K2 Principal Fund

K2 Principal Fund as of June 30, 2023

Portfolio Holdings for K2 Principal Fund

K2 Principal Fund holds 203 positions in its portfolio as reported in the June 2023 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Activision Blizzard Call Option 5.4 $24M 282k 84.30
Ishares Tr Russell 2000 Etf Put Option (IWM) 4.3 $19M 100k 187.27
Atlantica Sustainable Infra Note 4.000 7/1 (Principal) 4.2 $18M 19k 949.17
Dropbox Note 3/0 (Principal) 3.4 $15M 16k 949.69
Silverback Therapeutics Call Option (SPRY) 3.4 $15M 2.2M 6.70
Splunk Note 0.500 9/1 (Principal) 3.0 $13M 13k 988.76
Envestnet Note 0.750 8/1 (Principal) 2.6 $12M 13k 917.67
Ishares Tr Iboxx Hi Yd Etf Put Option (HYG) 2.6 $11M 150k 75.07
Nutanix Note 0.25010/0 (Principal) 2.5 $11M 13k 856.79
Spotify Usa Note 3/1 (Principal) 2.5 $11M 13k 854.02
Docusign Note 1/1 (Principal) 2.3 $9.9M 10k 967.27
Summit Hotel Pptys Note 1.500 2/1 (Principal) 2.2 $9.7M 11k 853.48
Tripadvisor Note 0.250 4/0 (Principal) 2.2 $9.7M 12k 842.18
Pebblebrook Hotel Tr Note 1.75012/1 (Principal) 2.2 $9.6M 11k 849.08
Zscaler Note 0.125 7/0 (Principal) 2.2 $9.4M 8.0k 1175.50
World Acceptance Call Option (WRLD) 2.0 $8.9M 66k 134.01
Spirit Airls Note 1.000 5/1 (Principal) 2.0 $8.5M 11k 813.91
Seritage Growth Pptys Cl A Call Option (SRG) 1.9 $8.2M 925k 8.92
Spdr Ser Tr Sp Metals Mng Put Option (XME) 1.7 $7.6M 150k 50.82
Ringcentral Note 3/0 (Principal) 1.6 $7.2M 7.8k 920.40
Johnson & Johnson Call Option (JNJ) 1.6 $7.0M 42k 165.52
Freeport-mcmoran CL B Call Option (FCX) 1.6 $6.8M 170k 40.00
Alteryx Note 0.500 8/0 (Principal) 1.5 $6.4M 6.8k 946.27
Albertsons Cos Common Stock Call Option (ACI) 1.5 $6.3M 291k 21.82
Redwood Trust Note 5.625 7/1 (Principal) 1.4 $6.3M 6.6k 955.43
Ishares Gold Tr Ishares New Call Option (IAU) 1.2 $5.5M 150k 36.39
Splunk Note 1.125 9/1 (Principal) 1.2 $5.4M 5.4k 1004.21
Ssr Mining In Note 2.500 4/0 (Principal) 1.2 $5.4M 5.0k 1086.78
Redwood Trust Note 4.750 8/1 (Principal) 1.1 $5.0M 5.0k 998.75
Hertz Global Hldgs Com New Call Option (HTZ) 1.1 $5.0M 271k 18.39
Wayfair Note 1.12511/0 (Principal) 1.1 $5.0M 5.0k 991.98
Vmware Cl A Com 1.1 $4.9M 34k 143.69
NuVasive 1.0 $4.4M 106k 41.59
Pennymac Financial Services (PFSI) 0.9 $4.0M 56k 70.31
Freshpet Call Option (FRPT) 0.9 $3.9M 60k 65.81
Apartment Invt Mgmt Cl A Call Option (AIV) 0.9 $3.8M 446k 8.52
iRobot Corporation Put Option (IRBT) 0.8 $3.6M 80k 45.25
Nabors Inds Note 0.750 1/1 (Principal) 0.8 $3.5M 3.6k 969.93
