Filed: 11/13/2023ACC: 0001461790-23-000022
📋 What this filing means
K2 PRINCIPAL FUND, L.P. filed this quarterly 13F‑HR report disclosing 211 equity positions with a total reported market value of $477.34M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
211
Positions
$477.34M
Total AUM (reported)
33.71M
Total Shares
Allocation by class
COM$96.64M20.2%
UNITS$36.39M7.6%
NOTE 3/0$22.23M4.7%
CL A$22.02M4.6%
TR UNIT$21.37M4.5%
NOTE 4.000 7/1$17.66M3.7%
NOTE 3/1$13.65M2.9%
Portfolio Concentration
Top 3$75.42M15.8%
4–10$83.79M17.6%
11–25$126.31M26.5%
Rest$191.82M40.2%
Top 3 weight
15.8%
Top 10 weight
33.4%
Voting Authority Distribution
Total shares with voting rights: 33.71M
Sole
Full voting authority
33.71M
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)
Sole211
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings211
Rows:
UNITED STS OIL FD LP
SOLEShares450K
TypeSH
Market value$36.39M
7.62%
Sole
450K
Shared
0.00
None
0.00
SPDR SP 500 ETF TR
SOLEShares50K
TypeSH
Market value$21.37M
4.48%
Sole
50K
Shared
0.00
None
0.00
ATLANTICA SUSTAINABLE INFRA
SOLEShares19.30K
TypePRN
Market value$17.66M
3.70%
Sole
19.30K
Shared
0.00
None
0.00
DROPBOX INC
SOLEShares15.86K
TypePRN
Market value$15.00M
3.14%
Sole
15.86K
Shared
0.00
None
0.00
NUTANIX INC
SOLEShares14K
TypePRN
Market value$12.57M
2.63%
Sole
14K
Shared
0.00
None
0.00
ARS PHARMACEUTICALS INC
SOLEShares3.24M
TypeSH
Market value$12.25M
2.57%
Sole
3.24M
Shared
0.00
None
0.00
ENVESTNET INC
SOLEShares12.50K
TypePRN
Market value$11.48M
2.41%
Sole
12.50K
Shared
0.00
None
0.00
SPOTIFY USA INC
SOLEShares13K
TypePRN
Market value$11.08M
2.32%
Sole
13K
Shared
0.00
None
0.00
MARATHON DIGITAL HOLDINGS IN
SOLEShares15.25K
TypePRN
Market value$10.97M
2.30%
Sole
15.25K
Shared
0.00
None
0.00
ALTERYX INC
SOLEShares10.81K
TypePRN
Market value$10.44M
2.19%
Sole
10.81K
Shared
0.00
None
0.00
ACTIVISION BLIZZARD INC
SOLEShares105K
TypeSH
Market value$9.83M
2.06%
Sole
105K
Shared
0.00
None
0.00
TRIPADVISOR INC
SOLEShares11.50K
TypePRN
Market value$9.75M
2.04%
Sole
11.50K
Shared
0.00
None
0.00
ZSCALER INC
SOLEShares8K
TypePRN
Market value$9.62M
2.02%
Sole
8K
Shared
0.00
None
0.00
SUMMIT HOTEL PPTYS
SOLEShares11.38K
TypePRN
Market value$9.56M
2.00%
Sole
11.38K
Shared
0.00
None
0.00
PEBBLEBROOK HOTEL TR
SOLEShares11.30K
TypePRN
Market value$9.43M
1.97%
Sole
11.30K
Shared
0.00
None
0.00
BOX INC
SOLEShares8.50K
TypePRN
Market value$9.20M
1.93%
Sole
8.50K
Shared
0.00
None
0.00
SPIRIT AIRLS INC
SOLEShares10.49K
TypePRN
Market value$8.79M
1.84%
Sole
10.49K
Shared
0.00
None
0.00
RAPID7 INC
SOLEShares10K
TypePRN
Market value$8.56M
1.79%
Sole
10K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares100K
TypeSH
Market value$7.81M
1.64%
Sole
100K
Shared
0.00
None
0.00
SERITAGE GROWTH PPTYS
SOLEShares987.75K
TypeSH
Market value$7.65M
1.60%
Sole
