K2 PRINCIPAL FUND, L.P. - Q4 2016 holdings

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$1.06 Billion is the total value of K2 PRINCIPAL FUND, L.P.'s 277 reported holdings in Q4 2016. The portfolio turnover from Q3 2016 to Q4 2016 was 97.6% .

All

			Value		Shares		↓ Weighting
QQQ	Buy	POWERSHARES QQQ TRUSTput	$95,969,000	-86.6%	810,000	+13.1%	9.07%	+356.5%
QQQ	Buy	POWERSHARES QQQ TRUSTcall	$32,583,000	-35.3%	275,000	+446.3%	3.08%	+2098.6%
STJ	Buy	ST JUDE MED INC	$31,423,000	-77.5%	391,861	+180.1%	2.97%	+664.9%
ACAS	Buy	AMERICAN CAP LTD	$25,000,000	-98.1%	1,395,078	+6.9%	2.36%	-34.8%
IWM	Buy	ISHARES TRput	$24,273,000	-62.5%	180,000	+178.5%	2.29%	+1181.0%
DDC	Buy	DOMINION DIAMOND CORP	$24,261,000	-95.8%	2,506,350	+333.1%	2.29%	+42.8%
NXPI	Buy	NXP SEMICONDUCTORS N V	$20,582,000	-69.7%	210,000	+209.4%	1.94%	+934.0%
YHOO	Sell	YAHOO INC	$18,436,000	-96.4%	476,743	-8.1%	1.74%	+21.1%
GOOGL	New	ALPHABET INCcap stk cl a	$18,226,000	–	23,000	+100.0%	1.72%	–
XLF	Sell	SELECT SECTOR SPDR TRsbi int-finl	$16,219,000	-97.9%	697,600	-11.7%	1.53%	-30.1%
GOOGL	Buy	ALPHABET INCcall	$16,087,000	+27.4%	20,300	+60.8%	1.52%	+4242.9%
GOOGL	Buy	ALPHABET INCput	$15,057,000	+734.6%	19,000	+953.2%	1.42%	+28340.0%
TLT	Sell	ISHARES TRput	$14,892,000	-93.1%	125,000	-42.2%	1.41%	+134.5%
IOC	New	INTEROIL CORP	$14,559,000	–	305,993	+100.0%	1.38%	–
WCN	Sell	WASTE CONNECTIONS INC	$13,625,000	-92.3%	173,364	-2.0%	1.29%	+162.1%
SMH	Sell	VANECK VECTORS ETF TRput	$13,612,000	-96.5%	190,000	-51.7%	1.29%	+18.0%
CY	Buy	CYPRESS SEMICONDUCTOR CORP	$13,156,000	-98.5%	1,150,000	+29.8%	1.24%	-49.4%
TXN	Buy	TEXAS INSTRS INCput	$13,135,000	-18.2%	180,000	+1021.3%	1.24%	+2657.8%
GM	New	GENERAL MTRS COput	$12,542,000	–	360,000	+100.0%	1.18%	–
SHOR	Sell	SHORETEL INC	$11,961,000	-99.3%	1,672,909	-0.8%	1.13%	-75.8%
MYL	Buy	MYLAN N Vcall	$11,952,000	-53.9%	313,300	+1107.2%	1.13%	+1468.1%
WWAV	Buy	WHITEWAVE FOODS CO	$11,836,000	-94.3%	212,881	+2.8%	1.12%	+94.4%
	Buy	B2GOLD CORPnote 3.25010/0	$11,673,000	+5.6%	11,500	+4.0%	1.10%	+3458.1%
	New	BROCADE COMMUNICATIONS SYS Inote 1.375 1/0	$10,601,000	–	10,533	+100.0%	1.00%	–
BASX	New	BASIC ENERGY SVCS INC NEW	$10,359,000	–	293,033	+100.0%	0.98%	–
WFC	New	WELLS FARGO AND CO NEWput	$10,196,000	–	185,000	+100.0%	0.96%	–
NCR	New	NCR CORP NEWput	$9,942,000	–	245,100	+100.0%	0.94%	–
TRP	New	TRANSCANADA CORPput	$9,721,000	–	215,300	+100.0%	0.92%	–
LPX	Buy	LOUISIANA PAC CORP	$9,708,000	-97.6%	512,828	+24.9%	0.92%	-19.5%
SPY	Buy	SPDR SANDP 500 ETF TRput	$9,388,000	-69.1%	42,000	+38.1%	0.89%	+956.0%
TWX	New	TIME WARNER INC	$9,176,000	–	95,054	+100.0%	0.87%	–
HRMN	Sell	HARMONY MERGER CORP	$9,108,000	-99.0%	900,000	-1.0%	0.86%	-65.9%
TLT	Buy	ISHARES TRcall	$8,935,000	-75.1%	75,000	+109.3%	0.84%	+752.5%
WFC	Buy	WELLS FARGO AND CO NEW	$8,818,000	-91.6%	160,000	+53.2%	0.83%	+187.2%
NFLX	Buy	NETFLIX INCput	$8,666,000	-47.4%	70,000	+324.8%	0.82%	+1680.4%
C	Buy	CITIGROUP INCcall	$8,320,000	-85.6%	140,000	+143.1%	0.79%	+391.2%
NUGT	Buy	DIREXION SHS ETF TRput	$8,306,000	-98.5%	1,087,000	+96.4%	0.78%	-48.9%
BMY	Sell	BRISTOL MYERS SQUIBB CO	$8,163,000	-95.1%	139,690	-16.2%	0.77%	+66.5%
MSFT	Buy	MICROSOFT CORP	$7,387,000	-87.7%	118,881	+98.7%	0.70%	+320.5%
POT	Sell	POTASH CORP SASK INCcall	$7,390,000	-98.7%	408,500	-26.0%	0.70%	-54.4%
MYL	Buy	MYLAN N Vput	$7,249,000	-94.2%	190,000	+52.6%	0.68%	+98.6%
MXIM	Buy	MAXIM INTEGRATED PRODS INC	$7,151,000	-95.7%	185,414	+11.4%	0.68%	+46.3%
T	New	ATANDT INCput	$7,017,000	–	165,000	+100.0%	0.66%	–
KLAC	Sell	KLA-TENCOR CORP	$6,828,000	-97.1%	86,782	-63.1%	0.64%	-1.2%
XLU	Sell	SELECT SECTOR SPDR TRput	$6,800,000	-96.2%	140,000	-21.5%	0.64%	+29.7%
C	Buy	CITIGROUP INC	$6,537,000	-89.6%	110,000	+75.1%	0.62%	+255.2%
NYRT	Sell	NEW YORK REIT INC	$6,536,000	-99.6%	645,837	-57.1%	0.62%	-85.2%
HRMNU	Sell	HARMONY MERGER CORPunit 99/99/9999	$6,180,000	-99.0%	600,000	-1.0%	0.58%	-65.3%
CDEV	New	CENTENNIAL RESOURCE DEV INCcl a	$6,170,000	–	404,837	+100.0%	0.58%	–
RSG	Buy	REPUBLIC SVCS INCput	$6,133,000	-55.4%	107,500	+681.2%	0.58%	+1423.7%
SLG	Sell	SL GREEN RLTY CORPput	$6,066,000	-93.2%	56,400	-36.4%	0.57%	+132.9%
RAD	Buy	RITE AID CORP	$5,996,000	-71.3%	727,703	+3389.2%	0.57%	+875.9%
