) 0.5 $3.7M 102k 36.15
Affirm Hldgs Com Cl A Call Option (AFRM) 0.5 $3.6M 322k 11.27
CF Industries Holdings Call Option (CF) 0.5 $3.6M 50k 72.49
Arcelormittal Sa Luxembourg Ny Registry Sh Put Option (MT) 0.5 $3.6M 120k 30.12
Indus Realty Trust 0.5 $3.6M 54k 66.29
Nabors Inds Note 0.750 1/1 (Principal) 0.5 $3.5M 3.6k 957.15
Rbc Cad Call Option (RY) 0.5 $3.3M 35k 95.58
Atlantica Sustainable Infr P SH Call Option 0.4 $3.1M 104k 29.56
Carnival Corp Common Stock Call Option (CCL) 0.4 $3.0M 300k 10.15
Alset Capital Acquisition Class A Com 0.4 $2.7M 265k 10.24
Alcoa Put Option (AA) 0.4 $2.7M 63k 42.56
Phillips 66 Put Option (PSX) 0.3 $2.5M 25k 101.38
Spirit Airlines (SAVEQ) 0.3 $2.4M 141k 17.17
Graphite Bio 0.3 $2.4M 970k 2.45
Arogo Capital Acquisition Class A Com (AOGO) 0.3 $2.4M 227k 10.44
Blackline Call Option (BL) 0.3 $2.4M 35k 67.15
Draftkings Com Cl A Call Option (DKNG) 0.3 $2.3M 121k 19.36
Cleveland-cliffs Call Option (CLF) 0.3 $2.3M 125k 18.33
Aerojet Rocketdy 0.3 $2.2M 40k 56.17
Horizon Therapeutics Pub L SH 0.3 $2.2M 20k 109.14
Spdr Ser Tr Sp Regl Bkg Put Option (KRE) 0.3 $2.2M 50k 43.86
Avalon Acquisition Class A Com 0.3 $2.2M 210k 10.42
Signal Hill Acquisition Corp Class A Com 0.3 $2.2M 210k 10.38
Redwoods Acquisition Corp (RWOD) 0.3 $2.2M 210k 10.33
Hub Cyber Security Ord Shs 0.3 $2.2M 1.7M 1.30
Pharmacyte Biotech Com New (PMCB) 0.3 $2.1M 723k 2.85
Climaterock Class A Ord (CLRC) 0.3 $2.0M 196k 10.37
Churchill Capital Corp V Com Cl A 0.3 $2.0M 200k 10.08
Triple Flag Precious Metals (TFPM) 0.3 $2.0M 100k 20.13
Oak Str Health Note 3/1 (Principal) 0.3 $2.0M 2.0k 986.00
Wingstop Put Option (WING) 0.2 $1.8M 9.8k 183.58
Ef Hutton Acquisition Corp I 0.2 $1.8M 175k 10.27
Lyft Note 1.500 5/1 (Principal) 0.2 $1.8M 2.0k 881.13
Canopy Gro Put Option 0.2 $1.8M 1.0M 1.75
Lamf Global Ventures Corp I Class A Ord 0.2 $1.7M 166k 10.45
Liberty Res Acquisition Corp Class A Com 0.2 $1.7M 162k 10.50
Goldenstone Acq Crp; Tnt Acq Dt: 12/21/2023; Cash: $10.15 (GDST) 0.2 $1.7M 160k 10.38
Nuvasive Note 1.000 6/0 (Principal) 0.2 $1.7M 1.7k 993.08
Apartment Invt Mgmt Cl A Call Option (AIV) 0.2 $1.6M 213k 7.69
Hawks Acquisition Corp Cl A 0.2 $1.6M 161k 10.17
Anzu Special Acquisitin Corp Com Cl A 0.2 $1.6M 159k 10.05
Cnh Indl N V SH Call Option (CNH) 0.2 $1.5M 100k 15.27
NuVasive 0.2 $1.5M 36k 41.31
Apollo Strategic Grwt Cptl I Shs Cl A 0.2 $1.5M 143k 10.25
Inspire Med Sys Call Option (INSP) 0.2 $1.4M 6.0k 234.07
Hub Cyber Security W Exp 08/22/202 (HUBCZ) 0.2 $1.4M 2.2M 0.65
Industrial Tech Acqstns Ii I Class A Com 0.2 $1.4M 133k 10.39
Nuvasive Note 0.375 3/1 (Principal) 0.2 $1.3M 1.5k 892.50
United States Steel Corporation Call Option (X) 0.2 $1.3M 50k 26.10
Maxar Technologies 0.2 $1.3M 25k 51.06
