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K2 PRINCIPAL FUND, L.P.

Q2 2023 · 13F-HR

K2 PRINCIPAL FUND, L.P.holdings as filed

Filed 2023-08-15 · accession 0001461790-23-000020

$437.2M
Reported value
222
Positions
2023-06-30
Period end
View analyzed profile →PRO

Holdings as filed

CUSIPTickerIssuerValue% port.SharesClassVoting
464287655IWMISHARES TR$18.7M4.28%100,000PUTSOLE
04916EAB0AY 4 07/15/25ATLANTICA SUSTAINABLE INFRA$18.3M4.19%19,300CommonSOLE
26210CAC8DBX 0 03/01/26DROPBOX INC$15.1M3.45%15,859CommonSOLE
848637AC8SPLUNK INC$13.2M3.02%13,339CommonSOLE
29404KAE6ENV 0.75 08/15/25ENVESTNET INC$11.5M2.62%12,500CommonSOLE
464288513HYGISHARES TR$11.3M2.58%150,000PUTSOLE
67059NAH1NTNX 0.25 10/01/27NUTANIX INC$11.1M2.55%13,000CommonSOLE
84921RAB6SPOT 0 03/15/26SPOTIFY USA INC$11.1M2.54%13,000CommonSOLE
256163AD8DOCUSIGN INC$9.9M2.26%10,230CommonSOLE
866082AA8INN 1.5 02/15/26SUMMIT HOTEL PPTYS$9.7M2.22%11,375CommonSOLE
896945AD4TRIP 0.25 04/01/26TRIPADVISOR INC$9.7M2.22%11,500CommonSOLE
70509VAA8PEB 1.75 12/15/26PEBBLEBROOK HOTEL TR$9.6M2.19%11,300CommonSOLE
98980GAB8ZS 0.125 07/01/25ZSCALER INC$9.4M2.15%8,000CommonSOLE
00507V109AIYACTIVISION BLIZZARD INC$8.9M2.04%105,600PUTSOLE
00507V109AIYACTIVISION BLIZZARD INC$8.9M2.04%105,600CommonSOLE
848577AB8SAVE 1 05/15/26SPIRIT AIRLS INC$8.5M1.95%10,491CommonSOLE
82835W108SPRYARS PHARMACEUTICALS INC$8.5M1.95%1,271,744CommonSOLE
78464A755XMESPDR SER TR$7.6M1.74%150,000PUTSOLE
981419104WRLDWORLD ACCEP CORPORATION$7.5M1.72%56,203CommonSOLE
76680RAF4RNG 0 03/01/25RINGCENTRAL INC$7.2M1.64%7,799CommonSOLE
478160104JNJJOHNSON JOHNSON$7.0M1.59%42,100CALLSOLE
02156BAD5AYX 0.5 08/01/24ALTERYX INC$6.4M1.48%6,815CommonSOLE
758075AD7REDWOOD TRUST INC$6.3M1.44%6,572CommonSOLE
013091103ACIALBERTSONS COS INC$6.1M1.40%280,699CommonSOLE
00507V109AIYACTIVISION BLIZZARD INC$6.0M1.37%70,800CALLSOLE
81752R100SRGSERITAGE GROWTH PPTYS$5.6M1.27%623,644CommonSOLE
464285204IAUISHARES GOLD TR$5.5M1.25%150,000CALLSOLE
848637AD6SPLK 1.125 09/15/25SPLUNK INC$5.4M1.24%5,415CommonSOLE
784730AB9SSRMCN 2.5 04/01/39SSR MINING IN$5.4M1.24%5,000CommonSOLE
35671D857FCXFREEPORT-MCMORAN INC$5.0M1.14%125,000PUTSOLE
758075AC9REDWOOD TRUST INC$5.0M1.14%5,000CommonSOLE
94419LAD3W 1.125 11/01/24WAYFAIR INC$5.0M1.13%5,000CommonSOLE
928563402VMWAVMWARE INC$4.9M1.13%34,337CommonSOLE