987.75K
Shared
0.00
None
0.00
MR COOPER GROUP INC
SOLEShares141.36K
TypeSH
Market value$7.57M
1.59%
Sole
141.36K
Shared
0.00
None
0.00
ISHARES GOLD TR
SOLEShares212.50K
TypeSH
Market value$7.44M
1.56%
Sole
212.50K
Shared
0.00
None
0.00
RINGCENTRAL INC
SOLEShares7.80K
TypePRN
Market value$7.23M
1.51%
Sole
7.80K
Shared
0.00
None
0.00
SPLUNK INC
SOLEShares7.42K
TypePRN
Market value$7.00M
1.47%
Sole
7.42K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares60.70K
TypeSH
Market value$6.87M
1.44%
Sole
60.70K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
UNITED STS OIL FD LPSOLE | UNITS | 450K | SH | $36.39M 7.62% | 450K | 0.00 | 0.00 |
SPDR SP 500 ETF TRSOLE | TR UNIT | 50K | SH | $21.37M 4.48% | 50K | 0.00 | 0.00 |
ATLANTICA SUSTAINABLE INFRASOLE | NOTE 4.000 7/1 | 19.30K | PRN | $17.66M 3.70% | 19.30K | 0.00 | 0.00 |
DROPBOX INCSOLE | NOTE 3/0 | 15.86K | PRN | $15.00M 3.14% | 15.86K | 0.00 | 0.00 |
NUTANIX INCSOLE | NOTE 0.25010/0 | 14K | PRN | $12.57M 2.63% | 14K | 0.00 | 0.00 |
ARS PHARMACEUTICALS INCSOLE | COM | 3.24M | SH | $12.25M 2.57% | 3.24M | 0.00 | 0.00 |
ENVESTNET INCSOLE | NOTE 0.750 8/1 | 12.50K | PRN | $11.48M 2.41% | 12.50K | 0.00 | 0.00 |
SPOTIFY USA INCSOLE | NOTE 3/1 | 13K | PRN | $11.08M 2.32% | 13K | 0.00 | 0.00 |
MARATHON DIGITAL HOLDINGS INSOLE | NOTE 1.00012/0 | 15.25K | PRN | $10.97M 2.30% | 15.25K | 0.00 | 0.00 |
ALTERYX INCSOLE | NOTE 0.500 8/0 | 10.81K | PRN | $10.44M 2.19% | 10.81K | 0.00 | 0.00 |
ACTIVISION BLIZZARD INCSOLE | COM | 105K | SH | $9.83M 2.06% | 105K | 0.00 | 0.00 |
TRIPADVISOR INCSOLE | NOTE 0.250 4/0 | 11.50K | PRN | $9.75M 2.04% | 11.50K | 0.00 | 0.00 |
ZSCALER INCSOLE | NOTE 0.125 7/0 | 8K | PRN | $9.62M 2.02% | 8K | 0.00 | 0.00 |
SUMMIT HOTEL PPTYSSOLE | NOTE 1.500 2/1 | 11.38K | PRN | $9.56M 2.00% | 11.38K | 0.00 | 0.00 |
PEBBLEBROOK HOTEL TRSOLE | NOTE 1.75012/1 | 11.30K | PRN | $9.43M 1.97% | 11.30K | 0.00 | 0.00 |
BOX INCSOLE | NOTE 1/1 | 8.50K | PRN | $9.20M 1.93% | 8.50K | 0.00 | 0.00 |
SPIRIT AIRLS INCSOLE | NOTE 1.000 5/1 | 10.49K | PRN | $8.79M 1.84% | 10.49K | 0.00 | 0.00 |
RAPID7 INCSOLE | NOTE 0.250 3/1 | 10K | PRN | $8.56M 1.79% | 10K | 0.00 | 0.00 |
ISHARES TRSOLE | U.S. REAL ES ETF | 100K | SH | $7.81M 1.64% | 100K | 0.00 | 0.00 |
SERITAGE GROWTH PPTYSSOLE | CL A | 987.75K | SH | $7.65M 1.60% | 987.75K | 0.00 | 0.00 |
MR COOPER GROUP INCSOLE | COM | 141.36K | SH | $7.57M 1.59% | 141.36K | 0.00 | 0.00 |
ISHARES GOLD TRSOLE | ISHARES NEW | 212.50K | SH | $7.44M 1.56% | 212.50K | 0.00 | 0.00 |
RINGCENTRAL INCSOLE | NOTE 3/0 | 7.80K | PRN | $7.23M 1.51% | 7.80K | 0.00 | 0.00 |
SPLUNK INCSOLE | NOTE 1.125 6/1 | 7.42K | PRN | $7.00M 1.47% | 7.42K | 0.00 | 0.00 |
ISHARES TRSOLE | 3 7 YR TREAS BD | 60.70K | SH | $6.87M 1.44% | 60.70K | 0.00 | 0.00 |
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