KLRE	Buy	KLR ENERGY ACQUISITION CORPcl a	$5,960,000	-98.8%	1,006,742	+98.9%	0.56%	-59.9%
HACK	New	ETF MANAGERS TRput	$5,949,000	–	225,000	+100.0%	0.56%	–
RIO	Buy	RIO TINTO PLCput	$5,865,000	-71.6%	152,500	+637.9%	0.55%	+871.9%
AWHHF	New	ALLIED WRLD ASSUR COM HLDG A	$5,818,000	–	108,325	+100.0%	0.55%	–
PHM	Buy	PULTE GROUP INCcall	$5,661,000	-77.8%	308,000	+1107.8%	0.54%	+653.5%
PHM	Buy	PULTE GROUP INC	$5,551,000	-94.8%	302,035	+184.3%	0.52%	+77.6%
ADS	Buy	ALLIANCE DATA SYSTEMS CORP	$5,484,000	+70.4%	24,000	+60.0%	0.52%	+5655.6%
TRP	New	TRANSCANADA CORP	$5,445,000	–	120,600	+100.0%	0.51%	–
FXI	Buy	ISHARES TRput	$5,380,000	-67.6%	155,000	+833.3%	0.51%	+1004.3%
AXL	New	AMERICAN AXLE AND MFG HLDGS INput	$5,328,000	–	276,000	+100.0%	0.50%	–
AGU	Buy	AGRIUM INC	$5,023,000	+23.9%	49,958	+11.8%	0.48%	+4218.2%
TSLA	Buy	TESLA MTRS INCput	$5,022,000	+108.6%	23,500	+875.9%	0.47%	+6671.4%
SCACU	Sell	SABAN CAP ACQUISITION CORPunit 99/99/9999	$4,680,000	-99.0%	450,000	-1.0%	0.44%	-64.9%
PANW	Buy	PALO ALTO NETWORKS INC	$4,589,000	-84.2%	36,700	+26.6%	0.43%	+442.5%
XLF	Sell	SELECT SECTOR SPDR TRcall	$4,420,000	-99.1%	190,100	-61.9%	0.42%	-69.8%
	Sell	AEGERION PHARMACEUTICALS INCnote 2.000 8/1	$4,350,000	-47.7%	6,000	-27.9%	0.41%	+1687.0%
BWA	Buy	BORGWARNER INCput	$4,102,000	+35.6%	104,000	+20.9%	0.39%	+4737.5%
MACQU	Sell	M I ACQUISITIONS INCunit 99/99/9999	$4,064,000	-99.0%	400,000	-1.0%	0.38%	-65.7%
CFCO	Sell	CF CORP	$3,968,000	-99.0%	400,000	-1.0%	0.38%	-66.5%
GTYHU	New	GTY TECHNOLOGY HOLDINGS INCunit 99/99/9999	$3,961,000	–	377,260	+100.0%	0.37%	–
EGAS	Buy	GAS NAT INC	$3,909,000	-97.1%	311,459	+128.0%	0.37%	-2.6%
CF	New	CF INDS HLDGS INCput	$3,702,000	–	117,600	+100.0%	0.35%	–
TMH	New	TEAM HEALTH HOLDINGS INC	$3,679,000	–	84,663	+100.0%	0.35%	–
DBD	Buy	DIEBOLD NXDF INCcall	$3,647,000	-97.5%	145,000	+1.1%	0.34%	-13.3%
WM	Buy	WASTE MGMT INC DELput	$3,616,000	-75.7%	51,000	+242.4%	0.34%	+734.1%
DVMT	Sell	DELL TECHNOLOGIES INC	$3,610,000	-94.8%	65,678	-5.9%	0.34%	+75.8%
CAH	New	CARDINAL HEALTH INCcall	$3,599,000	–	50,000	+100.0%	0.34%	–
NLSN	New	NIELSEN HLDGS PLCcall	$3,566,000	–	85,000	+100.0%	0.34%	–
AHPAU	New	AVISTA HEALTHCARE PUB ACQ COunit 99/99/9999	$3,544,000	–	350,000	+100.0%	0.34%	–
DLTR	Buy	DOLLAR TREE INCcall	$3,550,000	-89.0%	460,000	+1321.2%	0.34%	+272.2%
PRGO	New	PERRIGO CO PLC	$3,452,000	–	41,479	+100.0%	0.33%	–
F	New	FORD MTR CO DELput	$3,413,000	–	281,300	+100.0%	0.32%	–
ELEC	Sell	ELECTRUM SPL ACQUISITION COR	$3,393,000	-99.0%	342,697	-1.0%	0.32%	-66.6%
TNA	Sell	DIREXION SHS ETF TRput	$3,338,000	-95.1%	33,000	-51.2%	0.32%	+67.6%
SLW	New	SILVER WHEATON CORPcall	$3,290,000	–	170,300	+100.0%	0.31%	–
C	Sell	CITIGROUP INCput	$3,269,000	-96.9%	55,000	-47.5%	0.31%	+6.2%
DKS	New	DICKS SPORTING GOODS INCcall	$3,037,000	–	57,200	+100.0%	0.29%	–
EAGL	Sell	DOUBLE EAGLE ACQUISITION COR	$3,024,000	-99.0%	305,451	-1.0%	0.29%	-66.6%
SLV	New	ISHARES SILVER TRUSTput	$3,030,000	–	200,500	+100.0%	0.29%	–
LUMN	New	CENTURYLINK INC	$2,992,000	–	125,800	+100.0%	0.28%	–
XBI	New	SPDR SERIES TRUSTput	$2,960,000	–	50,000	+100.0%	0.28%	–
GPIA	Sell	GP INVTS ACQUISITION COR	$2,957,000	-99.0%	298,700	-1.0%	0.28%	-66.7%
NSR	New	NEUSTAR INCcl a	$2,929,000	–	87,680	+100.0%	0.28%	–
NLSN	New	NIELSEN HLDGS PLC	$2,937,000	–	70,000	+100.0%	0.28%	–
SHLDQ	Sell	SEARS HLDGS CORPput	$2,830,000	-99.1%	304,600	-1.1%	0.27%	-68.8%
BLK	Sell	BLACKROCK INC	$2,727,000	-71.3%	7,167	-24.5%	0.26%	+892.3%
BMY	New	BRISTOL MYERS SQUIBB COput	$2,629,000	–	45,000	+100.0%	0.25%	–
LCA	New	LANDCADIA HLDGS INCcl a	$2,613,000	–	500,000	+100.0%	0.25%	–
	New	STILLWATER MNG COnote 1.75010/1	$2,541,000	–	2,000	+100.0%	0.24%	–
VAL	Sell	VALSPAR CORP	$2,512,000	-98.4%	24,245	-84.2%	0.24%	-44.4%
FMSA	New	FAIRMOUNT SANTROL HLDGS INC	$2,486,000	–	210,827	+100.0%	0.24%	–
MPG	New	METALDYNE PERFORMANCE GROUP	$2,449,000	–	106,714	+100.0%	0.23%	–
CAH	New	CARDINAL HEALTH INC	$2,368,000	–	32,900	+100.0%	0.22%	–
FB	New	FACEBOOK INCcall	$2,301,000	–	20,000	+100.0%	0.22%	–
NVLNF	New	NOVELION THERAPEUTICS INC	$2,270,000	–	269,536	+100.0%	0.21%	–
CLC	New	CLARCOR INC	$2,214,000	–	26,850	+100.0%	0.21%	–