82835W108SPRYARS PHARMACEUTICALS INC$4.7M1.07%699,900CALLSOLE
670704105NUVANUVASIVE INC$4.4M1.01%106,389CommonSOLE
70932M107PFSIPENNYMAC FINL SVCS INC NEW$4.0M0.91%56,373CommonSOLE
462726100I8RIROBOT CORP$3.6M0.83%80,000PUTSOLE
03748R747AIVAPARTMENT INVT MGMT CO$3.6M0.81%418,148CommonSOLE
62957HAB1NABORS INDS INC$3.5M0.80%3,619CommonSOLE
848577102SAVEEURSPIRIT AIRLS INC$3.4M0.79%200,727CommonSOLE
42806J700HTZHERTZ GLOBAL HLDGS INC$3.4M0.78%184,957CommonSOLE
358039105FRPTFRESHPET INC$3.4M0.78%51,500PUTSOLE
007800105AEROJET ROCKETDYNE HLDGS INC$3.3M0.76%60,600CommonSOLE
46428Q109SLVISHARES SILVER TR$3.1M0.72%150,000CALLSOLE
53223X107LIFE STORAGE INC$3.1M0.71%23,260CommonSOLE
70931T103PMTPENNYMAC MTG INVT TR$3.0M0.68%219,215CommonSOLE
45232V106ILLMFILLUMIN HLDGS INC$2.9M0.66%1,684,619CommonSOLE
670704AJ4GMED 0.375 03/15/25NUVASIVE INC$2.7M0.63%3,000CommonSOLE
81752R100SRGSERITAGE GROWTH PPTYS$2.7M0.61%301,000CALLSOLE
636518102NATIONAL INSTRS CORP$2.6M0.60%45,364CommonSOLE
89679M104TFPMTRIPLE FLAG PRECIOUS METAL$2.5M0.57%136,137CommonSOLE
858119100STLDSTEEL DYNAMICS INC$2.5M0.56%22,500CALLSOLE
26142V105DKNGDRAFTKINGS INC NEW$2.3M0.52%84,899CommonSOLE
124420100BYNOBYNORDIC ACQUISITION CORP$2.2M0.50%206,562CommonSOLE
023586100UHALU HAUL HOLDING COMPANY$2.1M0.48%37,762CommonSOLE
G0751N103ABYEURATLANTICA SUSTAINABLE INFR P$1.9M0.42%79,100CALLSOLE
23331A109DHID R HORTON INC$1.8M0.42%15,000CALLSOLE
55087PAB0LYFT 1.5 05/15/25LYFT INC$1.8M0.41%2,000CommonSOLE
82835W108SPRYARS PHARMACEUTICALS INC$1.8M0.41%264,400PUTSOLE
29476L107EQREQUITY RESIDENTIAL$1.7M0.39%26,000CALLSOLE
458140100INTCINTEL CORP$1.7M0.38%50,000CommonSOLE
74347Y813KOLDPROSHARES TR II$1.7M0.38%30,000PUTSOLE
70614W100PTONPELOTON INTERACTIVE INC$1.6M0.37%212,000CALLSOLE
253868103DLRDIGITAL RLTY TR INC$1.6M0.36%14,000CALLSOLE
42806J700HTZHERTZ GLOBAL HLDGS INC$1.6M0.36%86,300CALLSOLE
G46188101HZNPNHORIZON THERAPEUTICS PUB L$1.5M0.34%14,500CommonSOLE
G2263T123COLISEUM ACQUISITION CORP$1.5M0.33%139,922CommonSOLE
N20944109CNHCNH INDL N V$1.4M0.33%100,000CALLSOLE
87165B103SYFSYNCHRONY FINANCIAL$1.4M0.31%40,135CommonSOLE
023586506UHAL/BU HAUL HOLDING COMPANY$1.4M0.31%26,848CommonSOLE
981419104WRLDWORLD ACCEP CORPORATION$1.3M0.31%10,000CALLSOLE
166764100CVXCHEVRON CORP NEW$1.3M0.31%8,482CommonSOLE
64157F103NVROEURNEVRO CORP$1.3M0.30%51,000CALLSOLE
152006102CGAUCENTERRA GOLD INC$1.3M0.29%210,000CommonSOLE
