13F-HR filed by K2 PRINCIPAL FUND, L.P.
K2 PRINCIPAL FUND, L.P. filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-13, with 155 holding rows worth $616,483,000.
- Accession
- 0001461790-15-000068
- Filer
- CIK 1461790
- Filed
- 2015-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 264 entries on the cover page, a total value of $616,483,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $616,483,000 with VALUE read as thousands by filing date, 13F file number 028-16812. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| HOME PROPERTIES INC | 437306103 | COM | 530,322 | $39,642,000 | thousands by filing date | |
| DEALERTRACK TECHNOLOGIES INC | 242309102 | COM | 571,417 | $36,091,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 337,000 | $34,294,000 | thousands by filing date | call |
| 38259p508 | COM | 51,600 | $31,394,000 | thousands by filing date | ||
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 307,500 | $31,293,000 | thousands by filing date | put |
| THORATEC CORP | 885175307 | COM | 388,003 | $24,545,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 840,300 | $20,932,000 | thousands by filing date | put |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 227,992 | $17,095,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 1,346,252 | $13,099,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 1,252,749 | $12,603,000 | thousands by filing date | |
| ALTERA CORP | 021441100 | COM | 241,125 | $12,076,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 200,000 | $11,376,000 | thousands by filing date | |
| HCC INS HLDGS INC | 404132102 | COM | 135,728 | $10,515,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 1,366,429 | $10,207,000 | thousands by filing date | |
| CITY NATL CORP | 178566105 | COM | 105,068 | $9,252,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 1,122,836 | $9,230,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 205,000 | $9,073,000 | thousands by filing date | |
| YODLEE INC | 98600P201 | COM | 560,100 | $9,034,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 207,500 | $8,982,000 | thousands by filing date | put |
| HARMONY MERGER CORP | 413247107 | COM | 900,000 | $8,910,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 2,872,900 | $8,303,000 | thousands by filing date | put |
| PARTNERRE LTD | G6852T105 | COM | 58,090 | $8,068,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 161,700 | $7,794,000 | thousands by filing date | call |
| ZULILY INC | 989774104 | CL A | 431,712 | $7,512,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 326,520 | $7,399,000 | thousands by filing date | |
| 38259p508 | COM | 10,500 | $6,703,000 | thousands by filing date | put | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 74,500 | $6,487,000 | thousands by filing date | call |
| HARMONY MERGER CORP | 413247206 | UNIT 99/99/9999 | 600,000 | $6,120,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 196,364 | $5,304,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 222,800 | $5,037,000 | thousands by filing date | put |
| PAYPALHLDGSINC | 70450Y103 | STOK | 160,000 | $4,966,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 416,675 | $4,883,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 33,100 | $4,469,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 379,500 | $4,452,000 | thousands by filing date | call |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 315,600 | $4,336,000 | thousands by filing date | put |
| IPC THE HOSPITALIST CO | 44984A105 | COM | 54,900 | $4,265,000 | thousands by filing date | |
| STRATEGIC HOTEL & RESORTS | 86272T106 | COM | 300,465 | $4,143,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 472,689 | $4,027,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 56,368 | $4,026,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 10,204 | $4,015,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 80,000 | $3,991,000 | thousands by filing date | put |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 105,000 | $3,977,000 | thousands by filing date | call |
| Apple Inc | 037833100 | COM | 35,250 | $3,888,000 | thousands by filing date | |
| COMPUTER SCIENCES CORP | 205363104 | COM | 62,800 | $3,855,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 146,169 | $3,838,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 20,757 | $3,723,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 88,300 | $3,555,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 67,487 | $3,471,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C120 | UNIT 99/99/9999 | 315,000 | $3,112,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 30,956 | $3,089,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195108 | UNIT 99/99/9999 | 296,500 | $3,007,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 130,000 | $2,946,000 | thousands by filing date | call |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 40,000 | $2,900,000 | thousands by filing date | call |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 320,000 | $2,726,000 | thousands by filing date | call |
| SILVER WHEATON CORP | 828336107 | COM | 225,000 | $2,703,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 106,000 | $2,641,000 | thousands by filing date | call |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 265,000 | $2,624,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 436,517 | $2,602,000 | thousands by filing date | |
| PINNACLE ENTMT INC | 723456109 | COM | 76,758 | $2,597,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 40,000 | $2,594,000 | thousands by filing date | call |
| BLACKROCK INC CL A COM | 09247X101 | COM | 8,093 | $2,407,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 571,817 | $2,339,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 165,000 | $2,288,000 | thousands by filing date | put |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 10,800 | $2,216,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 70,000 | $2,173,000 | thousands by filing date | call |
| MYLAN NV | N59465109 | SHS EURO | 50,500 | $2,033,000 | thousands by filing date | put |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 40,000 | $1,995,000 | thousands by filing date | call |
| QUINPARIO ACQUISITION CORP 2 | 74874U101 | COM | 200,919 | $1,991,000 | thousands by filing date | |
| Terrapin 3 Acquisition Corporation | 88104P104 | Common | 201,000 | $1,986,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 54,300 | $1,951,000 | thousands by filing date | call |