Spirit Airlines 0.8 $3.4M 201k 17.16
Aerojet Rocketdy 0.8 $3.3M 61k 54.87
Ishares Silver Tr Ishares Call Option (SLV) 0.7 $3.1M 150k 20.89
Life Storage Inc reit 0.7 $3.1M 23k 132.96
PennyMac Mortgage Investment Trust (PMT) 0.7 $3.0M 219k 13.48
Illumin Hldgs (ILLMF) 0.7 $2.9M 1.7M 1.70
Nuvasive Note 0.375 3/1 (Principal) 0.6 $2.7M 3.0k 912.69
National Instruments 0.6 $2.6M 45k 57.40
Triple Flag Precious Metals (TFPM) 0.6 $2.5M 136k 18.23
Steel Dynamics Call Option (STLD) 0.6 $2.5M 23k 108.93
Draftkings Com Cl A (DKNG) 0.5 $2.3M 85k 26.57
Bynordic Acquisition Corp Class A Com (BYNO) 0.5 $2.2M 207k 10.59
Amer (UHAL) 0.5 $2.1M 38k 55.32
Wayfair Cl A Call Option (W) 0.4 $1.9M 29k 65.01
Atlantica Sustainable Infr P SHS Call Option 0.4 $1.9M 79k 23.44
D.R. Horton Call Option (DHI) 0.4 $1.8M 15k 121.69
Lyft Note 1.500 5/1 (Principal) 0.4 $1.8M 2.0k 897.78
Equity Residential Sh Ben Int Call Option (EQR) 0.4 $1.7M 26k 65.97
Intel Corporation (INTC) 0.4 $1.7M 50k 33.44
Proshares Tr Ii Ulsht Bloomb Gas Put Option (KOLD) 0.4 $1.7M 30k 55.45
Peloton Interactive Cl A Com Call Option (PTON) 0.4 $1.6M 212k 7.69
Digital Realty Trust Call Option (DLR) 0.4 $1.6M 14k 113.87
U Haul Holding Company Com Ser N Call Option (UHAL.B) 0.4 $1.6M 31k 50.67
Horizon Therapeutics Pub L SHS 0.3 $1.5M 15k 102.85
Coliseum Acquisition Corp Class A Ord Shs (MITA) 0.3 $1.5M 140k 10.44
Cnh Indl N V SHS Call Option (CNH) 0.3 $1.4M 100k 14.40
Synchrony Financial (SYF) 0.3 $1.4M 40k 33.92
Chevron Corporation (CVX) 0.3 $1.3M 8.5k 157.35
Nevro Call Option (NVRO) 0.3 $1.3M 51k 25.42
Centerra Gold (CGAU) 0.3 $1.3M 210k 6.00
Lennar Corp Cl A Call Option (LEN) 0.3 $1.3M 10k 125.31
Wisdomtree Note 3.250 6/1 (Principal) 0.3 $1.2M 1.3k 971.94
Heartland Media Acquisition Cl A Com 0.3 $1.2M 117k 10.54
Williams Rowland Acquisition 0.3 $1.2M 117k 10.37
Nucor Corporation Call Option (NUE) 0.3 $1.2M 7.3k 163.98
Endeavor Group Hldgs Cl A Com (EDR) 0.3 $1.2M 50k 23.92
Royal Caribbean Cruises (RCL) 0.3 $1.2M 11k 103.74
Knightswan Acquisition Corp Cl A Com 0.2 $1.1M 101k 10.57
Generation Asia I Acquisitio Cl A Ord Shs (GAQ) 0.2 $1.1M 101k 10.52
Futuretech Ii Acquisition Class A Com (FTII) 0.2 $1.0M 95k 10.69
Esh Acquisition Corp Unit 06/13/2028 0.2 $1.0M 100k 10.14
Inflection Pt Acquisitn Crp Unit 08/29/2031 0.2 $1.0M 100k 10.12
Broad Capital Acquisition (BRAC) 0.2 $1.0M 94k 10.70
Rocket Cos Com Cl A (RKT) 0.2 $998k 111k 8.96
