Filed: 8/15/2023ACC: 0001461790-23-000020
📋 What this filing means
K2 PRINCIPAL FUND, L.P. filed this quarterly 13F‑HR report disclosing 203 equity positions with a total reported market value of $437.17M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
203
Positions
$437.17M
Total AUM (reported)
31.41M
Total Shares
Allocation by class
COM$121.29M27.7%
NOTE 3/0$22.24M5.1%
RUSSELL 2000 ETF$18.73M4.3%
NOTE 4.000 7/1$18.32M4.2%
CL A$15.48M3.5%
NOTE 0.500 9/1$13.19M3.0%
CL A COM$12.01M2.7%
Portfolio Concentration
Top 3$60.82M13.9%
4–10$88.20M20.2%
11–25$121.57M27.8%
Rest$166.58M38.1%
Top 3 weight
13.9%
Top 10 weight
34.1%
Voting Authority Distribution
Total shares with voting rights: 31.41M
Sole
Full voting authority
31.41M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole203
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings203
Rows:
ACTIVISION BLIZZARD INC
SOLEShares282K
TypeSH
Market value$23.77M
5.44%
Sole
282K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares100K
TypeSH
Market value$18.73M
4.28%
Sole
100K
Shared
0.00
None
0.00
ATLANTICA SUSTAINABLE INFRA
SOLEShares19.30K
TypePRN
Market value$18.32M
4.19%
Sole
19.30K
Shared
0.00
None
0.00
DROPBOX INC
SOLEShares15.86K
TypePRN
Market value$15.06M
3.45%
Sole
15.86K
Shared
0.00
None
0.00
ARS PHARMACEUTICALS INC
SOLEShares2.24M
TypeSH
Market value$14.98M
3.43%
Sole
2.24M
Shared
0.00
None
0.00
SPLUNK INC
SOLEShares13.34K
TypePRN
Market value$13.19M
3.02%
Sole
13.34K
Shared
0.00
None
0.00
ENVESTNET INC
SOLEShares12.50K
TypePRN
Market value$11.47M
2.62%
Sole
12.50K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares150K
TypeSH
Market value$11.26M
2.58%
Sole
150K
Shared
0.00
None
0.00
NUTANIX INC
SOLEShares13K
TypePRN
Market value$11.14M
2.55%
Sole
13K
Shared
0.00
None
0.00
SPOTIFY USA INC
SOLEShares13K
TypePRN
Market value$11.10M
2.54%
Sole
13K
Shared
0.00
None
0.00
DOCUSIGN INC
SOLEShares10.23K
TypePRN
Market value$9.90M
2.26%
Sole
10.23K
Shared
0.00
None
0.00
SUMMIT HOTEL PPTYS
SOLEShares11.38K
TypePRN
Market value$9.71M
2.22%
Sole
11.38K
Shared
0.00
None
0.00
TRIPADVISOR INC
SOLEShares11.50K
TypePRN
Market value$9.69M
2.22%
Sole
11.50K
Shared
0.00
None
0.00
PEBBLEBROOK HOTEL TR
SOLEShares11.30K
TypePRN
Market value$9.59M
2.19%
Sole
11.30K
Shared
0.00
None
0.00
ZSCALER INC
SOLEShares8K
TypePRN
Market value$9.40M
2.15%
Sole
8K
Shared
0.00
None
0.00
WORLD ACCEP CORPORATION
SOLEShares66.20K
TypeSH
Market value$8.87M
2.03%
Sole
66.20K
Shared
0.00
None
0.00
SPIRIT AIRLS INC
SOLEShares10.49K
TypePRN
Market value$8.54M
1.95%
Sole
10.49K
Shared
0.00
None
0.00
SERITAGE GROWTH PPTYS
SOLEShares924.64K
TypeSH
Market value$8.25M
1.89%
Sole
924.64K
Shared
0.00
None
0.00
SPDR SER TR
SOLEShares150K
TypeSH
Market value$7.62M
1.74%
Sole
150K
Shared
0.00
None
0.00
RINGCENTRAL INC
SOLEShares7.80K
TypePRN
Market value$7.18M