| WINNEBAGO INDS INC | 974637100 | COM | 97,508 | $1,867,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 204,942 | $1,832,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 13,761 | $1,828,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 10,387 | $1,826,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 35,500 | $1,822,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 6,302 | $1,713,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 17,700 | $1,652,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 71,456 | $1,626,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 251,500 | $1,615,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 37,500 | $1,510,000 | thousands by filing date | call |
| PACWEST BANCORP DEL | 695263103 | COM | 32,984 | $1,412,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 115,000 | $1,381,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 50,000 | $1,347,000 | thousands by filing date | call |
| RYLAND GROUP INC | 783764103 | COM | 32,489 | $1,327,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 15,200 | $1,323,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 54,800 | $1,306,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 90,000 | $1,282,000 | thousands by filing date | put |
| AETNA INC NEW | 00817Y108 | COM | 11,509 | $1,259,000 | thousands by filing date | |
| COMPUTER SCIENCES CORP | 205363104 | COM | 20,400 | $1,252,000 | thousands by filing date | call |
| WL ROSS HLDG CORP | 92939D104 | COM SHS | 116,810 | $1,212,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 8,854 | $1,160,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 12,000 | $1,116,000 | thousands by filing date | put |
| Micron Technology,Inc. | 595112103 | COM | 74,300 | $1,113,000 | thousands by filing date | |
| PACE HLDGS CORP | G6865N129 | UNIT 99/99/9999 | 100,000 | $1,020,000 | thousands by filing date | |
| ATLANTIC ALLIANCE PARTNER CO | G04897107 | SHS | 99,000 | $1,005,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 25,000 | $947,000 | thousands by filing date | put |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 10,000 | $930,000 | thousands by filing date | call |
| BAKER HUGHES INC | 057224107 | COM | 17,024 | $886,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 314,742 | $878,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 16,800 | $833,000 | thousands by filing date | call |
| REMY INTL INC NEW | 75971M108 | COM | 28,137 | $823,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 21,500 | $801,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 12,000 | $795,000 | thousands by filing date | put |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 53,400 | $760,000 | thousands by filing date | call |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 73,695 | $735,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 9,711 | $719,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 25,900 | $699,000 | thousands by filing date | put |
| NCR VOYIX CORPORATION | 62886E108 | COM | 30,000 | $683,000 | thousands by filing date | call |
| OM GROUP INC | 670872100 | COM | 20,000 | $658,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 20,000 | $636,000 | thousands by filing date | call |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 15,681 | $574,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 22,090 | $550,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 163,200 | $514,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 10,000 | $514,000 | thousands by filing date | call |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 60,000 | $512,000 | thousands by filing date | put |
| Chubb Corporation | 171232101 | Equity | 4,000 | $491,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 50,000 | $490,000 | thousands by filing date | call |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 96,535 | $481,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 34,000 | $447,000 | thousands by filing date | put |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 45,000 | $405,000 | thousands by filing date | call |
| BGC PARTNERS INC | 05541T101 | CL A | 49,300 | $405,000 | thousands by filing date | call |
| SOTHEBYS | 835898107 | COM | 12,500 | $400,000 | thousands by filing date | put |
| Home Depot, Inc | 437076102 | COM | 3,300 | $381,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 16,665 | $377,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 20,000 | $364,000 | thousands by filing date | call |
| STAPLES INC | 855030102 | COM | 30,000 | $352,000 | thousands by filing date | put |
| PTC THERAPEUTICS INC | 69366J200 | COM | 10,000 | $317,000 | thousands by filing date | call |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 9,050 | $286,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 5,433 | $270,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247123 | *W EXP 01/01/202 | 900,000 | $270,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 20,000 | $250,000 | thousands by filing date | put |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 27,822 | $228,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 37,135 | $226,000 | thousands by filing date | |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 8,607 | $226,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D112 | WARRANT | 255,411 | $209,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 15,900 | $192,000 | thousands by filing date | put |
| STAPLES INC | 855030102 | COM | 15,518 | $182,000 | thousands by filing date | |
| SUNGY MOBILE LTD | 86737M100 | ADR | 38,500 | $172,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 26,500 | $171,000 | thousands by filing date | put |
| KINROSS GOLD CORP | 496902404 | COM | 98,000 | $169,000 | thousands by filing date | put |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 20,500 | $168,000 | thousands by filing date | put |
| United States Brent Oil Fund L | 91167Q100 | COM | 10,000 | $166,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 20,000 | $164,000 | thousands by filing date | put |
| TAHOE RES INC | 873868103 | COM | 20,000 | $155,000 | thousands by filing date | call |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 39,052 | $130,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 58,300 | $102,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 13,000 | $97,000 | thousands by filing date | call |
| TERRAPIN 3 ACQUISITION CORP | 88104P112 | *W EXP 06/27/201 | 204,600 | $80,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 11,000 | $64,000 | thousands by filing date | put |
| SPHERE 3D CORP NEW | 84841L100 | COM | 24,936 | $53,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U119 | *W EXP 01/01/202 | 200,000 | $43,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 11,140 | $30,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 10,000 | $21,000 | thousands by filing date | put |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 50,000 | $18,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 245 | $8,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001461790-15-000068 | this filing | 2015-11-13 | acceptance time not in the bulk data set |