Hudson Acquisition I Corp Common Stock (HUDA) 0.2 $988k 95k 10.36
Opy Acquisition Corp I Com Cl A 0.2 $883k 86k 10.24
Grab Holdings Class A Ord (GRAB) 0.2 $868k 253k 3.43
Hub Cyber Security W Exp 08/22/202 (HUBCZ) 0.2 $862k 2.2M 0.40
Spree Acquisition Corp 1 Cl A Ord Shs (SACQF) 0.2 $849k 80k 10.62
Power Digital Infrastructu Class A Com 0.2 $821k 79k 10.40
Atlantic Coastal Aqstn Corp Class A Com (ACAB) 0.2 $807k 77k 10.42
Redwood Trust Call Option (RWT) 0.2 $806k 127k 6.37
Chatham Lodging Trust Call Option (CLDT) 0.2 $799k 85k 9.36
Target Corporation Call Option (TGT) 0.2 $791k 6.0k 131.90
Alpha Healthcare Acqu Corp I Class A Com 0.2 $770k 75k 10.30
Everest Consolidator Acq Cor Cl A Com 0.2 $748k 70k 10.65
Tower Semiconductor Shs New (TSEM) 0.2 $717k 19k 37.52
San Juan Basin Rty Tr Unit Ben Int (SJT) 0.2 $713k 96k 7.43
Ubs Group SHS (UBS) 0.2 $710k 35k 20.27
Amc Entmt Hldgs Cl A Com Put Option 0.2 $660k 150k 4.40
Tesla Motors (TSLA) 0.2 $659k 2.5k 261.77
Everbridge Note 0.12512/1 (Principal) 0.1 $636k 700.00 909.12
Piedmont Lithium Call Option 0.1 $635k 11k 57.71
Hub Cyber Security Ord Shs 0.1 $620k 1.3M 0.47
Tkb Critical Technologies 1 Class A Ord 0.1 $583k 55k 10.60
Affirm Hldgs Com Cl A Call Option (AFRM) 0.1 $583k 38k 15.33
Sigma Lithium Corporation Put Option (SGML) 0.1 $572k 14k 40.30
Blackline Call Option (BL) 0.1 $538k 10k 53.82
Semtech Corporation (SMTC) 0.1 $535k 21k 25.46
Westrock Coffee (WEST) 0.1 $510k 94k 5.43
Solitario Expl & Rty Corp (XPL) 0.1 $509k 885k 0.57
LSB Industries Call Option (LXU) 0.1 $493k 50k 9.85
Opendoor Technologies Put Option (OPEN) 0.1 $482k 120k 4.02
Monterey Cap Acquisition Cor Class A Com (MCAC) 0.1 $477k 46k 10.46
Kroger Call Option (KR) 0.1 $470k 10k 47.00
Sunstone Hotel Investors Call Option (SHO) 0.1 $455k 45k 10.12
Pharmacyte Biotech Com New (PMCB) 0.1 $441k 154k 2.86
Da32 Life Scnce Tec Acqstn C Class A Com 0.1 $405k 40k 10.26
Lyft Cl A Com Call Option (LYFT) 0.1 $403k 42k 9.59
Canopy Gro Put Option 0.1 $388k 1.0M 0.39
Skeena Resources Com Npvpost Rev Split Isin Ca83056p7157 Sedo (SKE) 0.1 $373k 77k 4.83
Hhl Acquisition Shs Cl A 0.1 $355k 34k 10.47
Fortuna Silver Mines Put Option 0.1 $340k 105k 3.24
Cleveland-cliffs Put Option (CLF) 0.1 $335k 20k 16.76
Battery Future Acquisition C Cl A Ord Shs (BFACF) 0.1 $308k 29k 10.60
Arogo Capital Acquisition Class A Com (AOGO) 0.1 $283k 27k 10.53
Nutanix Cl A Call Option (NTNX) 0.1 $281k 10k 28.05
Arcelormittal Sa Luxembourg Ny Registry Sh Call Option (MT) 0.1 $273k 10k 27.34
