K2 PRINCIPAL FUND, L.P. Q3 2016 Filing
Filed November 15, 2016
Portfolio Value
$35.2T
Holdings
214
Report Date
Q3 2016
Filing Type
13F-HR
All Holdings (214 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | —SHORETEL INC | 13,630 | $1.7T | 4.85% | Call |
| 2 | —NEW YORK REIT INC | 13,810 | $1.5T | 4.29% | Put |
| 3 | —QLT INC | 2,889 | $1.4T | 3.99% | |
| 4 | —AMERICAN CAP LTD | 21,711 | $1.3T | 3.65% | |
| 5 | XLFSELECT SECTOR SPDR TR | 24,417 | $1.3T | 3.60% | Call |
| 6 | —CYPRESS SEMICONDUCTOR CORP | 13,712 | $1.1T | 3.21% | Call |
| 7 | —HARMONY MERGER CORP | 246 | $900.0B | 2.56% | |
| 8 | —HARMONY MERGER CORP | 9,045 | $900.0B | 2.56% | |
| 9 | —POWERSHARES QQQ TRUST | 81,323 | $685.0B | 1.95% | Put |
| 10 | LPXLOUISIANA PAC CORP | 12,672 | $673.0B | 1.91% | Put |
| 11 | —HARMONY MERGER CORP | 6,102 | $600.0B | 1.71% | |
| 12 | —DOMINION DIAMOND CORP | 5,707 | $585.9B | 1.67% | Call |
| 13 | POT1EURPOTASH CORP SASK INC | 8,870 | $543.5B | 1.55% | Call |
| 14 | —DIREXION SHS ETF TR | 10,283 | $543.2B | 1.55% | Put |
| 15 | OIBR/USDOI S A | 2,931 | $516.1B | 1.47% | |
| 16 | —KLR ENERGY ACQUISITION CORP | 5,072 | $501.2B | 1.43% | |
| 17 | —KLR ENERGY ACQUISITION CORP | 210 | $500.0B | 1.42% | |
| 18 | —YAHOO INC | 21,441 | $497.5B | 1.42% | |
| 19 | PANLPANGAEA LOGISTICS SOLUTION L | 1,151 | $460.3B | 1.31% | |
| 20 | —SABAN CAP ACQUISITION CORP | 4,536 | $450.0B | 1.28% | |
| 21 | SHLDEURSEARS HLDGS CORP | 5,111 | $446.0B | 1.27% | Put |
| 22 | BGCPEURBGC PARTNERS INC | 3,808 | $435.2B | 1.24% | |
| 23 | —M I ACQUISITIONS INC | 4,008 | $400.0B | 1.14% | |
| 24 | —CF CORP | 3,916 | $400.0B | 1.14% | |
| 25 | PYPLPAYPAL HLDGS INC | 16,183 | $395.0B | 1.12% | Put |
| 26 | INGMINGRAM MICRO INC | 13,373 | $375.0B | 1.07% | |
| 27 | SMHVANECK VECTORS ETF TR | 25,530 | $367.5B | 1.05% | Put |
| 28 | —ELECTRUM SPL ACQUISITION COR | 3,371 | $342.7B | 0.97% | |
| 29 | DBDEURDIEBOLD INC | 8,377 | $337.9B | 0.96% | Call |
| 30 | —ELECTRUM SPL ACQUISITION COR | 72 | $315.0B | 0.90% | |
| 31 | —SILVER RUN ACQUISITION CORP | 4,902 | $311.3B | 0.89% | |
| 32 | —DOUBLE EAGLE ACQUISITION COR | 3,024 | $305.5B | 0.87% | |
| 33 | —APIGEE CORP | 5,207 | $299.2B | 0.85% | |
| 34 | —GP INVTS ACQUISITION COR | 2,876 | $298.7B | 0.85% | |
| 35 | —DOUBLE EAGLE ACQUISITION COR | 118 | $294.9B | 0.84% | |
| 36 | BMYBRISTOL MYERS SQUIBB CO | 15,798 | $293.0B | 0.83% | Call |
| 37 | KLACKLA-TENCOR CORP | 20,209 | $289.9B | 0.82% | Put |
| 38 | —CYNAPSUS THERAPEUTICS INC | 11,507 | $286.0B | 0.81% | |
| 39 | QCOMQUALCOMM INC | 18,838 | $275.0B | 0.78% | Put |
| 40 | —LANDCADIA HLDGS INC | 2,563 | $250.0B | 0.71% | |
| 41 | —ATLANTIC ALLIANCE PARTNER CO | 2,552 | $243.0B | 0.69% | |
| 42 | —VERIFONE SYS INC | 3,757 | $238.7B | 0.68% | Call |
| 43 | —TERRAPIN 3 ACQUISITION CORP | 42 | $229.6B | 0.65% | |
| 44 | TLTISHARES TR | 31,348 | $228.0B | 0.65% | Put |
| 45 | ODPEUROFFICE DEPOT INC | 809 | $226.5B | 0.64% | |
| 46 | —TERRAPIN 3 ACQUISITION CORP | 2,232 | $224.7B | 0.64% | |
| 47 | MXIMMAXIM INTEGRATED PRODS INC | 8,785 | $220.0B | 0.63% | Call |
| 48 | CDECOEUR MNG INC | 2,595 | $219.4B | 0.62% | Put |