526057104LENLENNAR CORP$1.3M0.29%10,000CALLSOLE
94419L101WWAYFAIR INC$1.2M0.28%19,100CALLSOLE
97717PAD6WT 3.25 06/15/26WISDOMTREE INC$1.2M0.28%1,276CommonSOLE
42237V108HEARTLAND MEDIA ACQUISITION$1.2M0.28%117,330CommonSOLE
96951B102WILLIAMS ROWLAND ACQUISITION$1.2M0.28%117,190CommonSOLE
35671D857FCXFREEPORT-MCMORAN INC$1.2M0.27%30,000CALLSOLE
29260Y1090C3ENDEAVOR GROUP HLDGS INC$1.2M0.27%50,000CommonSOLE
V7780T103RCLROYAL CARIBBEAN GROUP$1.2M0.26%11,100CommonSOLE
499103109KNIGHTSWAN ACQUISITION CORP$1.1M0.24%100,866CommonSOLE
G38258102GENERATION ASIA I ACQUISITIO$1.1M0.24%100,700CommonSOLE
36119D103FTIIFUTURETECH II ACQUISITION CO$1.0M0.23%95,403CommonSOLE
296424203ESH ACQUISITION CORP$1.0M0.23%100,000CommonSOLE
G4790U128INFLECTION PT ACQUISITN CRP$1.0M0.23%100,000CommonSOLE
11125B102BROAD CAPITAL ACQUISITION CO$1.0M0.23%94,435CommonSOLE
77311W101RKTROCKET COS INC$998,1530.23%111,401CommonSOLE
44364H100HUDSON ACQUISITION I CORP$987,6810.23%95,336CommonSOLE
671005106OPY ACQUISITION CORP I$883,4250.20%86,272CommonSOLE
G4124C109GRABGRAB HOLDINGS LIMITED$868,1950.20%253,118CommonSOLE
M6000J119HUBCZHUB CYBER SECURITY LTD$861,5240.20%2,153,811CommonSOLE
G83745102SACQFSPREE ACQUISITION CORP 1 LTD$848,6440.19%79,910CommonSOLE
73919C100POWER DIGITAL INFRASTRUCTU$820,6720.19%78,888CommonSOLE
670346105NUENUCOR CORP$819,9000.19%5,000CALLSOLE
04845A108ATLANTIC COASTAL AQSTN CORP$806,4980.18%77,399CommonSOLE
16208T102CLDTCHATHAM LODGING TR$799,3440.18%85,400CALLSOLE
87612E106TGTTARGET CORP$791,4000.18%6,000CALLSOLE
02073F104ALPHA HEALTHCARE ACQU CORP I$769,6980.18%74,728CommonSOLE
29978K102EVCOEVEREST CONSOLIDATOR ACQ COR$748,2690.17%70,260CommonSOLE
M87915274TSEMTOWER SEMICONDUCTOR LTD$716,6320.16%19,100CommonSOLE
798241105SJTSAN JUAN BASIN RTY TR$713,3990.16%96,016CommonSOLE
H42097107UBSUBS GROUP AG$709,4500.16%35,000CommonSOLE
00165C104AMC ENTMT HLDGS INC$660,0000.15%150,000PUTSOLE
88160R101TSLATESLA INC$659,1370.15%2,518CommonSOLE
94419L101WWAYFAIR INC$650,1000.15%10,000PUTSOLE
29978AAC8EVERBRIDGE INC$636,3840.15%700CommonSOLE
M6000J101HUB CYBER SECURITY LTD$619,8810.14%1,310,253CommonSOLE
G88935112TKB CRITICAL TECHNOLOGIES 1$583,3980.13%55,022CommonSOLE
00827B106AFRMAFFIRM HLDGS INC$582,5400.13%38,000CALLSOLE
35671D857FCXFREEPORT-MCMORAN INC$581,8000.13%14,545CommonSOLE
826599102SGMLSIGMA LITHIUM CORPORATION$572,2600.13%14,200PUTSOLE