Carnival Corp Common Stock (CCL) 0.1 $266k 14k 18.83
United States Steel Corporation 0.1 $259k 10k 25.01
Lucy Scientific Discovery In 0.1 $259k 250k 1.03
Genesis Unicorn Capital Corp Class A Com 0.1 $259k 24k 10.75
Ap Acquisition Corp Cl A Ord Shs (APCA) 0.1 $225k 21k 10.76
Two Hbrs Invt Corp (TWO) 0.0 $213k 15k 13.88
Gogreen Investments Corp W Exp 05/31/202 0.0 $164k 168k 0.98
Pyrophyte Acquisition Corp Cl A Ord Shs (PHYTF) 0.0 $160k 15k 10.66
Ginkgo Bioworks Holdings Cl A Shs Call Option 0.0 $138k 74k 1.86
Banyan Acquisition Corporati Cl A Com 0.0 $131k 13k 10.39
Alpha Star Acquisition Corp Ordinary Shares (ALSAF) 0.0 $130k 12k 10.73
Verde Clean Fuels Class A Com (VGAS) 0.0 $122k 75k 1.63
Drilling Tools Intl Corp (DTI) 0.0 $113k 26k 4.35
M3 Brigade Acquisition Iii W Exp 07/31/202 (MBSC.WS) 0.0 $103k 252k 0.41
Flame Acquisition Corp W Exp 02/26/202 0.0 $89k 285k 0.31
Accretion Acquisition Corp Right 03/01/2028 0.0 $40k 372k 0.11
Arisz Acquisition Corp Right 99/99/9999 0.0 $33k 414k 0.08
Energem Corp W Exp 11/15/202 0.0 $32k 528k 0.06
Akerna Corp Com New 0.0 $30k 49k 0.61
Winvest Acquisition Corp Right 99/99/9999 (WINVR) 0.0 $26k 387k 0.07
Global Systems Dynamics W Exp 04/01/202 0.0 $24k 597k 0.04
Deep Medicine Acquisition Right 10/22/2026 0.0 $23k 167k 0.14
Israel Acquisitions Corp W Exp 99/99/999 (ISRLW) 0.0 $22k 157k 0.14
Four Leaf Acquisition Corp W Exp 03/15/202 (FORLW) 0.0 $18k 150k 0.12
Roth Ch Acquisition V W Exp 12/10/202 0.0 $17k 214k 0.08
Hub Cyber Security W Exp 02/27/202 (HUBCW) 0.0 $16k 405k 0.04
Oak Woods Acquisition Corp W Exp 03/23/202 (OAKUW) 0.0 $15k 477k 0.03
Nova Vision Acquisition Corp Right 12/23/2023 (NOVVR) 0.0 $15k 89k 0.17
Bellevue Life Scncs Aqstn W Exp 02/09/202 0.0 $15k 200k 0.08
Alphavest Acquisition Corp Right 06/19/2024 (ATMVR) 0.0 $15k 125k 0.12
Prosomnus W Exp 04/20/202 (OSPWQ) 0.0 $15k 187k 0.08
Winvest Acquisition Corp W Exp 08/09/202 (WINVW) 0.0 $15k 570k 0.03
Accretion Acquisition Corp W Exp 03/01/202 0.0 $14k 331k 0.04
Cf Acquisition Corp Viii W Exp 03/31/202 0.0 $12k 237k 0.05
Beneficient W Exp 06/07/202 (BENFW) 0.0 $11k 230k 0.05
Viveon Health Acquisition W Exp 99/99/999 0.0 $11k 541k 0.02
Monterey Innovation Acqui W Exp 09/30/202 0.0 $11k 395k 0.03
Abri Spac I W Exp 09/18/202 0.0 $11k 328k 0.03
The Growth For Good Acqu Cor W Exp 11/12/202 0.0 $10k 147k 0.07
Beard Energy Transition Acq W Exp 99/99/999 0.0 $9.9k 142k 0.07
