K2 PRINCIPAL FUND, L.P. Q3 2023 Filing
Filed November 13, 2023
Portfolio Value
$477.3T
Holdings
211
Report Date
Q3 2023
Filing Type
13F-HR
All Holdings (211 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 1 | USOUNITED STS OIL FD LP | 450,000 | $36.4T | 7.62% | Put |
| 2 | SPYSPDR SP 500 ETF TR | 50,000 | $21.4T | 4.48% | Put |
| 3 | AY 4 07/15/25ATLANTICA SUSTAINABLE INFRA | 19,300 | $17.7T | 3.70% | |
| 4 | DBX 0 03/01/26DROPBOX INC | 15,859 | $15.0T | 3.14% | |
| 5 | NTNX 0.25 10/01/27NUTANIX INC | 14,000 | $12.6T | 2.63% | |
| 6 | SPRYARS PHARMACEUTICALS INC | 3,240,962 | $12.3T | 2.57% | Call |
| 7 | ENV 0.75 08/15/25ENVESTNET INC | 12,500 | $11.5T | 2.41% | |
| 8 | SPOT 0 03/15/26SPOTIFY USA INC | 13,000 | $11.1T | 2.32% | |
| 9 | MARA 1 12/01/26MARATHON DIGITAL HOLDINGS IN | 15,250 | $11.0T | 2.30% | |
| 10 | AYX 0.5 08/01/24ALTERYX INC | 10,815 | $10.4T | 2.19% | |
| 11 | ATVIEURACTIVISION BLIZZARD INC | 105,000 | $9.8T | 2.06% | |
| 12 | TRIP 0.25 04/01/26TRIPADVISOR INC | 11,500 | $9.7T | 2.04% | |
| 13 | ZS 0.125 07/01/25ZSCALER INC | 8,000 | $9.6T | 2.02% | |
| 14 | INN 1.5 02/15/26SUMMIT HOTEL PPTYS | 11,375 | $9.6T | 2.00% | |
| 15 | PEB 1.75 12/15/26PEBBLEBROOK HOTEL TR | 11,300 | $9.4T | 1.97% | |
| 16 | BOX 0 01/15/26BOX INC | 8,500 | $9.2T | 1.93% | |
| 17 | SAVE 1 05/15/26SPIRIT AIRLS INC | 10,491 | $8.8T | 1.84% | |
| 18 | RPD 0.25 03/15/27RAPID7 INC | 10,000 | $8.6T | 1.79% | |
| 19 | IYRISHARES TR | 100,000 | $7.8T | 1.64% | Put |
| 20 | SRGSERITAGE GROWTH PPTYS | 987,751 | $7.6T | 1.60% | Call |
| 21 | 07WAMR COOPER GROUP INC | 141,363 | $7.6T | 1.59% | |
| 22 | IAU*ISHARES GOLD TR | 212,500 | $7.4T | 1.56% | Call |
| 23 | RNG 0 03/01/25RINGCENTRAL INC | 7,799 | $7.2T | 1.51% | |
| 24 | SPLK 1.125 06/15/27SPLUNK INC | 7,415 | $7.0T | 1.47% | |
| 25 | IEIISHARES TR | 60,700 | $6.9T | 1.44% | Put |
| 26 | RWT 5.625 07/15/24REDWOOD TRUST INC | 6,572 | $6.4T | 1.35% | |
| 27 | INTCINTEL CORP | 175,000 | $6.2T | 1.30% | Call |
| 28 | VMWEURVMWARE INC | 37,305 | $6.2T | 1.30% | |
| 29 | WT 3.25 06/15/26WISDOMTREE INC | 6,306 | $6.2T | 1.29% | |
| 30 | CAVACAVA GROUP INC | 200,000 | $6.1T | 1.28% | Put |
| 31 | MSOSADVISORSHARES TR | 750,000 | $6.0T | 1.25% | Call |