09239B109BLBLACKLINE INC$538,2000.12%10,000CALLSOLE
816850101SMTCSEMTECH CORP$534,6600.12%21,000CommonSOLE
358039105FRPTFRESHPET INC$526,4800.12%8,000CALLSOLE
96145W103WESTWESTROCK COFFEE CO$509,5310.12%93,750CommonSOLE
8342EP107XPLSOLITARIO ZINC CORP$508,8480.12%884,953CommonSOLE
758075402RWTREDWOOD TRUST INC$503,6250.12%79,062CommonSOLE
502160104LXULSB INDS INC$492,5000.11%50,000CALLSOLE
683712103OPENOPENDOOR TECHNOLOGIES INC$482,4000.11%120,000PUTSOLE
61244M109MONTEREY CAP ACQUISITION COR$477,1230.11%45,601CommonSOLE
501044101KRKROGER CO$470,0000.11%10,000CALLSOLE
867892101SHOSUNSTONE HOTEL INVS INC NEW$455,4000.10%45,000CALLSOLE
71715X203PMCBPHARMACYTE BIOTECH INC$441,1040.10%154,232CommonSOLE
23312M106DA32 LIFE SCNCE TEC ACQSTN C$405,3210.09%39,505CommonSOLE
55087P104LYFTLYFT INC$402,7800.09%42,000CALLSOLE
138035100CANOPY GROWTH CORP$387,9000.09%1,000,000PUTSOLE
670346105NUENUCOR CORP$384,2050.09%2,343CommonSOLE
72016P105PLLPIEDMONT LITHIUM INC$375,1150.09%6,500PUTSOLE
83056P715SKESKEENA RES LTD NEW$372,8760.09%77,200CommonSOLE
G39714103HHL ACQUISITION CO$355,4360.08%33,948CommonSOLE
349915108FORTUNA SILVER MINES INC$340,2000.08%105,000PUTSOLE
185899101CLFCLEVELAND-CLIFFS INC NEW$335,2000.08%20,000PUTSOLE
G0888J108BATTERY FUTURE ACQUISITION C$307,5380.07%29,013CommonSOLE
042644104AOGOAROGO CAPITAL ACQUISITION CO$282,6860.06%26,856CommonSOLE
67059N108NTNXNUTANIX INC$280,5000.06%10,000CALLSOLE
03938L203MTARCELORMITTAL SA LUXEMBOURG$273,4000.06%10,000CALLSOLE
143658300CCL1EURCARNIVAL CORP$265,6160.06%14,106CommonSOLE
72016P105PLLPIEDMONT LITHIUM INC$259,6950.06%4,500CALLSOLE
912909108USX1UNITED STATES STL CORP NEW$259,2540.06%10,366CommonSOLE
54960E104LUCY SCIENTIFIC DISCOVERY IN$258,7500.06%250,000CommonSOLE
37187C100GENESIS UNICORN CAPITAL CORP$258,5050.06%24,047CommonSOLE
03748R747AIVAPARTMENT INVT MGMT CO$240,2640.05%28,200CALLSOLE
758075402RWTREDWOOD TRUST INC$238,8750.05%37,500PUTSOLE
G04058106AP ACQUISITION CORP$224,5930.05%20,873CommonSOLE
013091103ACIALBERTSONS COS INC$218,2000.05%10,000CALLSOLE
90187B804TWOTWO HBRS INVT CORP$213,3910.05%15,374CommonSOLE
023586506UHAL/BU HAUL HOLDING COMPANY$202,6800.05%4,000CALLSOLE
G9461B119GOGREEN INVESTMENTS CORP$164,3880.04%167,743CommonSOLE
G7308P101PHYTFPYROPHYTE ACQUISITION CORP$159,4840.04%14,961CommonSOLE
06690B107PNSTQBANYAN ACQUISITION CORPORATI$131,1220.03%12,620CommonSOLE