RRGB	New	RED ROBIN GOURMET BURGERS INcall	$2,143,000	–	38,000	+100.0%	0.20%	–
INFO	Sell	IHS MARKIT LTD	$2,131,000	-96.6%	60,176	-3.6%	0.20%	+16.2%
CHKP	Sell	CHECK POINT SOFTWARE TECH LTcall	$2,112,000	-92.2%	25,000	-7.2%	0.20%	+166.7%
QPAC	Buy	QUINPARIO ACQUISITION CORP 2	$2,099,000	-99.0%	406,957	+94.7%	0.20%	-65.9%
AGN	Sell	ALLERGAN PLCcall	$2,100,000	-93.2%	10,000	-67.5%	0.20%	+132.9%
DUST	Buy	DIREXION SHS ETF TRput	$2,081,000	-95.0%	43,000	+3.0%	0.20%	+69.8%
VWO	New	VANGUARD INTL EQUITY INDEX Fftse emr mkt etf	$2,090,000	–	58,400	+100.0%	0.20%	–
VWO	New	VANGUARD INTL EQUITY INDEX Fput	$1,932,000	–	54,000	+100.0%	0.18%	–
MXIM	Sell	MAXIM INTEGRATED PRODS INCcall	$1,928,000	-96.9%	50,000	-19.9%	0.18%	+5.2%
MX	Buy	MAGNACHIP SEMICONDUCTOR CORP	$1,911,000	-98.3%	308,280	+173.4%	0.18%	-42.2%
	Sell	HORIZON PHARMA INVT LTDnote 2.500 3/1	$1,906,000	-51.0%	2,000	-48.5%	0.18%	+1536.4%
RRC	New	RANGE RES CORP	$1,890,000	–	55,000	+100.0%	0.18%	–
LPX	Buy	LOUISIANA PAC CORPput	$1,893,000	-97.1%	100,000	+51.0%	0.18%	-2.7%
EWW	New	ISHARESput	$1,847,000	–	42,000	+100.0%	0.17%	–
SLG	New	SL GREEN RLTY CORPcall	$1,829,000	–	17,000	+100.0%	0.17%	–
OIBRC	Sell	OI S Asponsored adr ne	$1,835,000	-99.6%	462,285	-10.9%	0.17%	-88.0%
CDE	Sell	COEUR MNG INCcall	$1,808,000	-99.1%	199,000	-1.2%	0.17%	-69.4%
MIII	New	M III ACQUISITION CORP	$1,793,000	–	359,000	+100.0%	0.17%	–
TQQQ	Sell	PROSHARES TRput	$1,781,000	-96.1%	14,000	-69.5%	0.17%	+32.3%
PANW	New	PALO ALTO NETWORKS INCput	$1,751,000	–	14,000	+100.0%	0.16%	–
FB	New	FACEBOOK INCcl a	$1,726,000	–	15,000	+100.0%	0.16%	–
ISLE	New	ISLE OF CAPRI CASINOS INC	$1,728,000	–	70,000	+100.0%	0.16%	–
CPAA	New	CONYERS PK ACQUISITION	$1,635,000	–	200,000	+100.0%	0.15%	–
V	Buy	VISA INC	$1,615,000	-40.3%	20,700	+664.7%	0.15%	+1812.5%
NVDA	New	NVIDIA CORPput	$1,601,000	–	15,000	+100.0%	0.15%	–
BASX	New	BASIC ENERGY SVCS INC NEWput	$1,573,000	–	44,500	+100.0%	0.15%	–
DHI	New	D R HORTON INCput	$1,563,000	–	57,200	+100.0%	0.15%	–
PCH	New	POTLATCH CORP NEW	$1,560,000	–	37,463	+100.0%	0.15%	–
VMW	New	VMWARE INC	$1,532,000	–	19,460	+100.0%	0.14%	–
SWN	New	SOUTHWESTERN ENERGY CO	$1,515,000	–	140,000	+100.0%	0.14%	–
ARCC	New	ARES CAP CORPput	$1,475,000	–	89,500	+100.0%	0.14%	–
LLY	New	LILLY ELI AND CO	$1,471,000	–	20,000	+100.0%	0.14%	–
BMY	Sell	BRISTOL MYERS SQUIBB COcall	$1,461,000	-99.0%	25,000	-82.4%	0.14%	-65.0%
HRL	New	HORMEL FOODS CORP	$1,392,000	–	40,000	+100.0%	0.13%	–
EMD	Buy	WESTERN ASSET EMRG MKT DEBT	$1,319,000	-96.2%	89,663	+158.4%	0.12%	+30.2%
PANW	Buy	PALO ALTO NETWORKS INCcall	$1,250,000	-78.4%	10,000	+72.5%	0.12%	+637.5%
GIS	Sell	GENERAL MLS INCcall	$1,236,000	-99.1%	20,000	-85.6%	0.12%	-69.7%
PEGI	New	PATTERN ENERGY GROUP INCcl a	$1,236,000	–	65,094	+100.0%	0.12%	–
PANL	Sell	PANGAEA LOGISTICS SOLUTION L	$1,235,000	-99.7%	363,129	-21.3%	0.12%	-90.9%
RIO	Buy	RIO TINTO PLCcall	$1,154,000	-94.4%	30,000	+45.2%	0.11%	+91.2%
BGCP	Sell	BGC PARTNERS INCcl a	$1,158,000	-99.7%	113,219	-74.2%	0.11%	-91.1%
HCAC	Sell	HENNESSY CAP ACQUISITION COR	$1,140,000	-99.0%	113,172	-1.0%	0.11%	-65.9%
ADS	Sell	ALLIANCE DATA SYSTEMS CORPcall	$1,143,000	-82.2%	5,000	-83.3%	0.11%	+500.0%
CY	New	CYPRESS SEMICONDUCTOR CORPput	$1,144,000	–	100,000	+100.0%	0.11%	–
ABUS	Buy	ARBUTUS BIOPHARMA CORP	$1,088,000	-99.0%	443,887	+311.0%	0.10%	-65.7%
CSX	New	CSX CORPput	$1,078,000	–	30,000	+100.0%	0.10%	–
GSTCQ	New	GASTAR EXPL INC NEW	$1,085,000	–	700,000	+100.0%	0.10%	–
SYT	New	SYNGENTA AGsponsored adr	$1,075,000	–	13,600	+100.0%	0.10%	–
PAAC	Sell	PACIFIC SPL ACQUISITION CORP	$1,052,000	-99.0%	102,680	-0.7%	0.10%	-65.5%
PACE	Buy	PACE HLDGS CORPcl a	$1,027,000	-99.0%	101,500	+1.5%	0.10%	-65.0%
MORN	New	MORNINGSTAR INCcall	$1,022,000	–	13,900	+100.0%	0.10%	–
NVDA	New	NVIDIA CORP	$1,025,000	–	9,600	+100.0%	0.10%	–
NKE	New	NIKE INCcl b	$1,012,000	–	19,900	+100.0%	0.10%	–
HZNP	New	HORIZON PHARMA PLCcall	$1,003,000	–	62,000	+100.0%	0.10%	–
POT	New	POTASH CORP SASK INC	$1,008,000	–	55,729	+100.0%	0.10%	–
MSI	New	MOTOROLA SOLUTIONS INCcall	$995,000	–	12,000	+100.0%	0.09%	–
CAB	New	CABELAS INC	$993,000	–	16,958	+100.0%	0.09%	–
LPX	Sell	LOUISIANA PAC CORPcall	$947,000	-99.5%	50,000	-76.0%	0.09%	-84.6%