| 32 | ACIALBERTSONS COS INC | 249,231 | $5.7T | 1.19% | |
| 33 | GMEDGLOBUS MED INC | 114,103 | $5.7T | 1.19% | Call |
| 34 | —NABORS INDS INC | 5,619 | $5.5T | 1.16% | |
| 35 | MSTR 0.75 12/15/25MICROSTRATEGY INC | 5,000 | $5.4T | 1.13% | |
| 36 | SSRMCN 2.5 04/01/39SSR MINING IN | 5,000 | $5.2T | 1.08% | |
| 37 | W 1.125 11/01/24WAYFAIR INC | 5,000 | $4.9T | 1.03% | |
| 38 | MPCMARATHON PETE CORP | 30,844 | $4.7T | 0.98% | Call |
| 39 | XRTSPDR SER TR | 75,000 | $4.6T | 0.96% | Put |
| 40 | SAVESPIRIT AIRLS INC | 274,189 | $4.5T | 0.95% | Call |
| 41 | CVECENOVUS ENERGY INC | 200,000 | $4.2T | 0.87% | |
| 42 | AIVAPARTMENT INVT MGMT CO | 541,884 | $3.7T | 0.77% | Call |
| 43 | TSEMTOWER SEMICONDUCTOR LTD | 142,867 | $3.5T | 0.74% | Call |
| 44 | GRABGRAB HOLDINGS LIMITED | 947,878 | $3.4T | 0.70% | |
| 45 | —NATIONAL INSTRS CORP | 56,166 | $3.3T | 0.70% | |
| 46 | GMED 0.375 03/15/25NUVASIVE INC | 3,000 | $2.8T | 0.58% | |
| 47 | UHAL/BU HAUL HOLDING COMPANY | 49,933 | $2.6T | 0.55% | Call |
| 48 | BL 0 03/15/26BLACKLINE INC | 3,000 | $2.6T | 0.54% | |
| 49 | TFPMTRIPLE FLAG PRECIOUS METAL | 136,137 | $2.4T | 0.51% | |
| 50 | HVIIHENNESSY CAPITAL INVST CORP | 225,000 | $2.3T | 0.49% | |
| 51 | VETVERMILION ENERGY INC | 158,000 | $2.3T | 0.48% | |
| 52 | —ABCAM PLC | 100,000 | $2.3T | 0.47% | |
| 53 | PCAPAP ACQUISITION CORP | 199,901 | $2.2T | 0.46% | |
| 54 | EVHEVOLENT HEALTH INC | 77,857 | $2.1T | 0.44% | |
| 55 | SPTISPDR SER TR | 75,000 | $2.1T | 0.43% | Put |
| 56 | GDSTGOLDENSTONE ACQUISITION LTD | 189,289 | $2.0T | 0.42% | |
| 57 | PLLPIEDMONT LITHIUM INC | 51,000 | $2.0T | 0.42% | Put |
| 58 | —COMPUTER TASK GROUP INC | 192,168 | $2.0T | 0.42% | |
| 59 | CRCCANADIAN NAT RES LTD | 30,000 | $1.9T | 0.41% | |
| 60 | AYATLANTICA SUSTAINABLE INFR P | 100,000 | $1.9T | 0.40% | Call |
| 61 | AGCN 0.375 01/15/27FIRST MAJESTIC SILVER CORP | 2,500 | $1.9T | 0.39% | |
| 62 | SIMOSILICON MOTION TECHNOLOGY CO | 36,000 | $1.8T | 0.39% | |
| 63 | AYX 1 08/01/26ALTERYX INC | 2,000 | $1.8T | 0.37% | |
| 64 | MXLMAXLINEAR INC | 80,000 | $1.8T | 0.37% | Call |
| 65 | TOLTOLL BROTHERS INC | 23,000 | $1.7T | 0.36% | Put |
| 66 | —DENALI CAPITAL ACQUISITN COR | 150,600 | $1.6T | 0.35% | |