G0230C108ALSAFALPHA STAR ACQUISITION CORP$130,1810.03%12,129CommonSOLE
923372106VGASVERDE CLEAN FUELS INC$122,0620.03%75,000CommonSOLE
26205E107DTIDRILLING TOOLS INTL CORP$112,8820.03%25,950CommonSOLE
55407R111M3 BRIGADE ACQUISITION III$103,1120.02%251,493CommonSOLE
33850F116FLAME ACQUISITION CORP$89,1320.02%285,313CommonSOLE
37611X100DNA4EURGINKGO BIOWORKS HOLDINGS INC$78,1200.02%42,000CALLSOLE
758075402RWTREDWOOD TRUST INC$63,7000.01%10,000CALLSOLE
37611X100DNA4EURGINKGO BIOWORKS HOLDINGS INC$59,5200.01%32,000PUTSOLE
00438Y123ACCRETION ACQUISITION CORP$40,3900.01%371,915CommonSOLE
040450124ARISZ ACQUISITION CORP$33,3330.01%413,564CommonSOLE
G30449121ENERGEM CORP$31,6650.01%527,749CommonSOLE
00973W300AKERNA CORP$29,5750.01%48,877CommonSOLE
97655B125WINVRWINVEST ACQUISITION CORP$25,5430.01%387,015CommonSOLE
37653T116GLOBAL SYSTEMS DYNAMICS INC$23,8670.01%596,678CommonSOLE
243733110DEEP MEDICINE ACQUISITION CO$23,3210.01%166,582CommonSOLE
G49667119ISLWFISRAEL ACQUISITIONS CORP$21,8240.00%157,009CommonSOLE
35088F115FORLWFOUR LEAF ACQUISITION CORP$18,3760.00%149,761CommonSOLE
77867R118ROTH CH ACQUISITION V CO$17,1410.00%214,257CommonSOLE
M6000J127HUBCWHUB CYBER SECURITY LTD$16,1410.00%404,542CommonSOLE
67190B112OAK WOODS ACQUISITION CORP$15,4480.00%476,800CommonSOLE
G6759A134NOVA VISION ACQUISITION CORP$15,3330.00%89,252CommonSOLE
079174116BELLEVUE LIFE SCNCS AQSTN CO$15,1690.00%199,588CommonSOLE
G0283A116ATMVRALPHAVEST ACQUISITION CORP$15,1130.00%124,900CommonSOLE
50535E116PROSOMNUS INC$15,0500.00%186,956CommonSOLE
97655B117WINVWWINVEST ACQUISITION CORP$14,9200.00%569,464CommonSOLE
00438Y115ACCRETION ACQUISITION CORP$14,4250.00%330,838CommonSOLE
12520C117CF ACQUISITION CORP VIII$11,8700.00%237,396CommonSOLE
08178Q119BENFWBENEFICIENT$10,9260.00%230,012CommonSOLE
92853V114VIVEON HEALTH ACQUISITION CO$10,8270.00%541,341CommonSOLE
61240F116MONTEREY INNOVATION ACQUI CO$10,6260.00%395,000CommonSOLE
00085X113ABRI SPAC I INC$10,4800.00%327,492CommonSOLE
G41522114THE GROWTH FOR GOOD ACQU COR$10,3140.00%147,342CommonSOLE
07402Q119BEARD ENERGY TRANSITION ACQ$9,9330.00%141,900CommonSOLE
G2058L111CHAVANT CAPITAL ACQUISITN CO$9,9160.00%247,910CommonSOLE
04208V111ARMADA ACQUISITION CORP I$9,3370.00%84,270CommonSOLE
066644113BANNIX ACQUISITION CORP$9,1400.00%228,497CommonSOLE
