K2 PRINCIPAL FUND, L.P. Q3 2017 Filing
Filed November 9, 2017
Portfolio Value
$1.5T
Holdings
262
Report Date
Q3 2017
Filing Type
13F-HR
All Holdings (262 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | —POWERSHARES QQQ TRUST | 970,000 | $141.1B | 9.33% | Put |
| 2 | GOOGLALPHABET INC | 89,106 | $86.8B | 5.74% | Put |
| 3 | —DOMINION DIAMOND CORP | 3,313,017 | $47.0B | 3.11% | |
| 4 | BMYBRISTOL MYERS SQUIBB CO | 720,000 | $45.9B | 3.03% | Put |
| 5 | QCOMQUALCOMM INC | 816,972 | $42.4B | 2.80% | Call |
| 6 | TWXCHFTIME WARNER INC | 371,101 | $38.0B | 2.51% | Call |
| 7 | TRVCCITIGROUP INC | 490,000 | $35.6B | 2.36% | Call |
| 8 | ORCLORACLE CORP | 717,400 | $34.7B | 2.29% | Call |
| 9 | AABAUSDALTABA INC | 371,052 | $24.6B | 1.63% | Call |
| 10 | —VANTAGE ENERGY ACQUISITION | 2,499,999 | $24.4B | 1.62% | |
| 11 | RICEEURRICE ENERGY INC | 836,535 | $24.2B | 1.60% | Put |
| 12 | TAT&T INC | 611,000 | $23.9B | 1.58% | Put |
| 13 | —BUNGE LIMITED | 342,849 | $23.8B | 1.57% | Call |
| 14 | SPYSPDR S&P 500 ETF TR | 90,000 | $22.6B | 1.49% | Put |
| 15 | NXPINXP SEMICONDUCTORS N V | 185,300 | $21.0B | 1.39% | |
| 16 | AMCAMC ENTMT HLDGS INC | 1,425,000 | $20.9B | 1.38% | Call |
| 17 | —CYPRESS SEMICONDUCTOR CORP | 1,330,000 | $20.0B | 1.32% | Call |
| 18 | —KAYNE ANDERSON ACQUISITION | 2,000,000 | $19.5B | 1.29% | |
| 19 | —KITE PHARMA INC | 108,440 | $19.5B | 1.29% | Put |
| 20 | NESRNATIONAL ENERGY SERVICES REU | 2,010,204 | $19.3B | 1.28% | |
| 21 | —BROCADE COMMUNICATIONS SYS I | 19,033 | $19.1B | 1.26% | |
| 22 | —MYLAN N V | 590,400 | $18.5B | 1.22% | Call |
| 23 | VMWEURVMWARE INC | 165,100 | $18.0B | 1.19% | Put |
| 24 | LPXLOUISIANA PAC CORP | 652,700 | $17.7B | 1.17% | Call |
| 25 | —DIGITALGLOBE INC | 488,660 | $17.2B | 1.14% | |
| 26 | —TPG PACE ENERGY HLDGS CORP | 1,749,999 | $17.1B | 1.13% | |
| 27 | TLTISHARES TR | 135,000 | $16.8B | 1.11% | Put |
| 28 | DBDEURDIEBOLD NXDF INC | 716,215 | $16.4B | 1.08% | Call |
| 29 | —MONSANTO CO NEW | 135,200 | $16.2B | 1.07% | Put |
| 30 | SMHVANECK VECTORS ETF TR | 172,500 | $16.1B | 1.06% | Put |
| 31 | DWDMORGAN STANLEY | 310,000 | $14.9B | 0.99% | Call |
| 32 | WPMWHEATON PRECIOUS METALS CORP | 779,000 | $14.9B | 0.98% | Call |
| 33 | NVDANVIDIA CORP | 82,500 | $14.7B | 0.98% | Put |
| 34 | XLFSELECT SECTOR SPDR TR | 500,000 | $12.9B | 0.85% | Put |
| 35 | SNISCRIPPS NETWORKS INTERACT IN | 140,000 | $12.0B | 0.80% | |
| 36 | —TPG PACE HLDGS CORP | 1,200,000 | $11.8B | 0.78% | |
| 37 | SAVESPIRIT AIRLS INC | 351,100 | $11.7B | 0.78% | Put |
| 38 | —PRICELINE GRP INC | 10,000 | $11.5B | 0.76% | |
| 39 | —PENSARE ACQUISITION CORP | 1,020,300 | $9.9B | 0.65% | |
| 40 | —MALLINCKRODT PUB LTD CO | 260,000 | $9.7B | 0.64% | Put |
| 41 | —PAREXEL INTL CORP | 106,215 | $9.4B | 0.62% | |
| 42 | —HENNESSY CAP ACQUSTON CORP I | 915,000 | $9.0B | 0.60% | |
| 43 | DALDELTA AIR LINES INC DEL | 184,000 | $8.9B | 0.59% | Call |
| 44 | XLNXEURXILINX INC | 121,600 | $8.6B | 0.57% | Call |
| 45 | —FEDERAL STR ACQUISITION CORP | 729,600 | $7.5B | 0.50% | |
| 46 | —GORES HLDGS II INC | 750,000 | $7.5B | 0.49% | |
| 47 | —MODERN MEDIA ACQUISITION | 718,493 | $7.0B | 0.46% | |
| 48 | —OSPREY ENERGY ACQUISITION CO | 699,300 | $6.9B | 0.46% | |