1.64%
Sole
7.80K
Shared
0.00
None
0.00
JOHNSON JOHNSON
SOLEShares42.10K
TypeSH
Market value$6.97M
1.59%
Sole
42.10K
Shared
0.00
None
0.00
FREEPORT-MCMORAN INC
SOLEShares169.54K
TypeSH
Market value$6.78M
1.55%
Sole
169.54K
Shared
0.00
None
0.00
ALTERYX INC
SOLEShares6.82K
TypePRN
Market value$6.45M
1.48%
Sole
6.82K
Shared
0.00
None
0.00
ALBERTSONS COS INC
SOLEShares290.70K
TypeSH
Market value$6.34M
1.45%
Sole
290.70K
Shared
0.00
None
0.00
REDWOOD TRUST INC
SOLEShares6.57K
TypePRN
Market value$6.28M
1.44%
Sole
6.57K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
ACTIVISION BLIZZARD INCSOLE | COM | 282K | SH | $23.77M 5.44% | 282K | 0.00 | 0.00 |
ISHARES TRSOLE | RUSSELL 2000 ETF | 100K | SH | $18.73M 4.28% | 100K | 0.00 | 0.00 |
ATLANTICA SUSTAINABLE INFRASOLE | NOTE 4.000 7/1 | 19.30K | PRN | $18.32M 4.19% | 19.30K | 0.00 | 0.00 |
DROPBOX INCSOLE | NOTE 3/0 | 15.86K | PRN | $15.06M 3.45% | 15.86K | 0.00 | 0.00 |
ARS PHARMACEUTICALS INCSOLE | COM | 2.24M | SH | $14.98M 3.43% | 2.24M | 0.00 | 0.00 |
SPLUNK INCSOLE | NOTE 0.500 9/1 | 13.34K | PRN | $13.19M 3.02% | 13.34K | 0.00 | 0.00 |
ENVESTNET INCSOLE | NOTE 0.750 8/1 | 12.50K | PRN | $11.47M 2.62% | 12.50K | 0.00 | 0.00 |
ISHARES TRSOLE | IBOXX HI YD ETF | 150K | SH | $11.26M 2.58% | 150K | 0.00 | 0.00 |
NUTANIX INCSOLE | NOTE 0.25010/0 | 13K | PRN | $11.14M 2.55% | 13K | 0.00 | 0.00 |
SPOTIFY USA INCSOLE | NOTE 3/1 | 13K | PRN | $11.10M 2.54% | 13K | 0.00 | 0.00 |
DOCUSIGN INCSOLE | NOTE 1/1 | 10.23K | PRN | $9.90M 2.26% | 10.23K | 0.00 | 0.00 |
SUMMIT HOTEL PPTYSSOLE | NOTE 1.500 2/1 | 11.38K | PRN | $9.71M 2.22% | 11.38K | 0.00 | 0.00 |
TRIPADVISOR INCSOLE | NOTE 0.250 4/0 | 11.50K | PRN | $9.69M 2.22% | 11.50K | 0.00 | 0.00 |
PEBBLEBROOK HOTEL TRSOLE | NOTE 1.75012/1 | 11.30K | PRN | $9.59M 2.19% | 11.30K | 0.00 | 0.00 |
ZSCALER INCSOLE | NOTE 0.125 7/0 | 8K | PRN | $9.40M 2.15% | 8K | 0.00 | 0.00 |
WORLD ACCEP CORPORATIONSOLE | COM | 66.20K | SH | $8.87M 2.03% | 66.20K | 0.00 | 0.00 |
SPIRIT AIRLS INCSOLE | NOTE 1.000 5/1 | 10.49K | PRN | $8.54M 1.95% | 10.49K | 0.00 | 0.00 |
SERITAGE GROWTH PPTYSSOLE | CL A | 924.64K | SH | $8.25M 1.89% | 924.64K | 0.00 | 0.00 |
SPDR SER TRSOLE | SP METALS MNG | 150K | SH | $7.62M 1.74% | 150K | 0.00 | 0.00 |
RINGCENTRAL INCSOLE | NOTE 3/0 | 7.80K | PRN | $7.18M 1.64% | 7.80K | 0.00 | 0.00 |
JOHNSON JOHNSONSOLE | COM | 42.10K | SH | $6.97M 1.59% | 42.10K | 0.00 | 0.00 |
FREEPORT-MCMORAN INCSOLE | CL B | 169.54K | SH | $6.78M 1.55% | 169.54K | 0.00 | 0.00 |
ALTERYX INCSOLE | NOTE 0.500 8/0 | 6.82K | PRN | $6.45M 1.48% | 6.82K | 0.00 | 0.00 |
ALBERTSONS COS INCSOLE | COMMON STOCK | 290.70K | SH | $6.34M 1.45% | 290.70K | 0.00 | 0.00 |
REDWOOD TRUST INCSOLE | NOTE 5.625 7/1 | 6.57K | PRN | $6.28M 1.44% | 6.57K | 0.00 | 0.00 |
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