Alphavest Acquisition Corp Ordinary Shares (ATMV) 0.2 $1.3M 124k 10.31
Israel Acquisitions Corp Class A Ord (ISRL) 0.2 $1.3M 125k 10.23
Rivian Automotive Com Cl A Call Option (RIVN) 0.2 $1.2M 78k 15.48
Wayfair Cl A Call Option (W) 0.2 $1.2M 35k 34.34
Ambev Sa Sponsored Adr (ABEV) 0.2 $1.1M 403k 2.82
World Acceptance (WRLD) 0.2 $1.1M 13k 83.29
Crescera Cap Acquisition Cor Class A Ord Shs (CREEF) 0.1 $1.0M 100k 10.46
Kinross Gold Corp Put Option (KGC) 0.1 $942k 200k 4.71
Life Time Group Holdings Common Stock Call Option (LTH) 0.1 $937k 59k 15.96
LSB Industries Call Option (LXU) 0.1 $930k 90k 10.33
Piedmont Lithium Call Option (PLL) 0.1 $901k 15k 60.05
Lyft Cl A Com Call Option (LYFT) 0.1 $853k 92k 9.27
Mobiv Acquisition Corp Class A Com 0.1 $842k 81k 10.39
Beard Energy Transition Acq Cl A Com 0.1 $824k 80k 10.37
Fortuna Silver Mines Call Option 0.1 $810k 212k 3.82
Williams Rowland Acquisition 0.1 $780k 76k 10.25
Prime No Acquisition I Corp Com Cl A 0.1 $778k 75k 10.37
Centerra Gold (CGAU) 0.1 $745k 115k 6.47
Arisz Acquisition Corp Common Stock 0.1 $723k 70k 10.30
First Majestic Silver Corp Put Option (AG) 0.1 $721k 100k 7.21
Investcorp Europe Acquisitio Class A Ord Shs 0.1 $669k 64k 10.46
Everbridge Note 0.12512/1 (Principal) 0.1 $638k 700.00 910.66
Futuretech Ii Acquisition Class A Com (FTII) 0.1 $627k 60k 10.45
Solitario Expl & Rty Corp (XPL) 0.1 $587k 887k 0.66
Westrock Coffee (WEST) 0.1 $574k 94k 6.12
Tkb Critical Technologies 1 Class A Ord 0.1 $573k 55k 10.40
Chatham Lodging Trust Call Option (CLDT) 0.1 $525k 50k 10.49
Duet Acquisition Corp Class A Com 0.1 $523k 51k 10.35
Camping World Hldgs Cl A Call Option (CWH) 0.1 $522k 25k 20.87
Juniper Ii Corp Cl A Com 0.1 $521k 50k 10.37
Dmy Technology Group Inc Vi Cl A Com 0.1 $516k 51k 10.22
Semtech Corporation (SMTC) 0.1 $507k 21k 24.14
Yotta Acquisition Corporatio Common Stock (YOTA) 0.1 $501k 49k 10.29
Berenson Acquisition Corp I Cl A Com 0.1 $456k 45k 10.18
Tg Venture Acquisition Corp Class A Com 0.1 $439k 42k 10.35
Gamestop Corp Cl A (GME) 0.1 $408k 18k 23.02
Sigma Lithium Corporation Put Option (SGML) 0.1 $384k 10k 37.62
Baytex Energy Corp Put Option (BTE) 0.1 $375k 100k 3.75
Rocket Cos Com Cl A Put Option (RKT) 0.0 $353k 39k 9.06
Pebblebrook Hotel Trust Call Option (PEB) 0.0 $351k 25k 14.04
Steel Dynamics (STLD) 0.0 $339k 3.0k 113.06
Selina Hospitality Ordinary Shares (SLNAF) 0.0 $333k 215k 1.55
Quantumscape Corp Com Cl A Put Option (QS) 0.0 $327k 40k 8.18
Horizon Acquisition Corporat W Exp 10/19/202 0.0 $314k 667k 0.47
Lucy Scientific Discovery In 0.0 $294k 297k 0.99
Plum Acquisition Corp I Class A Ord Shs 0.0 $252k 25k 10.30
Star Hldgs Shs Ben Int (STHO) 0.0 $244k 14k 17.39
Colombier Acquisition Corp Cl A 0.0 $222k 22k 10.13