| 67 | PFSIPENNYMAC FINL SVCS INC NEW | 24,644 | $1.6T | 0.34% | |
| 68 | HTZHERTZ GLOBAL HLDGS INC | 133,085 | $1.6T | 0.34% | Call |
| 69 | GDXJVANECK ETF TRUST | 50,000 | $1.6T | 0.34% | Put |
| 70 | OKLOALTC ACQUISITION CORP | 142,777 | $1.5T | 0.31% | |
| 71 | TPRTAPESTRY INC | 50,000 | $1.4T | 0.30% | Put |
| 72 | LENLENNAR CORP | 12,600 | $1.4T | 0.30% | Put |
| 73 | MSTR 0 02/15/27MICROSTRATEGY INC | 2,000 | $1.4T | 0.29% | |
| 74 | CPRICAPRI HOLDINGS LIMITED | 24,900 | $1.3T | 0.27% | Put |
| 75 | EROERO COPPER CORP | 75,000 | $1.3T | 0.27% | Put |
| 76 | IRBTQIROBOT CORP | 30,000 | $1.1T | 0.24% | Put |
| 77 | SYFSYNCHRONY FINANCIAL | 37,042 | $1.1T | 0.24% | |
| 78 | ESTEEUREARTHSTONE ENERGY INC | 55,883 | $1.1T | 0.24% | |
| 79 | STLDSTEEL DYNAMICS INC | 10,525 | $1.1T | 0.24% | |
| 80 | —SOVOS BRANDS INC | 50,000 | $1.1T | 0.24% | |
| 81 | AOGOAROGO CAPITAL ACQUISITION CO | 105,000 | $1.1T | 0.23% | |
| 82 | —INTEGRATED WELLNESS ACQ CORP | 100,000 | $1.1T | 0.23% | |
| 83 | CCLCARNIVAL CORP | 75,000 | $1.0T | 0.22% | Put |
| 84 | 0C3ENDEAVOR GROUP HLDGS INC | 50,000 | $995.0B | 0.21% | |
| 85 | CLDTCHATHAM LODGING TR | 100,000 | $957.0B | 0.20% | Put |
| 86 | RCLROYAL CARIBBEAN GROUP | 10,000 | $921.4B | 0.19% | Put |
| 87 | KGCKINROSS GOLD CORP | 200,000 | $912.0B | 0.19% | Call |
| 88 | RWT 7.75 06/15/27REDWOOD TRUST INC | 1,000 | $902.9B | 0.19% | |
| 89 | TACTRANSALTA CORP | 100,000 | $870.0B | 0.18% | Call |
| 90 | —A SPAC I ACQUISITION CORP | 79,599 | $859.7B | 0.18% | |
| 91 | RGLDROYAL GOLD INC | 7,500 | $797.5B | 0.17% | Put |
| 92 | FCXFREEPORT-MCMORAN INC | 20,000 | $745.8B | 0.16% | Put |
| 93 | TLGYFTLGY ACQUISITION CORPORATION | 64,106 | $703.9B | 0.15% | |
| 94 | CCIVGBPLUCID GROUP INC | 125,000 | $698.8B | 0.15% | Call |
| 95 | FNVFRANCO NEV CORP | 5,000 | $667.5B | 0.14% | Put |
| 96 | USX1UNITED STATES STL CORP NEW | 20,000 | $649.6B | 0.14% | Call |
| 97 | EVBG 0.125 12/15/24EVERBRIDGE INC | 700 | $649.2B | 0.14% | |
| 98 | PACWUSDPACWEST BANCORP DEL | 73,541 | $581.7B | 0.12% | |
| 99 | INNSUMMIT HOTEL PPTYS INC | 100,000 | $580.0B | 0.12% | Put |
| 100 | BLBLACKLINE INC | 10,000 | $554.7B | 0.12% | Call |
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