Chavant Capital Acquisitn W Exp 99/99/999 0.0 $9.9k 248k 0.04
Armada Acquisition Corp I W Exp 08/13/202 0.0 $9.3k 84k 0.11
Bannix Acquisition Corp W Exp 07/31/202 (BNIXW) 0.0 $9.1k 229k 0.04
Black Mountain Acq Corp W Exp 10/15/202 0.0 $9.0k 172k 0.05
10x Cap Venture Acqstn Corp W Exp 04/19/202 0.0 $8.9k 135k 0.07
Gardiner Healthcare Acqts W Exp 07/30/202 0.0 $8.8k 122k 0.07
Seaport Global Acquisition I W Exp 11/17/202 0.0 $8.7k 103k 0.09
Sportsmap Tech Acquisitin W Exp 09/01/202 0.0 $8.4k 242k 0.03
Fintech Ecosystem Deve W Exp 04/01/202 (FEXDW) 0.0 $6.8k 275k 0.02
Globalink Invt W Exp 12/03/202 (GLLIW) 0.0 $6.7k 337k 0.02
Prime No Acquisition I Corp W Exp 07/31/202 0.0 $6.2k 139k 0.04
Spring Valley Acquistn Corp W Exp 02/25/202 (SVIIW) 0.0 $5.8k 48k 0.12
Oxus Acquisition Corp W Exp 99/99/999 0.0 $5.3k 100k 0.05
Fortune Rise Acquisition Cor W Exp 12/06/202 (FRLAW) 0.0 $5.2k 100k 0.05
Tristar Acquisition I Corp W Exp 99/99/999 (TRIS.WS) 0.0 $5.0k 184k 0.03
Esgen Acquisition Corp W Exp 10/18/202 0.0 $4.6k 66k 0.07
American Acquisition Oppt In W Exp 05/28/202 (RMCOW) 0.0 $4.3k 159k 0.03
Data Knights Acquisition Cor W Exp 11/11/202 0.0 $4.2k 235k 0.02
Insight Acquisition Corp W Exp 08/26/202 0.0 $3.9k 130k 0.03
Power Digital Infrastructu W Exp 12/09/202 0.0 $3.5k 50k 0.07
Monterey Cap Acquisition Cor W Exp 01/01/202 (MCACW) 0.0 $3.1k 153k 0.02
Pyrophyte Acquisition Corp W Exp 05/03/202 (PHYWF) 0.0 $2.9k 36k 0.08
Rose Hill Acquisition Corp W Exp 10/07/202 0.0 $2.5k 100k 0.03
Zapp Elec Vehs Group W Exp 04/28/202 (ZAPWF) 0.0 $2.5k 48k 0.05
Enphys Acquisition Corp W Exp 99/99/999 0.0 $2.3k 54k 0.04
Arogo Capital Acquisition W Exp 03/23/202 (AOGOW) 0.0 $2.3k 50k 0.05
Nova Vision Acquisition Corp W Exp 12/31/202 (NOVVW) 0.0 $2.0k 202k 0.01
Jupiter Acquisition Corp W Exp 08/17/202 0.0 $1.9k 113k 0.02
Redwoods Acquisition Corp W Exp 03/15/202 (RWODW) 0.0 $1.8k 35k 0.05
International Media Acquisit W Exp 07/21/202 (IMAQW) 0.0 $1.7k 99k 0.02
Altitude Acquisition Corp W Exp 11/30/202 0.0 $1.7k 30k 0.06
Altenergy Acquisition Corp W Exp 10/29/202 (AEAEW) 0.0 $1.5k 44k 0.04
Vision Sensing Acquisition C W Exp 10/21/202 (VSACW) 0.0 $1.1k 34k 0.03
Omnilit Acquisition Corp W Exp 11/08/202 0.0 $969.990000 19k 0.05
Tortoiseecofin Acquisition C W Exp 07/22/202 (TRTL.WS) 0.0 $669.987500 17k 0.04
Ap Acquisition Corp W Exp 12/07/202 (APCA.WS) 0.0 $542.790000 12k 0.04
Plum Acquisition Corp I W Exp 03/15/202 0.0 $509.130000 17k 0.03