CBOE	Buy	CBOE HLDGS INC	$946,000	-84.4%	12,804	+111.7%	0.09%	+423.5%
AMTD	New	TD AMERITRADE HLDG CORPcall	$916,000	–	21,000	+100.0%	0.09%	–
RRGB	Sell	RED ROBIN GOURMET BURGERS IN	$917,000	-99.1%	16,252	-84.7%	0.09%	-70.6%
CELG	New	CELGENE CORP	$903,000	–	7,800	+100.0%	0.08%	–
JPM	Sell	JPMORGAN CHASE AND CO	$877,000	-93.2%	10,167	-21.7%	0.08%	+130.6%
YRCW	New	YRC WORLDWIDE INCput	$876,000	–	66,000	+100.0%	0.08%	–
IGT	New	INTERNATIONAL GAME TECHNOLOGput	$875,000	–	34,300	+100.0%	0.08%	–
BLL	Sell	BALL CORPcall	$878,000	-36.2%	11,700	-30.4%	0.08%	+1975.0%
3106PS	New	DELPHI AUTOMOTIVE PLCcall	$875,000	–	13,000	+100.0%	0.08%	–
AXTA	Buy	AXALTA COATING SYS LTD	$873,000	-91.5%	32,103	+212.2%	0.08%	+182.8%
QSR	Buy	RESTAURANT BRANDS INTL INCcall	$858,000	-94.5%	18,000	+14.9%	0.08%	+88.4%
LUMN	New	CENTURYLINK INCcall	$832,000	–	35,000	+100.0%	0.08%	–
BWA	New	BORGWARNER INCcall	$820,000	–	20,800	+100.0%	0.08%	–
HLT	New	HILTON WORLDWIDE HLDGS INCwhen issued	$783,000	–	28,800	+100.0%	0.07%	–
BRKB	Sell	BERKSHIRE HATHAWAY INC DELcl b new	$772,000	-13.0%	4,738	-22.8%	0.07%	+3550.0%
RPXC	Sell	RPX CORP	$747,000	-99.3%	69,152	-34.1%	0.07%	-75.6%
LVLT	New	LEVEL 3 COMMUNICATIONS INC	$753,000	–	13,358	+100.0%	0.07%	–
ESRX	New	EXPRESS SCRIPTS HLDG CO	$735,000	–	10,679	+100.0%	0.07%	–
WCIC	New	WCI CMNTYS INC	$715,000	–	30,500	+100.0%	0.07%	–
MRK	New	MERCK AND CO INC	$706,000	–	12,000	+100.0%	0.07%	–
ESRX	Sell	EXPRESS SCRIPTS HLDG COcall	$702,000	-98.4%	10,200	-77.4%	0.07%	-47.2%
PAY	Sell	VERIFONE SYS INCcall	$679,000	-99.6%	38,300	-79.6%	0.06%	-87.7%
BIIB	New	BIOGEN INC	$681,000	–	2,400	+100.0%	0.06%	–
MEG	Buy	MEDIA GEN INC NEW	$648,000	-93.6%	34,400	+237.8%	0.06%	+117.9%
FCH	Sell	FELCOR LODGING TR INC	$626,000	-99.4%	78,119	-19.1%	0.06%	-78.0%
CAKE	New	CHEESECAKE FACTORY INCput	$629,000	–	10,500	+100.0%	0.06%	–
PSX	Sell	PHILLIPS 66	$605,000	-92.0%	7,000	-7.5%	0.06%	+171.4%
LKQ	New	LKQ CORPput	$588,000	–	19,200	+100.0%	0.06%	–
SPLS	Sell	STAPLES INCcall	$597,000	-99.1%	66,000	-0.8%	0.06%	-69.7%
PYPL	Sell	PAYPAL HLDGS INC	$592,000	-99.1%	15,000	-76.0%	0.06%	-67.6%
BID	New	SOTHEBYSput	$558,000	–	14,000	+100.0%	0.05%	–
MSFT	New	MICROSOFT CORPput	$560,000	–	9,000	+100.0%	0.05%	–
DLTR	Sell	DOLLAR TREE INC	$541,000	-96.2%	7,016	-51.3%	0.05%	+27.5%
PFE	New	PFIZER INC	$526,000	–	16,200	+100.0%	0.05%	–
WCN	Sell	WASTE CONNECTIONS INCput	$511,000	-94.7%	6,500	-32.8%	0.05%	+77.8%
CDEV	New	CENTENNIAL RESOURCE DEV INCput	$493,000	–	25,000	+100.0%	0.05%	–
OIH	New	VANECK VECTORS ETF TRput	$500,000	–	15,000	+100.0%	0.05%	–
WM	Sell	WASTE MGMT INC DELcall	$496,000	-96.7%	7,000	-53.0%	0.05%	+14.6%
EC	New	ECOPETROL S Aput	$480,000	–	53,000	+100.0%	0.04%	–
TRIP	Sell	TRIPADVISOR INCcall	$464,000	-97.6%	10,000	-47.7%	0.04%	-17.0%
XENE	Buy	XENON PHARMACEUTICALS INC	$441,000	-97.1%	57,228	+278.4%	0.04%	0.0%
ARLZ	Buy	ARALEZ PHARMACEUTICALS INC	$435,000	-97.7%	98,578	+429.3%	0.04%	-21.2%
KNX	New	KNIGHT TRANSN INCput	$430,000	–	13,000	+100.0%	0.04%	–
SLW	New	SILVER WHEATON CORP	$431,000	–	22,292	+100.0%	0.04%	–
AUPH	New	AURINIA PHARMACEUTICALS INC	$423,000	–	201,522	+100.0%	0.04%	–
FOR	Sell	FORESTAR GROUP INC	$415,000	-99.4%	31,170	-58.4%	0.04%	-81.2%
ANDA	Sell	ANDINA ACQUISITION CORP II	$416,000	-99.0%	41,901	-1.0%	0.04%	-66.7%
DKS	New	DICKS SPORTING GOODS INC	$398,000	–	7,500	+100.0%	0.04%	–
NXPI	Sell	NXP SEMICONDUCTORS N Vput	$392,000	-99.1%	4,000	-90.9%	0.04%	-69.7%
WCN	Sell	WASTE CONNECTIONS INCcall	$393,000	-98.9%	5,000	-86.3%	0.04%	-63.4%
AXAS	New	ABRAXAS PETE CORP	$386,000	–	150,000	+100.0%	0.04%	–
PEGI	New	PATTERN ENERGY GROUP INCput	$380,000	–	20,000	+100.0%	0.04%	–
WNR	New	WESTERN REFNG INC	$379,000	–	10,000	+100.0%	0.04%	–
KEYPRG	Buy	KEYCORP NEWpfd 7.75 sr a	$368,000	-80.3%	2,726	+45.7%	0.04%	+600.0%
ENB	New	ENBRIDGE INC	$356,000	–	8,448	+100.0%	0.03%	–
MON	Sell	MONSANTO CO NEW	$358,000	-97.8%	3,400	-78.7%	0.03%	-22.7%
INFO	New	IHS MARKIT LTDput	$354,000	–	10,000	+100.0%	0.03%	–
INFO	New	IHS MARKIT LTDcall	$354,000	–	10,000	+100.0%	0.03%	–
BASX	New	BASIC ENERGY SVCS INC NEWcall	$354,000	–	10,000	+100.0%	0.03%	–
BYD	New	BOYD GAMING CORP	$329,000	–	16,300	+100.0%	0.03%	–
NILE	New	BLUE NILE INC	$328,000	–	8,065	+100.0%	0.03%	–