09216A116BLACK MOUNTAIN ACQ CORP$9,0060.00%171,870CommonSOLE
G8707611610X CAP VENTURE ACQSTN CORP$8,8820.00%134,569CommonSOLE
365506112GARDINER HEALTHCARE ACQTS CO$8,7670.00%121,759CommonSOLE
81221H113SEAPORT GLOBAL ACQUISITION I$8,7420.00%102,849CommonSOLE
84921J116SPORTSMAP TECH ACQUISITIN CO$8,4460.00%241,998CommonSOLE
318136116FINTECH ECOSYSTEM DEVE$6,7920.00%275,000CommonSOLE
37892F125GLLIWGLOBALINK INVT INC$6,7430.00%337,150CommonSOLE
74168P115PRIME NO ACQUISITION I CORP$6,2340.00%138,536CommonSOLE
G83752116SPRING VALLEY ACQUISTN CORP$5,7790.00%48,159CommonSOLE
G6859L121BRLSWOXUS ACQUISITION CORP$5,3000.00%100,000CommonSOLE
34969G110FORTUNE RISE ACQUISITION COR$5,2400.00%100,000CommonSOLE
G9074V114TRISTAR ACQUISITION I CORP$4,9720.00%184,138CommonSOLE
G3R95N111ZEOWWESGEN ACQUISITION CORP$4,5980.00%65,685CommonSOLE
02369M110RMCOWAMERICAN ACQUISITION OPPT IN$4,2960.00%159,118CommonSOLE
237699111DATA KNIGHTS ACQUISITION COR$4,1780.00%234,708CommonSOLE
45784L118INSIGHT ACQUISITION CORP$3,8990.00%129,537CommonSOLE
73919C118POWER DIGITAL INFRASTRUCTU$3,4830.00%49,899CommonSOLE
61244M117MONTEREY CAP ACQUISITION COR$3,0680.00%153,397CommonSOLE
G7308P127PHYWFPYROPHYTE ACQUISITION CORP$2,8560.00%35,695CommonSOLE
G7637J123ROSE HILL ACQUISITION CORP$2,5000.00%100,000CommonSOLE
G9889X115ZAPWFZAPP ELEC VEHS GROUP LTD$2,4690.00%48,403CommonSOLE
G3167L117ENPHYS ACQUISITION CORP$2,3370.00%53,600CommonSOLE
042644112AOGOWAROGO CAPITAL ACQUISITION CO$2,3000.00%50,000CommonSOLE
G6759A118NOVA VISION ACQUISITION CORP$2,0200.00%202,000CommonSOLE
482082112JUPITER ACQUISITION CORP$1,8800.00%113,274CommonSOLE
758083117REDWOODS ACQUISITION CORP$1,7670.00%35,335CommonSOLE
459867115IMAQWINTERNATIONAL MEDIA ACQUISIT$1,7230.00%98,456CommonSOLE
02156Y111ALTITUDE ACQUISITION CORP$1,6580.00%30,141CommonSOLE
02157M116AEAEWALTENERGY ACQUISITION CORP$1,5350.00%43,845CommonSOLE
92838J111VISION SENSING ACQUISITION C$1,0500.00%33,875CommonSOLE
68218C116OLITWOMNILIT ACQUISITION CORP$9700.00%18,476CommonSOLE
G8956E117TORTOISEECOFIN ACQUISITION C$6700.00%16,625CommonSOLE
G04058114AP ACQUISITION CORP$5430.00%12,062CommonSOLE
G7134L118VEEAWPLUM ACQUISITION CORP I$5090.00%16,971CommonSOLE

Source: SEC EDGAR · raw 13F holdings as filed. The Class column shows the option type when reported (Put/Call) or Common when the issuer's equity is held directly. 13F discloses long positions only.