K2 PRINCIPAL FUND, L.P.

Most recent update: June 30, 2018

CompanyShares/WarrantsValue ($000)
NXP Semiconductors N.V.555,00060,645
Inca One Gold Corporation440,00053,557
Citigroup Inc.690,00046,175
Alphabet Holding Company, Inc.32,75436,814
Sector 5, Inc.490,00034,041
Mylan Inc.680,00024,576
Louisiana-Pacific Corporation873,90023,788
Alibaba Group Holding Limited114,00021,150
PureSnax International Inc.2,011,84620,621
ETFS Asian Gold Trust648,30019,060
Rockwell Collins135,95318,310
S&P Quality Rankings Glbl Equ Mngd Tr65,00017,633
Morgan Stanley371,34317,602
Aetna Inc.93,54917,166
athenahealth105,90016,853
Far East Energy Corp.1,575,41416,053
Legacy Acquisition Corp.1,572,32015,276
Cypress Semiconductor Corporation950,00014,801
Easterly Acquisition Corp.2,047,28814,463
Bank of America Corporation450,00012,686
Zhuding International Limited10,00012,635
Dell Technologies Inc.135,00011,418
NewStar Financial222,90710,983
QUALCOMM Incorporated195,00010,943
Mercer International Inc.595,00010,413
Express Scripts Holding Company130,81310,100
Vantage Energy Acquisition Corp.1,719,0889,651
Osprey Gold Development Ltd.1,124,6669,251
CASEY CONTAINER CORP87,8009,226
Twelve Seas Investment Co900,0009,054
Andeavor68,7039,012
TPG Pace Energy Holdings Corp.1,702,3338,796
ILG262,0178,654
HENNESSY ADVISORS INC1,475,7008,629
Applied Materials185,0008,545
Xerox Corporation353,0508,473
Silicon Laboratories7,0008,448
Select Energy Services, Inc.570,2208,285
DYNACQ HEALTHCARE INC7,1308,258
V Media Corp55,0008,084
DFB Healthcare Acquisitions Corp.789,2537,983
Xilinx111,7007,290
THUNDER MOUNTAIN GOLD INC725,0007,274
Kayne Anderson Acquisition Corp1,308,2697,207
One Madison Corp679,4216,872
Sigma Designs1,090,9716,655
Constellation Alpha Capital Corp.1,246,0036,573
Layne Christensen Company5,0006,418
Pure Cycle Corporation626,1996,037
Liberty TripAdvisor Holdings, Inc.373,4456,012
Platinum Australia Ltd.587,3065,979
Gores Holdings, Inc.799,1665,967
CMTSU Liquidation Inc.578,7005,961
VALE S.A.456,2005,849
LaSalle Hotel Properties163,3225,591
Cisco Systems125,0005,379
Orbotech Ltd.85,0005,253
Micron Technology100,0005,244
MagnaChip Semiconductor Corporation502,8115,154
DowDuPont Inc.77,6735,119
Wildhorse Energy Limited200,0005,072
RTI International Metals5,0005,020
Sprott Resource Lending Corp.399,4565,013
Camping World Holdings200,0004,996
Extra Space Storage Inc50,0004,990
Social Life Network, Inc.495,8044,983
BGS Acquisition Corp.70,0864,886
Italian Food & Beverage Corp25,0004,812
Union Drilling463,5004,728
Discovery Communications183,5154,680
Tiberius Acquisition Corp650,0004,644
NCR Corporation151,2004,533
SJW Corporation67,9414,499
Saban Capital Acquisition Corp.551,3364,447
Senseonics Holdings, Inc.208,1544,401
Citrix Systems3,0004,356
LIBERTY ALL STAR GROWTH FUND INC95,8004,316
HKN, Inc.327,0194,281
Heico Corporation69,5254,238
Big Rock Partners Acquisition Corp.798,9884,235
Diebold350,0004,183
Universal Display Corp45,0003,870
GTY Technology Holdings Inc.493,9923,861
LF George Hldgs Inc378,9003,816
Trinity Capital Corporation372,8003,750
Gramercy Capital Corp136,4793,729
M I Acquisitions, Inc.1,037,1813,724
Splunk Inc.37,5003,717
KapStone Paper and Packaging Corporation107,6333,713
Kresta Holdings Ltd.60,0003,660
Praxair23,1003,653
New Resource Bank82,9303,650
Avista Healthcare Public Acquisition Corp.1,216,7813,618
Leo Holdings Corp.348,7043,546
Pretium Resources476,5003,498
ABB Ltd160,0003,483
J P Morgan Chase & Co32,5003,387
Stryker Corporation20,0003,377
Modern Media Acquisition Corp.332,4153,318
Copene-Petroquimica do Nordeste122,7003,191
Federal Agricultural Mortgage Corporation478,6853,190
Landcadia Holdings, Inc.689,8163,187
Liberty Bancorp, Inc.90,0003,178
HighPoint Resources Corp520,0003,162
Mitel Networks Corporation287,2233,151
FinTech Acquisition Corp733,7493,138
Avant Diagnostics, Inc.145,7993,120
