K2 Principal Fund, L.p. — Q3 2019 13F Holdings

Name: K2 Principal Fund, L.p. — 13F Holdings, Q3 2019
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001461790

Total reported value

$1.4B

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Full holdings list this quarter

Showing top 200 holdings (of 278 total)

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	AMZN	Amazon.com INC	Stock-Consumer Disc	3.59%	—	—
2	✓	Social Cap Hedosophia Hldgs	Stock-Other	2.32%	—	+64.75%
3	FNV	Franco-nevada CORP	Stock-Materials	1.84%	—	+38.52%
4	IIVI 0.5 12-15-36	Finisar CORP	Stock-Other	1.73%	—	+99.52%
5	V	Visa Inc-class A Shares	Stock-Financials	1.72%	—	—
6	SMH	Vaneck Semiconductor ETF	ETF-Other	1.48%	—	-68.54%
7	AMD	Advanced Micro Devices	Stock-Tech	1.40%	—	+169.70%
8	QQQ	Invesco Qqq Trust Series 1	ETF-Tech	1.33%	—	-40.91%
9	XLNXEUR	Xilinx INC	Stock-Other	1.30%	—	+290.63%
10	✓	Mosaic Acquisition CORP	Stock-Other	1.21%	—	+21.30%
11	TPG	TPG Inc.	Stock-Financials	1.20%	—	+228.36%
12	GCI 4.75 04-15-24	Gannett Co INC	Stock-Other	1.17%	—	+42.86%
13	TXN	Texas Instruments INC	Stock-Tech	1.12%	—	—
14	GOOGL	Alphabet Inc-cl A	Stock-Comm Services	1.10%	—	-78.73%
15	INVH 3.5 01-15-22	Ih Merger Sub LLC	Stock-Real Estate	1.08%	—	+200.00%
16	AJRD 2.25 12-15-23	Aerojet Rocketdyne Hldg	Stock-Other	1.08%	—	—
17	✓	Pure Acquisition CORP	Stock-Other	1.08%	—	—
18	✓	Far Pt Acquisition CORP	Stock-Other	1.06%	—	—
19	✓	Cf Fin Acquisition CORP	Stock-Other	1.03%	—	+11.90%
20	LGCUSD	Parts Id INC	Stock-Other	0.95%	—	+271.66%
21	HYG	Ishr Ibx Usd Hiyld Cb Etf-ui	ETF-High Yield	0.94%	+0.83%	NEW
22	✓	Tuscan Holdings CORP	Stock-Other	0.92%	—	—
23	✓	Spartan Energy A	Stock-Other	0.91%	—	-3.00%
24	WCN	Waste Connections INC	Stock-Industrials	0.89%	—	+309.96%
25	BB	BlackBerry Limited	Stock-Other	0.88%	—	+1.87%
26	✓	Fintech Acquisition CORP Iii	Stock-Other	0.87%	—	—
27	QCOM	Qualcomm INC	Stock-Tech	0.87%	—	-43.24%
28	PFPT	Proofpoint INC	Stock-Other	0.87%	—	-41.40%
29	IFXGR 4.5 01-15-22	Cypress Semiconductor Co	Stock-Other	0.85%	—	+124.50%
30	ALDR 2.5 02-01-25	Lundbeck Seatle Bioph In	Stock-Other	0.84%	—	—
31	IGV	Ishares Expanded Tech-softwa	ETF-Tech	0.79%	—	—
32	✓	Insurance Acquisition CORP	Stock-Other	0.79%	—	—
33	✓	Dfb Healthcare Acquistion Co	Stock-Other	0.78%	—	+1934.15%
34	PVH	Pvh CORP	Stock-Consumer Disc	0.73%	—	—
35	SLAB 1.375 03-01-22	Silicon Laboratories INC	Stock-Tech	0.71%	—	—
36	✓	Gx Acquisition CORP	Stock-Other	0.70%	—	-20.25%
37	MDB	Mongodb INC	Stock-Tech	0.70%	—	+78.33%
38	OSBCAD	Norbord INC	Stock-Other	0.69%	—	—
39	✓	Graf Indl CORP	Stock-Other	0.69%	—	+0.02%
40	✓	Collier Creek Holdings	Stock-Other	0.67%	—	—
41	NVDA	Nvidia CORP	Stock-Tech	0.66%	—	+366.67%
42	WBC1EUR	Wabco Holdings INC	Stock-Other	0.66%	—	+74.56%
43	✓	Haymaker Acquisition CORP Ii	Stock-Other	0.64%	—	-4.17%
44	AVYA 2.25 06-15-23	Avaya Holdings CORP	Stock-Other	0.64%	—	—
45	WY	Weyerhaeuser Co	Stock-Real Estate	0.63%	—	—
46	MCD	Mcdonald's CORP	Stock-Consumer Disc	0.63%	—	—
47	ADSW	Advanced Disposal Services I	Stock-Other	0.63%	—	+36.85%
48	PEGI 4 07-15-20	Pattern Energy Group INC	Stock-Other	0.63%	—	+22.10%
49	SKYY	First Trust Cloud Computing	ETF-Other	0.63%	—	+156.25%
50	BF-A	Brown-forman Corp-class A	Stock-Other	0.61%	—	+187.43%