XLRE	Sell	SELECT SECTOR SPDR TRrl est sel sec	$333,000	-98.4%	10,825	-49.6%	0.03%	-48.3%
APOL	New	APOLLO ED GROUP INCcl a	$316,000	–	31,882	+100.0%	0.03%	–
SLG	Sell	SL GREEN RLTY CORP	$313,000	-96.0%	2,908	-62.5%	0.03%	+36.4%
STLR	New	STELLAR ACQUISITION III INC	$320,000	–	32,000	+100.0%	0.03%	–
GIS	New	GENERAL MLS INC	$318,000	–	5,146	+100.0%	0.03%	–
TWNK	New	HOSTESS BRANDS INCcl a	$315,000	–	180,000	+100.0%	0.03%	–
HRMNW	Sell	HARMONY MERGER CORPw exp 01/01/202	$311,000	-100.0%	890,270	-1.1%	0.03%	-98.8%
GCI	Buy	GANNETT CO INC	$283,000	-98.9%	29,186	+15.4%	0.03%	-61.4%
KHC	New	KRAFT HEINZ CO	$289,000	–	3,306	+100.0%	0.03%	–
FB	New	FACEBOOK INCput	$288,000	–	2,500	+100.0%	0.03%	–
TKF	New	TURKISH INVT FD INC	$285,000	–	42,014	+100.0%	0.03%	–
AAN	New	AARONS INCput	$288,000	–	9,000	+100.0%	0.03%	–
AAN	Sell	AARONS INC	$288,000	-84.5%	9,000	-87.7%	0.03%	+440.0%
QUAD	New	QUAD / GRAPHICS INCcall	$277,000	–	10,300	+100.0%	0.03%	–
BCS	New	BARCLAYS PLCcall	$275,000	–	25,000	+100.0%	0.03%	–
PEGI	New	PATTERN ENERGY GROUP INCcall	$273,000	–	14,400	+100.0%	0.03%	–
PFE	Sell	PFIZER INCcall	$260,000	-99.4%	8,000	-82.0%	0.02%	-79.7%
3106PS	Sell	DELPHI AUTOMOTIVE PLCput	$269,000	-97.2%	4,000	-58.5%	0.02%	-7.4%
IAG	New	IAMGOLD CORP	$263,000	–	68,346	+100.0%	0.02%	–
DEPO	New	DEPOMED INC	$261,000	–	14,500	+100.0%	0.02%	–
IGT	New	INTERNATIONAL GAME TECHNOLOG	$255,000	–	10,000	+100.0%	0.02%	–
GK	New	G AND K SVCS INCcl a	$246,000	–	2,554	+100.0%	0.02%	–
NUGT	New	DIREXION SHS ETF TRcall	$245,000	–	32,100	+100.0%	0.02%	–
CFCOW	Sell	CF CORPw exp 05/25/202	$248,000	-99.9%	200,000	-0.1%	0.02%	-95.9%
RNG	Buy	RINGCENTRAL INCput	$229,000	-97.8%	11,100	+8.4%	0.02%	-21.4%
BLL	Sell	BALL CORP	$233,000	-43.2%	3,100	-38.0%	0.02%	+2100.0%
CFCOU	Sell	CF CORPunit 99/99/9999e	$220,000	-99.0%	21,000	-1.0%	0.02%	-64.4%
ILF	New	ISHARES TRput	$207,000	–	7,500	+100.0%	0.02%	–
GES	New	GUESS INC	$198,000	–	16,400	+100.0%	0.02%	–
AXL	New	AMERICAN AXLE AND MFG HLDGS IN	$193,000	–	10,000	+100.0%	0.02%	–
CDE	Sell	COEUR MNG INCput	$182,000	-99.1%	20,000	-3.1%	0.02%	-70.2%
NXEO	New	NEXEO SOLUTIONS INC	$174,000	–	248,817	+100.0%	0.02%	–
HL	New	HECLA MNG COput	$170,000	–	32,400	+100.0%	0.02%	–
HRG	New	HRG GROUP INC	$156,000	–	10,000	+100.0%	0.02%	–
BGCP	New	BGC PARTNERS INCcall	$143,000	–	14,000	+100.0%	0.01%	–
EAGLW	Sell	DOUBLE EAGLE ACQUISITION CORw exp 09/16/202	$139,000	-100.0%	294,917	-0.0%	0.01%	-98.4%
SAND	Sell	SANDSTORM GOLD LTDput	$129,000	-99.9%	33,000	-74.5%	0.01%	-96.7%
DDC	Sell	DOMINION DIAMOND CORPcall	$123,000	-99.0%	12,700	-1.0%	0.01%	-66.7%
CLS	New	CELESTICA INC	$119,000	–	10,000	+100.0%	0.01%	–
LIOX	New	LIONBRIDGE TECHNOLOGIES INC	$121,000	–	20,800	+100.0%	0.01%	–
ELNK	New	EARTHLINK HLDGS CORP	$102,000	–	18,000	+100.0%	0.01%	–
	New	TRILLIUM THERAPEUTICS INC	$92,000	–	16,239	+100.0%	0.01%	–
VG	New	VONAGE HLDGS CORP	$90,000	–	13,098	+100.0%	0.01%	–
IAG	Sell	IAMGOLD CORPput	$85,000	-99.6%	22,000	-0.4%	0.01%	-86.9%
PACEW	Buy	PACE HLDGS CORPw exp 99/99/999	$80,000	-99.9%	134,000	+35.3%	0.01%	-97.1%
ELECW	Sell	ELECTRUM SPL ACQUISITION CORw exp 99/99/999	$88,000	-100.0%	315,000	-0.0%	0.01%	-99.1%
ODP	Sell	OFFICE DEPOT INC	$83,000	-100.0%	18,443	-91.9%	0.01%	-98.7%
GPIAW	Sell	GP INVTS ACQUISITION CORw exp 05/19/202	$54,000	-100.0%	120,250	-18.2%	0.01%	-98.8%
WPRT	New	WESTPORT FUEL SYSTEMS INC	$53,000	–	46,679	+100.0%	0.01%	–
STLRW	New	STELLAR ACQUISITION III INCw exp 03/22/202	$6,000	–	32,000	+100.0%	0.00%	–
BOBE	Exit	BOB EVANS FARMS INC	$0	–	-5,800	-100.0%	-0.00%	–
BLL	Exit	BALL CORPput	$0	–	-6,000	-100.0%	-0.00%	–
BWA	Exit	BORGWARNER INC	$0	–	-8,504	-100.0%	-0.00%	–
UHAL	Exit	AMERCO	$0	–	-1,616	-100.0%	-0.00%	–
BAC	Exit	BANK AMER CORPcall	$0	–	-69,000	-100.0%	-0.00%	–
	Exit	AMERCO	$0	–	-524	-100.0%	-0.00%	–
MORN	Exit	MORNINGSTAR INC	$0	–	-3,048	-100.0%	-0.01%	–
	Exit	INCONTACT INCnote 2.500 4/0	$0	–	-4,403	-100.0%	-0.01%	–
GILD	Exit	GILEAD SCIENCES INCput	$0	–	-4,856	-100.0%	-0.01%	–
HSY	Exit	HERSHEY CO	$0	–	-4,658	-100.0%	-0.01%	–
MGA	Exit	MAGNA INTL INCcall	$0	–	-5,215	-100.0%	-0.01%	–
	Exit	BALL CORP	$0	–	-410	-100.0%	-0.01%	–
TQQQ	Exit	PROSHARES TRcall	$0	–	-5,079	-100.0%	-0.01%	–