Bespoke Tricyles, Inc.268,0673,035
iShares Trust iShares MSCI Emerging Markets Latin America Inde70,0003,033
Sparton Corporation159,1323,022
New Frontier Corp300,0003,015
Berkshire Hathaway Inc.16,1183,008
Blackberry2,5002,988
Sentinel Energy Services Inc.295,7702,984
Leisure Acquisition Corp.334,4072,968
Oclaro329,3002,941
Dover Corporation40,0002,928
Draper Oakwood Technology Acquisition Inc.445,1932,921
Ceridian HCM Holding Inc.87,5592,906
Capitol Investment Corp. IV276,0002,843
XL Group Ltd.50,7612,840
Pinnacle Foods Inc42,0982,739
Timken Company (The)62,1002,704
A.H. Belo Corporation60,0002,670
MB Financial Inc.55,4082,588
KBL MERGER CORP. IV536,7422,571
Papa Bello Enterprises, Inc.50,0002,536
Apple Inc.13,5002,499
Waste Connections32,3062,432
Autodesk18,3002,399
GS Acquisition Holdings Corp230,2002,353
Terramin Australia Ltd.61,0002,322
Capella Education Company23,3782,307
Infinity Cross Border Acquisition Corporation16,1702,302
RSP Permian51,6732,275
GigCapital, Inc.367,9752,246
TripAdvisor40,0002,228
USG Corporation51,3002,212
CeCors, Inc.358,0742,199
Mosaic Acquisition Corp.217,3002,177
Brown Forman Corporation44,4002,169
Shire plc12,8262,165
Regalwood Global Energy Ltd.208,4422,112
Cars.com Inc.73,0002,072
Leisure Acquisition Corp.210,0002,029
HL Acquisitions Corp.200,0002,012
Microsoft Corporation20,0001,972
Edgewater Technology348,3451,888
Amazon.com1,1001,870
Liberty Media68,8731,771
iShares MSCI Emerging Markets Materials Sector Index Fund20,0001,702
Blue Bird Corporation75,0001,676
Avista Corporation31,8001,675
Stellar Acquisition III Inc.161,2301,674
Callon Petroleum Company150,0001,611
AmTrust Financial Services108,0041,574
Gold Reserve Inc20,0991,549
Prologis, Inc.23,1181,519
DROPBOX, INC.45,0001,459
Jensyn Acquisition Corp.335,6441,360
PayMeOn, Inc.58,5801,337
Bison Capital Acquisition Corp.131,4261,317
Independent Bank Corp.19,2311,285
Deutsche Bank AG120,0001,274
New England Service Co.79,7901,265
WillScot Corp559,5231,265
NxStage Medical44,5651,243
Pebblebrook Hotel Trust30,0001,164
Carnival Plc ADS20,0001,153
Pattern Energy Group61,1001,146
Enphase Energy170,0001,144
Penn National Gaming32,5831,094
Alta Mesa Resources284,4011,086
National Energy Services Reunited Corp.872,6511,047
BARINGTON/HILCO ACQUISITION CORP.126,5621,038
Nationstar Mortgage Holdings Inc.59,1381,037
Nebula Acquisition Corp99,6531,004
Cadence Bancorporation33,905979
Lowe's Companies10,024958
Platinum Group Metals Ltd.360,446942
Liberty Expedia Holdings, Inc.20,900918
Financial Engines20,000898
Babcock & Wilcox Enterprises, Inc.373,856890
Santeon Group Inc20,000861
Gastar Exploration1,529,952857
Nevsun Resources Ltd225,544782
Liberty Broadband Corporation9,900750
Allergan4,500750
Infineon Technologies AGĀ 4,000745
Liberty Global25,055667
Adobe Systems Incorporated2,500610
United States Oil Fund, LP40,000602
Keegan Resources Inc549,860588
Liberty Bell Bank30,556584
Wal-Mart Stores6,700574
Wells Fargo & Company10,000554
Cotiviti Holdings, Inc.10,500463
Pan American Silver Corp.25,000448
Restaurant Brands International Inc.7,400446
Social Cube Inc.246,099443
Starbucks Corporation9,000440
Lennar Corporation8,277435
Central Garden & Pet Company10,200413
Akorn24,600408
Atlantic Acquisition Corp.36,685369
I-AM CAPITAL ACQUISITION Co31,389339
Gordon Pointe Acquisition Corp.32,746318
Hostess Brands180,000306
Viacom Inc.10,000302
FGL Holding210,500253
Simply Innovative Products, Inc.50,000208
Marvell Technology Group Ltd.9,633207
Kinross Gold Corporation50,000188
Nexeo Solutions Holdings, LLC297,917170
Arbutus Biopharma20,591150
B2Digital, Inc.50,403130
Trinity Petroleum Trust299,400120
CMAL Financial Corp.249,30098
ESTRE USA INC.209,85589
CMX Gold & Silver Corp268,35486
Hecla Mining Company10,00035
Black Ridge Oil & Gas, Inc.75,90023
Union Andina de Cementos S.A.A.50,00018

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