1–50 of 200

Holding changes this quarter

Position changes disclosed by K2 Principal Fund, L.p. for the quarter ending Q3 2019, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	XLNXEUR	Xilinx INC	+0.8%	+290.63%	Add
2	AMD	Advanced Micro Devices	+0.8%	+169.70%	Add
3	✓	Social Cap Hedosophia Hldgs	+0.8%	+64.75%	Add
4	TPG	TPG Inc.	+0.8%	+228.36%	Add
5	IIVI 0.5 12-15-36	Finisar CORP	+0.8%	+99.52%	Add
6	✓	Dfb Healthcare Acquistion Co	+0.7%	+1934.15%	Add
7	INVH 3.5 01-15-22	Ih Merger Sub LLC	+0.7%	+200.00%	Add
8	WCN	Waste Connections INC	+0.7%	+309.96%	Add
9	LGCUSD	Parts Id INC	+0.7%	+271.66%	Add
10	NVDA	Nvidia CORP	+0.5%	+366.67%	Add
11	FNV	Franco-nevada CORP	+0.5%	+38.52%	Add
12	WPM	Wheaton Precious Metals CORP	-0.6%	-65.14%	Trim
13	STNL	Sentinel Energy Service-cl A	-0.6%	-65.05%	Trim
14	PFPT	Proofpoint INC	-0.7%	-41.40%	Trim
15	✓	Crescent Acquisition CORP	-0.8%	-87.75%	Trim
16	VIAB	Viacom Inc-class B	-0.8%	-75.85%	Trim
17	EBAY	Ebay INC	-0.8%	-65.59%	Trim
18	QCOM	Qualcomm INC	-0.8%	-43.24%	Trim
19	QQQ	Invesco Qqq Trust Series 1	-1.2%	-40.91%	Trim
20	SMH	Vaneck Semiconductor ETF	-3.4%	-68.54%	Trim
21	GOOGL	Alphabet Inc-cl A	-4%	-78.73%	Trim
22	AMZN	Amazon.com INC	—	NEW	New buy
23	V	Visa Inc-class A Shares	—	NEW	New buy
24	AAPL	Apple INC	—	EXIT	Sold out
25	TXN	Texas Instruments INC	—	NEW	New buy
26	HYG	Ishr Ibx Usd Hiyld Cb Etf-ui	—	NEW	New buy
27	✓		—	EXIT	Sold out
28	RHT1EUR	Red Hat INC	—	EXIT	Sold out
29	TRCO	Tribune Media Co - A	—	EXIT	Sold out
30	✓	Dfb Healthcare Acquistion Co	—	EXIT	Sold out
31	ALDR 2.5 02-01-25	Lundbeck Seatle Bioph In	—	NEW	New buy
32	IGV	Ishares Expanded Tech-softwa	—	NEW	New buy
33	PVH	Pvh CORP	—	NEW	New buy
34	LPX	Louisiana-pacific CORP	—	EXIT	Sold out
35	CFFN	Capitol Federal Financial, Inc.	—	EXIT	Sold out
36	OSBCAD	Norbord INC	—	NEW	New buy
37	AVYA 2.25 06-15-23	Avaya Holdings CORP	—	NEW	New buy
38	WY	Weyerhaeuser Co	—	NEW	New buy
39	MCD	Mcdonald's CORP	—	NEW	New buy
40	AGG	Ishares Core U.s. Aggregate	—	NEW	New buy
41	✓	Greenland Acquisitin Corpora	—	NEW	New buy
42	✓	Pivotal Software INC	—	NEW	New buy
43	APC3EUR	Anadarko Petroleum CORP	—	EXIT	Sold out
44	✓	New Frontier CORP	—	NEW	New buy
45	✓	Sc Health CORP	—	NEW	New buy
46	MSFT	Microsoft CORP	—	NEW	New buy
47	✓	Tuscan Hldgs CORP Ii	—	NEW	New buy
48	WMGI 2.25 11-15-21	Wright Medical Group NV	—	NEW	New buy
49	✓	Dd3 Acquisition CORP	—	NEW	New buy
50	✓	Thunder Bridge Acquisition L	—	EXIT	Sold out