GILD	Exit	GILEAD SCIENCES INCcall	$0	–	-5,396	-100.0%	-0.02%	–
BSFT	Exit	BROADSOFT INCput	$0	–	-5,233	-100.0%	-0.02%	–
GIB	Exit	GROUPE CGI INCcall	$0	–	-5,238	-100.0%	-0.02%	–
FXI	Exit	ISHARES TRchina lg-cap etf	$0	–	-5,710	-100.0%	-0.02%	–
	Exit	BOB EVANS FARMS INC	$0	–	-222	-100.0%	-0.02%	–
	Exit	BALL CORPput	$0	–	-492	-100.0%	-0.02%	–
	Exit	BERKSHIRE HATHAWAY INC DELcl b new	$0	–	-887	-100.0%	-0.02%	–
CAKE	Exit	CHEESECAKE FACTORY INC	$0	–	-6,300	-100.0%	-0.02%	–
IBB	Exit	ISHARES TRcall	$0	–	-6,447	-100.0%	-0.02%	–
JPM	Exit	JPMORGAN CHASE & COput	$0	–	-6,400	-100.0%	-0.02%	–
TNA	Exit	DIREXION SHS ETF TRcall	$0	–	-6,479	-100.0%	-0.02%	–
TLT	Exit	ISHARES TR20 yr tr bd etf	$0	–	-7,352	-100.0%	-0.02%	–
N	Exit	NETSUITE INCput	$0	–	-7,219	-100.0%	-0.02%	–
JCOM	Exit	J2 GLOBAL INCput	$0	–	-7,466	-100.0%	-0.02%	–
STJ	Exit	ST JUDE MED INCput	$0	–	-7,558	-100.0%	-0.02%	–
	Exit	LINKEDIN CORPnote 0.50011/0	$0	–	-7,763	-100.0%	-0.02%	–
	Exit	BORGWARNER INC	$0	–	-299	-100.0%	-0.02%	–
CHKP	Exit	CHECK POINT SOFTWARE TECH LTord	$0	–	-9,160	-100.0%	-0.02%	–
AVGTF	Exit	AVG TECHNOLOGIES N V	$0	–	-9,638	-100.0%	-0.03%	–
GRSH	Exit	GORES HLDGS INCcl a	$0	–	-10,108	-100.0%	-0.03%	–
BAS	Exit	BASIC ENERGY SVCS INC NEWcall	$0	–	-10,008	-100.0%	-0.03%	–
MOS	Exit	MOSAIC CO NEW	$0	–	-10,245	-100.0%	-0.03%	–
RPTP	Exit	RAPTOR PHARMACEUTICAL CORP	$0	–	-10,090	-100.0%	-0.03%	–
TRIP	Exit	TRIPADVISOR INC	$0	–	-10,100	-100.0%	-0.03%	–
VIAB	Exit	VIACOM INC NEWcall	$0	–	-10,381	-100.0%	-0.03%	–
IBB	Exit	ISHARES TRput	$0	–	-10,316	-100.0%	-0.03%	–
TJX	Exit	TJX COS INC NEWcall	$0	–	-10,748	-100.0%	-0.03%	–
GILD	Exit	GILEAD SCIENCES INC	$0	–	-11,547	-100.0%	-0.03%	–
ILF	Exit	ISHARES TRlatn amer 40 etf	$0	–	-12,403	-100.0%	-0.03%	–
DRH	Exit	DIAMONDROCK HOSPITALITY CO	$0	–	-12,109	-100.0%	-0.03%	–
ORCL	Exit	ORACLE CORPcall	$0	–	-12,471	-100.0%	-0.04%	–
AKG	Exit	ASANKO GOLD INCcall	$0	–	-12,854	-100.0%	-0.04%	–
TZA	Exit	DIREXION SHS ETF TRput	$0	–	-13,657	-100.0%	-0.04%	–
MSI	Exit	MOTOROLA SOLUTIONS INC	$0	–	-13,776	-100.0%	-0.04%	–
MGA	Exit	MAGNA INTL INCput	$0	–	-13,558	-100.0%	-0.04%	–
GLD	Exit	SPDR GOLD TRUST	$0	–	-14,296	-100.0%	-0.04%	–
SLV	Exit	ISHARES SILVER TRUSTishares	$0	–	-14,255	-100.0%	-0.04%	–
UAL	Exit	UNITED CONTL HLDGS INCcall	$0	–	-14,840	-100.0%	-0.04%	–
	Exit	ALLIANCE DATA SYSTEMS CORP	$0	–	-3,218	-100.0%	-0.04%	–
GSAT	Exit	GLOBALSTAR INC	$0	–	-16,879	-100.0%	-0.05%	–
	Exit	BALL CORPcall	$0	–	-1,377	-100.0%	-0.05%	–
F	Exit	FORD MTR CO DELcall	$0	–	-18,217	-100.0%	-0.05%	–
DE	Exit	DEERE & COput	$0	–	-18,451	-100.0%	-0.05%	–
NYRT	Exit	NEW YORK REIT INCput	$0	–	-19,174	-100.0%	-0.05%	–
TRTLU	Exit	TERRAPIN 3 ACQUISITION CORPunit 06/27/2019	$0	–	-19,191	-100.0%	-0.05%	–
IAG	Exit	IAMGOLD CORPcall	$0	–	-19,077	-100.0%	-0.05%	–
KHC	Exit	KRAFT HEINZ COcall	$0	–	-18,957	-100.0%	-0.05%	–
FLTX	Exit	FLEETMATICS GROUP PLC	$0	–	-20,008	-100.0%	-0.06%	–
WGO	Exit	WINNEBAGO INDS INC	$0	–	-20,471	-100.0%	-0.06%	–
AAL	Exit	AMERICAN AIRLS GROUP INCcall	$0	–	-20,629	-100.0%	-0.06%	–
AGN	Exit	ALLERGAN PLC	$0	–	-22,528	-100.0%	-0.06%	–
AKG	Exit	ASANKO GOLD INCput	$0	–	-22,595	-100.0%	-0.06%	–
RPXC	Exit	RPX CORPcall	$0	–	-23,246	-100.0%	-0.06%	–
NXPI	Exit	NXP SEMICONDUCTORS N Vcall	$0	–	-23,363	-100.0%	-0.06%	–
TLN	Exit	TALEN ENERGY CORP	$0	–	-24,964	-100.0%	-0.07%	–
FDML	Exit	FEDERAL MOGUL HOLDINGS CORP	$0	–	-25,240	-100.0%	-0.07%	–
XLNX	Exit	XILINX INCcall	$0	–	-26,359	-100.0%	-0.07%	–
HTCH	Exit	HUTCHINSON TECHNOLOGY INC	$0	–	-26,735	-100.0%	-0.07%	–
ARWA	Exit	AROWANA INC	$0	–	-27,159	-100.0%	-0.08%	–
LRCX	Exit	LAM RESEARCH CORPcall	$0	–	-27,368	-100.0%	-0.08%	–
BABA	Exit	ALIBABA GROUP HLDG LTDcall	$0	–	-27,645	-100.0%	-0.08%	–
HDRA	Exit	HYDRA INDS ACQUISITION CORP	$0	–	-29,500	-100.0%	-0.08%	–
	Exit	ALLIANCE DATA SYSTEMS CORPcall	$0	–	-6,436	-100.0%	-0.08%	–
KHC	Exit	KRAFT HEINZ COput	$0	–	-30,506	-100.0%	-0.08%	–
N	Exit	NETSUITE INC	$0	–	-30,544	-100.0%	-0.08%	–
SHOR	Exit	SHORETEL INCcall	$0	–	-31,147	-100.0%	-0.09%	–
ITC	Exit	ITC HLDGS CORP	$0	–	-31,394	-100.0%	-0.09%	–
STLRU	Exit	STELLAR ACQUISITION III INCunit 03/22/2022	$0	–	-32,319	-100.0%	-0.09%	–
SQQQ	Exit	PROSHARES TRput	$0	–	-32,428	-100.0%	-0.09%	–