| 49 | —FIRST POTOMAC RLTY TR | 610,403 | $6.8B | 0.45% | |
| 50 | FFORD MTR CO DEL | 565,374 | $6.8B | 0.45% | Put |
| 51 | —CONSTELLATION ALPHA CAP CORP | 665,000 | $6.5B | 0.43% | |
| 52 | AAPLAPPLE INC | 40,864 | $6.3B | 0.42% | |
| 53 | —FORUM MERGER CORP | 624,700 | $6.1B | 0.40% | |
| 54 | NSCNORFOLK SOUTHERN CORP | 45,000 | $6.0B | 0.39% | Call |
| 55 | —KAPSTONE PAPER & PACKAGING C | 272,900 | $5.9B | 0.39% | Call |
| 56 | VYXNCR CORP NEW | 150,800 | $5.7B | 0.37% | Call |
| 57 | SLVISHARES SILVER TRUST | 350,000 | $5.5B | 0.36% | Put |
| 58 | XLESELECT SECTOR SPDR TR | 80,000 | $5.5B | 0.36% | Put |
| 59 | —B2GOLD CORP | 5,000 | $5.2B | 0.34% | |
| 60 | —KBL MERGER CORP IV | 510,700 | $5.0B | 0.33% | |
| 61 | —SILVER RUN ACQUISITION | 479,260 | $4.9B | 0.32% | |
| 62 | —STARWOOD WAYPOINT HOMES | 131,721 | $4.8B | 0.32% | |
| 63 | DISCKUSDDISCOVERY COMMUNICATNS NEW | 236,300 | $4.8B | 0.32% | Put |
| 64 | —FINTECH ACQUISITION CORP II | 475,000 | $4.7B | 0.31% | |
| 65 | CNKCINEMARK HOLDINGS INC | 127,300 | $4.6B | 0.30% | Put |
| 66 | —SABAN CAP ACQUISITION CORP | 450,000 | $4.5B | 0.30% | |
| 67 | WGOWINNEBAGO INDS INC | 100,000 | $4.5B | 0.30% | Put |
| 68 | DELLDELL TECHNOLOGIES INC | 57,064 | $4.4B | 0.29% | |
| 69 | SBUXSTARBUCKS CORP | 81,679 | $4.4B | 0.29% | Call |
| 70 | PXGBXPRAXAIR INC | 30,800 | $4.3B | 0.28% | |
| 71 | ATVIEURACTIVISION BLIZZARD INC | 66,094 | $4.3B | 0.28% | |
| 72 | RLJRLJ LODGING TR | 190,085 | $4.2B | 0.28% | Call |
| 73 | UALUNITED CONTL HLDGS INC | 68,118 | $4.1B | 0.27% | Put |
| 74 | GISGENERAL MLS INC | 79,981 | $4.1B | 0.27% | Put |
| 75 | —M I ACQUISITIONS INC | 407,824 | $4.1B | 0.27% | |
| 76 | —CALPINE CORP | 278,569 | $4.1B | 0.27% | |
| 77 | —SILVER STD RES INC | 4,000 | $4.0B | 0.27% | |
| 78 | GDXJVANECK VECTORS ETF TR | 117,000 | $3.9B | 0.26% | |
| 79 | XOPUSDSPDR SERIES TRUST | 115,000 | $3.9B | 0.26% | Put |
| 80 | —ROCKWELL COLLINS INC | 30,000 | $3.9B | 0.26% | |
| 81 | —MATLIN & PARTNERS ACQUISITIO | 399,498 | $3.9B | 0.26% | |
| 82 | —GTY TECHNOLOGY HOLDINGS INC | 377,259 | $3.8B | 0.25% | |
| 83 | —NXP SEMICONDUCTORS N V | 3,000 | $3.7B | 0.24% | |
| 84 | —DELTIC TIMBER CORP | 41,000 | $3.6B | 0.24% | |
| 85 | EOGEOG RES INC | 37,000 | $3.6B | 0.24% | Call |
| 86 | OSVEURVANECK VECTORS ETF TR | 136,500 | $3.6B | 0.24% | Put |
| 87 | ALNYALNYLAM PHARMACEUTICALS INC | 30,100 | $3.5B | 0.23% | Put |
| 88 | —ROSEHILL RES INC | 577,866 | $3.5B | 0.23% | |
| 89 | —ELECTRUM SPL ACQUISITION COR | 344,807 | $3.5B | 0.23% | |
| 90 | —AVISTA HEALTHCARE PUB ACQ CO | 345,934 | $3.5B | 0.23% | |
| 91 | MSFTMICROSOFT CORP | 44,681 | $3.3B | 0.22% | |
| 92 | TNADIREXION SHS ETF TR | 50,000 | $3.2B | 0.21% | Put |
| 93 | —COMMERCEHUB INC | 151,709 | $3.2B | 0.21% | |
| 94 | JPMJPMORGAN CHASE & CO | 33,900 | $3.2B | 0.21% | Put |
| 95 | —CSRA INC | 100,000 | $3.2B | 0.21% | |
| 96 | —BROCADE COMMUNICATIONS SYS I | 269,500 | $3.2B | 0.21% | |
| 97 | DLTRDOLLAR TREE INC | 37,100 | $3.2B | 0.21% | Put |
| 98 | —BISON CAP ACQUISITION CORP | 322,600 | $3.2B | 0.21% | |
| 99 | —SPRINT CORP | 400,000 | $3.1B | 0.21% | |
| 100 | —PACIFIC CONTINENTAL CORP | 111,516 | $3.0B | 0.20% |
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