U Haul Holding Company Com Ser N Call Option (UHAL.B) 0.0 $207k 4.0k 51.85
Assertio Holdings Com New (ASRT) 0.0 $180k 28k 6.37
Summit Hotel Properties Call Option (INN) 0.0 $175k 25k 7.00
Roth Ch Acquisition Iv W Exp 07/01/202 0.0 $173k 614k 0.28
Flame Acquisition Corp W Exp 02/26/202 0.0 $157k 275k 0.57
Americas Gold And Silver Cor (USAS) 0.0 $156k 324k 0.48
Roc Energy Acquisition Corp Right 11/30/2028 0.0 $146k 448k 0.33
C5 Acquisition Corporation Cl A Com 0.0 $144k 14k 10.44
Verde Clean Fuels Class A Com (VGAS) 0.0 $128k 75k 1.70
Gsr Ii Meteora Acquisitn Cor Class A Com 0.0 $128k 12k 10.35
Mountain Crest Acqsitn Corp Right 08/30/2022 (MCAGR) 0.0 $115k 565k 0.20
Altitude Acquisition Corp Com Cl A 0.0 $102k 10k 10.18
M3 Brigade Acquisition Iii W Exp 07/31/202 (MBSC.WS) 0.0 $88k 238k 0.37
Jupiter Wellness Acquisition Right 12/31/2028 0.0 $88k 219k 0.40
Hub Cyber Security W Exp 02/27/202 (HUBCW) 0.0 $51k 405k 0.12
Axios Sustainable Grw Acq Right 99/99/9999 0.0 $48k 313k 0.15
Accretion Acquisition Corp Right 03/01/2028 0.0 $46k 479k 0.10
Energem Corp W Exp 11/15/202 0.0 $41k 528k 0.08
Prosomnus W Exp 04/20/202 (OSPWQ) 0.0 $40k 254k 0.16
Akerna Corp Com New 0.0 $39k 49k 0.80
Deep Medicine Acquisition Right 10/22/2026 0.0 $37k 254k 0.15
Global Systems Dynamics W Exp 04/01/202 0.0 $37k 597k 0.06
Arisz Acquisition Corp Right 99/99/9999 0.0 $36k 508k 0.07
Blockchain Moon Acquisitn Right 10/14/2026 0.0 $34k 643k 0.05
Winvest Acquisition Corp Right 99/99/9999 (WINVR) 0.0 $29k 461k 0.06
Bannix Acquisition Corp Right 07/31/2026 (BNIXR) 0.0 $27k 193k 0.14
Globalink Invt Right 12/06/2026 (GLLIR) 0.0 $26k 398k 0.07
Cf Acquisition Corp Viii W Exp 03/31/202 0.0 $26k 246k 0.10
Nova Vision Acquisition Corp Right 12/23/2023 (NOVVR) 0.0 $25k 103k 0.24
Gardiner Healthcare Acqts W Exp 07/30/202 0.0 $22k 232k 0.10
Black Diamond Therapeutics (BDTX) 0.0 $21k 11k 1.89
Mountain Crest Acqusitn Crp Right 06/29/2026 0.0 $20k 105k 0.19
Tristar Acquisition I Corp W Exp 99/99/999 (TRIS.WS) 0.0 $18k 184k 0.10
10x Cap Venture Acqstn Corp W Exp 04/19/202 0.0 $17k 135k 0.13
Abri Spac I W Exp 09/18/202 0.0 $17k 328k 0.05
Israel Acquisitions Corp W Exp 99/99/999 (ISRLW) 0.0 $17k 127k 0.13
Avalon Acquisition W Exp 12/31/202 0.0 $16k 177k 0.09
Black Mountain Acq Corp W Exp 10/15/202 0.0 $15k 228k 0.07
Alphavest Acquisition Corp Right 06/19/2024 (ATMVR) 0.0 $15k 125k 0.12
Ciig Capital Partners Ii W Exp 02/28/202 0.0 $15k 118k 0.12
The Growth For Good Acqu Cor W Exp 11/12/202 0.0 $13k 147k 0.09
Blockchain Moon Acquisitn W Exp 10/14/202 0.0 $13k 687k 0.02
Gigcapital 5 W Exp 03/28/202 0.0 $12k 481k 0.03
Accretion Acquisition Corp W Exp 03/01/202 0.0 $12k 331k 0.04
Northview Acquisition Corp W Exp 08/02/202 (NVACW) 0.0 $12k 144k 0.08