COST	Exit	COSTCO WHSL CORP NEWput	$0	–	-34,575	-100.0%	-0.10%	–
GIB	Exit	GROUPE CGI INCput	$0	–	-34,467	-100.0%	-0.10%	–
OACQ	Exit	ORIGO ACQUISITION CORP	$0	–	-35,860	-100.0%	-0.10%	–
TJX	Exit	TJX COS INC NEW	$0	–	-35,550	-100.0%	-0.10%	–
GOOG	Exit	ALPHABET INCcap stk cl c	$0	–	-36,490	-100.0%	-0.10%	–
MSI	Exit	MOTOROLA SOLUTIONS INCput	$0	–	-36,594	-100.0%	-0.10%	–
IWM	Exit	ISHARES TRcall	$0	–	-37,099	-100.0%	-0.10%	–
SLW	Exit	SILVER WHEATON CORPput	$0	–	-41,081	-100.0%	-0.11%	–
EMGCQ	Exit	EMERGENT CAP INC	$0	–	-41,403	-100.0%	-0.12%	–
QCOM	Exit	QUALCOMM INCcall	$0	–	-42,740	-100.0%	-0.12%	–
	Exit	AGRIUM INC	$0	–	-4,054	-100.0%	-0.12%	–
FXI	Exit	ISHARES TRcall	$0	–	-52,731	-100.0%	-0.15%	–
RAX	Exit	RACKSPACE HOSTING INC	$0	–	-53,648	-100.0%	-0.15%	–
PAY	Exit	VERIFONE SYS INC	$0	–	-54,947	-100.0%	-0.15%	–
SE	Exit	SPECTRA ENERGY CORP	$0	–	-55,110	-100.0%	-0.15%	–
SPY	Exit	SPDR S&P 500 ETF TRcall	$0	–	-55,950	-100.0%	-0.16%	–
CSX	Exit	CSX CORPcall	$0	–	-56,678	-100.0%	-0.16%	–
PRGO	Exit	PERRIGO CO PLCcall	$0	–	-60,078	-100.0%	-0.17%	–
PNTPQ	Exit	PATRIOT NATL INC	$0	–	-61,198	-100.0%	-0.17%	–
BLOX	Exit	INFOBLOX INC	$0	–	-61,582	-100.0%	-0.17%	–
CKEC	Exit	CARMIKE CINEMAS INC	$0	–	-61,972	-100.0%	-0.17%	–
ITB	Exit	ISHARES TRput	$0	–	-63,914	-100.0%	-0.18%	–
SEMI	Exit	SUNEDISON SEMICONDUCTOR LTD	$0	–	-65,740	-100.0%	-0.18%	–
	Exit	BANK AMER CORPcall	$0	–	-1,080	-100.0%	-0.19%	–
SCTY	Exit	SOLARCITY CORP	$0	–	-69,874	-100.0%	-0.19%	–
AFCO	Exit	AMERICAN FARMLAND CO	$0	–	-70,552	-100.0%	-0.20%	–
	Exit	AARONS INC	$0	–	-1,862	-100.0%	-0.20%	–
KLAC	Exit	KLA-TENCOR CORPput	$0	–	-74,773	-100.0%	-0.21%	–
PGND	Exit	PRESS GANEY HLDGS INC	$0	–	-76,323	-100.0%	-0.21%	–
LNKD	Exit	LINKEDIN CORP	$0	–	-77,104	-100.0%	-0.21%	–
BABA	Exit	ALIBABA GROUP HLDG LTDput	$0	–	-82,934	-100.0%	-0.23%	–
	Exit	BORGWARNER INCput	$0	–	-3,025	-100.0%	-0.24%	–
RRD	Exit	DONNELLEY R R & SONS COcall	$0	–	-87,782	-100.0%	-0.24%	–
BAS	Exit	BASIC ENERGY SVCS INC NEWput	$0	–	-90,975	-100.0%	-0.25%	–
WERN	Exit	WERNER ENTERPRISES INC	$0	–	-96,034	-100.0%	-0.27%	–
PYPL	Exit	PAYPAL HLDGS INCcall	$0	–	-109,302	-100.0%	-0.30%	–
QUAD	Exit	QUAD / GRAPHICS INCput	$0	–	-112,323	-100.0%	-0.31%	–
CSRA	Exit	CSRA INC	$0	–	-118,094	-100.0%	-0.33%	–
NG	Exit	NOVAGOLD RES INCcall	$0	–	-118,259	-100.0%	-0.33%	–
LXK	Exit	LEXMARK INTL INCcl a	$0	–	-120,617	-100.0%	-0.34%	–
AEGR	Exit	AEGERION PHARMACEUTICALS INC	$0	–	-124,824	-100.0%	-0.35%	–
KS	Exit	KAPSTONE PAPER & PACKAGING C	$0	–	-137,554	-100.0%	-0.38%	–
SHLDQ	Exit	SEARS HLDGS CORPcall	$0	–	-143,020	-100.0%	-0.40%	–
CPAAU	Exit	CONYERS PK ACQUISITIONunit 99/99/99991	$0	–	-151,612	-100.0%	-0.42%	–
GRSHW	Exit	GORES HLDGS INCw exp 08/13/202	$0	–	-160,192	-100.0%	-0.44%	–
RCII	Exit	RENT A CTR INC NEW	$0	–	-160,495	-100.0%	-0.44%	–
SPWH	Exit	SPORTSMANS WHSE HLDGS INC	$0	–	-165,244	-100.0%	-0.46%	–
MIIIU	Exit	M III ACQUISITION CORPunit 99/99/9999t	$0	–	-181,259	-100.0%	-0.50%	–
QPACW	Exit	QUINPARIO ACQUISITION CORP 2w exp 01/01/202	$0	–	-200,035	-100.0%	-0.56%	–
DBD	Exit	DIEBOLD INC	$0	–	-202,806	-100.0%	-0.56%	–
SKUL	Exit	SKULLCANDY INC	$0	–	-208,610	-100.0%	-0.58%	–
VTAE	Exit	VITAE PHARMACEUTICALS INC	$0	–	-212,972	-100.0%	-0.59%	–
NXEOW	Exit	NEXEO SOLUTIONS INCw exp 06/09/202	$0	–	-218,953	-100.0%	-0.61%	–
TRTL	Exit	TERRAPIN 3 ACQUISITION CORP	$0	–	-226,908	-100.0%	-0.63%	–
TRTLW	Exit	TERRAPIN 3 ACQUISITION CORPw exp 06/27/201	$0	–	-229,642	-100.0%	-0.64%	–
PYPL	Exit	PAYPAL HLDGS INCput	$0	–	-239,423	-100.0%	-0.66%	–
AAPC	Exit	ATLANTIC ALLIANCE PARTNER CO	$0	–	-245,591	-100.0%	-0.68%	–
QCOM	Exit	QUALCOMM INCput	$0	–	-251,098	-100.0%	-0.70%	–
LCAHU	Exit	LANDCADIA HLDGS INCunit 12/31/2021t	$0	–	-252,563	-100.0%	-0.70%	–
CY	Exit	CYPRESS SEMICONDUCTOR CORPcall	$0	–	-255,672	-100.0%	-0.71%	–
CYNA	Exit	CYNAPSUS THERAPEUTICS INC	$0	–	-297,530	-100.0%	-0.82%	–
APIC	Exit	APIGEE CORP	$0	–	-304,436	-100.0%	-0.84%	–
SRAQ	Exit	SILVER RUN ACQUISITION CORPcl a	$0	–	-316,169	-100.0%	-0.88%	–
IM	Exit	INGRAM MICRO INCcl a	$0	–	-388,373	-100.0%	-1.08%	–
KLREW	Exit	KLR ENERGY ACQUISITION CORPw exp 09/16/202	$0	–	-500,210	-100.0%	-1.39%	–
QLTI	Exit	QLT INC	$0	–	-1,405,191	-100.0%	-3.90%	–