| 49 | —NEXEO SOLUTIONS INC | 136 | $218.8B | 0.62% | |
| 50 | TRVCCITIGROUP INC | 10,155 | $215.0B | 0.61% | Put |
| 51 | —VITAE PHARMACEUTICALS INC | 4,364 | $208.6B | 0.59% | |
| 52 | WCNWASTE CONNECTIONS INC | 15,510 | $207.6B | 0.59% | Put |
| 53 | —SKULLCANDY INC | 1,314 | $207.3B | 0.59% | |
| 54 | —QUINPARIO ACQUISITION CORP 2 | 2,051 | $207.0B | 0.59% | |
| 55 | —CF CORP | 180 | $200.0B | 0.57% | |
| 56 | —QUINPARIO ACQUISITION CORP 2 | 35 | $200.0B | 0.57% | |
| 57 | —WHITEWAVE FOODS CO | 10,693 | $196.5B | 0.56% | |
| 58 | —M III ACQUISITION CORP | 1,759 | $179.5B | 0.51% | |
| 59 | XLUSELECT SECTOR SPDR TR | 8,328 | $170.0B | 0.48% | Put |
| 60 | SPWHSPORTSMANS WHSE HLDGS INC | 1,720 | $163.5B | 0.47% | |
| 61 | —GORES HLDGS INC | 192 | $160.0B | 0.46% | |
| 62 | UPBDRENT A CTR INC NEW | 2,003 | $158.5B | 0.45% | |
| 63 | —CONYERS PK ACQUISITION | 1,612 | $150.0B | 0.43% | |
| 64 | —GP INVTS ACQUISITION COR | 90 | $146.8B | 0.42% | |
| 65 | —MYLAN N V | 5,524 | $144.9B | 0.41% | Put |
| 66 | —VALSPAR CORP | 14,736 | $138.9B | 0.40% | |
| 67 | —ST JUDE MED INC | 10,891 | $136.6B | 0.39% | Put |
| 68 | —GAS NAT INC | 1,040 | $135.5B | 0.39% | |
| 69 | —KAPSTONE PAPER and PACKAGING C | 2,554 | $135.0B | 0.38% | |
| 70 | GISGENERAL MLS INC | 7,202 | $131.9B | 0.38% | Call |
| 71 | PHMPULTE GROUP INC | 2,588 | $129.2B | 0.37% | Call |
| 72 | AYS1SANDSTORM GOLD LTD | 648 | $128.8B | 0.37% | Put |
| 73 | —RPX CORP | 1,356 | $126.8B | 0.36% | Call |
| 74 | —AEGERION PHARMACEUTICALS INC | 370 | $124.5B | 0.35% | |
| 75 | NXPINXP SEMICONDUCTORS N V | 12,527 | $122.8B | 0.35% | Put |
| 76 | NGNOVAGOLD RES INC | 659 | $117.6B | 0.33% | Call |
| 77 | —LEXMARK INTL INC | 4,635 | $116.0B | 0.33% | |
| 78 | —CSRA INC | 3,094 | $115.0B | 0.33% | |
| 79 | —HENNESSY CAP ACQUISITION COR | 1,109 | $113.2B | 0.32% | |
| 80 | MXMAGNACHIP SEMICONDUCTOR CORP | 933 | $111.8B | 0.32% | |
| 81 | QUADQUAD / GRAPHICS INC | 2,923 | $109.4B | 0.31% | Put |
| 82 | I9DNARBUTUS BIOPHARMA CORP | 370 | $107.6B | 0.31% | |
| 83 | —PACIFIC SPL ACQUISITION CORP | 1,049 | $102.4B | 0.29% | |
| 84 | RRNRED ROBIN GOURMET BURGERS IN | 4,582 | $102.0B | 0.29% | |
| 85 | —BASIC ENERGY SVCS INC NEW | 83 | $100.9B | 0.29% | Put |
| 86 | BABAALIBABA GROUP HLDG LTD | 10,579 | $100.0B | 0.28% | Put |
| 87 | WFCWELLS FARGO and CO NEW | 4,428 | $100.0B | 0.28% | |
| 88 | —PACE HLDGS CORP | 974 | $99.0B | 0.28% | |
| 89 | —PACE HLDGS CORP | 42 | $99.0B | 0.28% | |
| 90 | —FELCOR LODGING TR INC | 617 | $95.9B | 0.27% | |
| 91 | —BORGWARNER INC | 3,324 | $94.5B | 0.27% | Put |
| 92 | WERNWERNER ENTERPRISES INC | 2,184 | $93.8B | 0.27% | |
| 93 | IWMISHARES TR | 11,241 | $90.5B | 0.26% | Put |
| 94 | SLG2EURSL GREEN RLTY CORP | 9,405 | $87.0B | 0.25% | Put |
| 95 | RRDEURDONNELLEY R R and SONS CO | 2,182 | $85.6B | 0.24% | Call |
| 96 | FORFORESTAR GROUP INC | 868 | $74.1B | 0.21% | |
| 97 | —PRESS GANEY HLDGS INC | 2,964 | $73.4B | 0.21% | |
| 98 | —AARONS INC | 1,862 | $73.2B | 0.21% | |
| 99 | FXIISHARES TR | 2,748 | $72.3B | 0.21% | Put |
| 100 | SPYSPDR SandP 500 ETF TR | 15,358 | $71.0B | 0.20% | Put |
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