Winvest Acquisition Corp W Exp 08/09/202 (WINVW) 0.0 $11k 585k 0.02
Pyrophyte Acquisition Corp W Exp 05/03/202 (PHYWF) 0.0 $11k 121k 0.09
Monterey Bio Acquisition Cor W Exp 10/05/202 0.0 $11k 400k 0.03
Monterey Cap Acquisition Cor W Exp 01/01/202 (MCACW) 0.0 $11k 162k 0.07
Jupiter Acquisition Corp W Exp 08/17/202 0.0 $10k 113k 0.09
Chavant Capital Acquisitn W Exp 99/99/999 0.0 $9.0k 360k 0.03
Roth Ch Acquisition V W Exp 12/10/202 0.0 $8.9k 198k 0.05
Data Knights Acquisition Cor W Exp 11/11/202 0.0 $8.8k 335k 0.03
Viveon Health Acquisition W Exp 99/99/999 0.0 $8.7k 577k 0.01
Tradeup Acquisition Corp W Exp 07/19/202 0.0 $8.6k 119k 0.07
Arrowroot Acquisition Corp W Exp 03/02/202 0.0 $8.3k 69k 0.12
Sportsmap Tech Acquisitin W Exp 09/01/202 0.0 $8.3k 271k 0.03
Nova Vision Acquisition Corp W Exp 12/31/202 (NOVVW) 0.0 $7.8k 202k 0.04
Bannix Acquisition Corp W Exp 07/31/202 (BNIXW) 0.0 $7.7k 300k 0.03
Stratim Cloud Acquisition W Exp 03/05/202 0.0 $7.6k 38k 0.20
Cf Acquisition Corp Iv W Exp 12/31/202 0.0 $7.1k 74k 0.10
Green Visor Fin Tec Acq Corp W Exp 10/27/202 0.0 $6.9k 99k 0.07
Plum Acquisition Corp I W Exp 03/15/202 0.0 $6.7k 35k 0.19
American Acquisition Oppt In W Exp 05/28/202 (RMCOW) 0.0 $6.7k 223k 0.03
Heartland Media Acquisition W Exp 99/99/999 0.0 $6.6k 77k 0.09
Enphys Acquisition Corp W Exp 99/99/999 0.0 $6.4k 54k 0.12
Rose Hill Acquisition Corp W Exp 10/07/202 0.0 $6.4k 100k 0.06
Kimbell Tiger Acquisition W Exp 09/15/202 0.0 $5.0k 50k 0.10
Prime No Acquisition I Corp W Exp 07/31/202 0.0 $4.8k 114k 0.04
Smx Sec Matters W Exp 03/07/202 (SMXWW) 0.0 $4.6k 93k 0.05
Oxus Acquisition Corp W Exp 99/99/999 0.0 $4.4k 100k 0.04
Globalink Invt W Exp 12/03/202 (GLLIW) 0.0 $4.2k 400k 0.01
Blue World Acquisition Corp W Exp 01/10/202 (BWAQW) 0.0 $3.7k 178k 0.02
Arogo Capital Acquisition W Exp 03/23/202 (AOGOW) 0.0 $3.0k 50k 0.06
Verde Clean Fuels W Exp 02/15/202 (VGASW) 0.0 $3.0k 16k 0.19
International Media Acquisit W Exp 07/21/202 (IMAQW) 0.0 $3.0k 99k 0.03
Apollomics W Exp 04/01/202 (APLMW) 0.0 $2.3k 22k 0.11
Tortoiseecofin Acquisition C W Exp 07/22/202 (TRTL.WS) 0.0 $1.9k 19k 0.10
Goal Acquisitions Corp W Exp 02/11/202 (PUCKW) 0.0 $1.8k 61k 0.03
Redwoods Acquisition Corp W Exp 03/15/202 (RWODW) 0.0 $1.8k 35k 0.05
Altitude Acquisition Corp W Exp 11/30/202 0.0 $1.8k 34k 0.05
Vision Sensing Acquisition C W Exp 10/21/202 (VSACW) 0.0 $1.7k 34k 0.05
Altenergy Acquisition Corp W Exp 10/29/202 (AEAEW) 0.0 $1.3k 17k 0.08
Ftac Emerald Acquisition Cor W Exp 10/19/202 (FLDDW) 0.0 $1.1k 11k 0.11
Eucrates Biomedical Acqu Cor W Exp 10/23/202 0.0 $1.1k 35k 0.03
Project Energy Reimagined Ac W Exp 10/28/202 (PEGRW) 0.0 $986.391000 14k 0.07
Consilium Acquisitn Corp I L W Exp 06/01/202 (CSLMW) 0.0 $852.500000 31k 0.03