Original filings

The following EDGAR filing(s) were analyzed to create this report:

View 13F-HR filed 2017-02-15

Signatures

The EDGAR filing(s) were signed by:

Shawn Kimel — President

Top long-term holdings

Name	Quarters owned	Latest quarter owned	Max weighting
BGC PARTNERS INC	30	Q4 2022	1.9%
ISHARES TR	22	Q2 2023	2.8%
VANECK VECTORS ETF TRUST	21	Q3 2022	7.0%
SPDR SP 500 ETF TR	20	Q3 2023	8.8%
MAGNACHIP SEMICONDUCTOR CORP	19	Q3 2022	1.1%
NXP SEMICONDUCTORS N V	18	Q4 2020	2.9%
MICROSOFT CORP	18	Q2 2020	1.5%
ISHARES TR	17	Q1 2023	7.5%
CYPRESS SEMICONDUCTOR CORP	17	Q1 2019	2.5%
AEROJET ROCKETDYNE HLDGS INC	17	Q2 2022	1.4%

View K2 PRINCIPAL FUND, L.P.'s complete holdings history.

Latest significant ownerships (13-D/G)

K2 PRINCIPAL FUND, L.P. Q4 2016 significant holdings filed using form 13D/G when ownership exceeds 5% of a company's total stock issue.
	Filed	Shares	Percentage
AcuityAds Holdings Inc.	March 16, 2023	3,198,531	5.6%
ARS Pharmaceuticals, Inc.	February 13, 2023	2,045,348	2.2%
Solid Biosciences Inc.	February 13, 2023	284,871	1.5%
TCR2 THERAPEUTICS INC.	February 09, 2023	10	0.0%
AVROBIO, Inc.	February 08, 2023	10	0.0%
Goldenstone Acquisition Ltd.	February 08, 2023	10	0.0%
Relativity Acquisition Corp	February 08, 2023	10	0.0%
Sagaliam Acquisition Corp	February 08, 2023	10	0.0%
Pasithea Therapeutics Corp.	February 01, 2022	1,094,418	5.0%
Ignyte Acquisition Corp.	January 26, 2022	259,958	3.6%

View K2 PRINCIPAL FUND, L.P.'s complete significant-ownership history.

Latest filings

Type	Filed
13F-HR	2024-02-14
SC 13G/A	2024-02-12
SC 13G/A	2024-02-12
SC 13G	2024-02-09
13F-HR	2023-11-13
13F-HR	2023-08-15
13F-HR	2023-05-11
SC 13G/A	2023-03-16
SC 13G	2023-03-16
SC 13G/A	2023-02-13

View K2 PRINCIPAL FUND, L.P.'s complete filings history.

All filings

View complete filings history.

Compare quarters

Export K2 PRINCIPAL FUND, L.P.'s holdings