K2 PRINCIPAL FUND, L.P. Q1 2016 Filing

Filed May 12, 2016

Portfolio Value

$732.9M

Holdings

178

Report Date

Q1 2016

Filing Type

13F-HR

All Holdings (178 positions)

#	Stock	Shares	Value	% Portfolio	Type
101	BABOEING CO	10,000	$1.3M	0.17%	Put
102	—MONARCH FINANCIAL HOLDINGS I	76,114	$1.3M	0.17%
103	DLTRDOLLAR TREE INC	15,000	$1.2M	0.17%	Call
104	BXUSDBLACKSTONE GROUP L P	44,000	$1.2M	0.17%	Call
105	HYGISHARES TR	14,768	$1.2M	0.16%	Put
106	UTXZUNITED TECHNOLOGIES CORP	12,000	$1.2M	0.16%	Put
107	—KEYCORP NEW PFD 7.75% SR A	8,854	$1.2M	0.16%
108	—SYNGENTA AG	13,600	$1.1M	0.15%
109	—GARNERO GROUP ACQUISITION CO	112,343	$1.1M	0.15%
110	BFHALLIANCE DATA SYSTEMS CORP	5,000	$1.1M	0.15%	Call
111	USOUNITED STATES OIL FUND LP	112,794	$1.1M	0.15%
112	—ATLANTIC ALLIANCE PARTNER CO	103,020	$1.1M	0.15%
113	—INTERVAL LEISURE GROUP INC	71,500	$1.0M	0.14%	Call
114	—KKR & CO L P DEL COM UNITS	70,000	$1.0M	0.14%	Call
115	—BLOUNT INTL INC NEW	97,047	$969K	0.13%
116	PANLPANGAEA LOGISTICS SOLUTION L	492,662	$963K	0.13%
117	—PACE HLDGS CORP	99,000	$933K	0.13%
118	SNDKSANDISK CORP	12,086	$920K	0.13%
119	—NTELOS HLDGS CORP	100,000	$920K	0.13%
120	IPINTL PAPER CO	20,000	$821K	0.11%	Call
121	SLG2EURSL GREEN RLTY CORP	8,000	$776K	0.11%	Call
122	—STAPLES INC	66,000	$728K	0.10%	Call
123	IMGIAMGOLD CORP	328,600	$725K	0.10%	Put
124	UISUNISYS CORP	90,000	$694K	0.09%	Call
125	MGMMGM RESORTS INTERNATIONAL	30,000	$643K	0.09%	Call
126	ABXBARRICK GOLD CORP	44,500	$604K	0.08%	Call
127	—DIREXION SHS ETF TR	14,000	$601K	0.08%	Put
128	QSRRESTAURANT BRANDS INTL INC	15,000	$583K	0.08%	Call
129	QUADQUAD / GRAPHICS INC COM	43,200	$559K	0.08%	Put
130	TJXTJX COS INC NEW	7,043	$552K	0.08%
131	—TALMER BANCORP INC	30,375	$549K	0.07%
132	KLACKLA-TENCOR CORP	7,204	$525K	0.07%
133	IBBISHARES TR	2,000	$522K	0.07%	Call
134	RRYDER SYS INC	8,000	$518K	0.07%	Put
135	—ATMEL CORP	60,000	$487K	0.07%
136	VWOVANGUARD INTL EQUITY INDEX F	14,000	$484K	0.07%	Put
137	MUMICRON TECHNOLOGY INC	45,800	$480K	0.07%
138	—APOLLO INVT CORP	79,000	$438K	0.06%
139	—ITC HLDGS CORP	10,000	$436K	0.06%
140	—DONNELLEY R R & SONS CO	26,100	$428K	0.06%	Put
141	RIORIO TINTO PLC	14,800	$418K	0.06%	Put
142	—PACIFIC SPL ACQUISITION CORP	41,200	$412K	0.06%
143	—FELCOR LODGING TR INC	50,441	$410K	0.06%
144	—DT ASIA INVTS LTD	39,473	$401K	0.05%
145	ARCCARES CAP CORP	25,000	$371K	0.05%	Call
146	JPMJPMORGAN CHASE & CO	5,900	$349K	0.05%
147	—CLAYMORE EXCHANGE TRD FD TR GUGG SHIPPNG ETF	30,000	$348K	0.05%	Put
148	—ANDINA ACQUISITION CORP II	34,802	$338K	0.05%
149	BLKCHFBLACKROCK INC	970	$330K	0.05%
150	—VALSPAR CORP	3,000	$321K	0.04%
151	—AMAYA INC	22,000	$294K	0.04%	Call
152	NXSTNEXSTAR BROADCASTING GROUP I	6,000	$266K	0.04%	Call
153	DRHDIAMONDROCK HOSPITALITY CO	25,800	$261K	0.04%
154	MGAMAGNA INTL INC	6,000	$258K	0.04%	Call
155	WCNWASTE CONNECTIONS INC	3,753	$242K	0.03%
156	WPRTWESTPORT INNOVATIONS INC	88,800	$232K	0.03%	Put
157	NWLNEWELL RUBBERMAID INC	5,000	$221K	0.03%	Put
158	—MEDIA GEN INC NEW	13,496	$220K	0.03%
159	—STAMPS COM INC	2,011	$214K	0.03%
160	—BASIC ENERGY SVCS INC NEW	75,000	$207K	0.03%	Put
161	SWN1EURSOUTHWESTERN ENERGY CO	24,100	$195K	0.03%	Put
162	—SWIFT TRANSN CO	10,000	$186K	0.03%	Call
163	—HARMONY MERGER CORP	900,000	$162K	0.02%
164	—WL ROSS HLDG CORP	255,411	$123K	0.02%
165	I9DNARBUTUS BIOPHARMA CORP	29,754	$123K	0.02%
166	CEFCENTRAL FD CDA LTD	10,106	$121K	0.02%
167	—DIREXION SHS ETF TR	32,700	$106K	0.01%	Put
168	—GP INVTS ACQUISITION COR	10,000	$99K	0.01%
169	—KLR ENERGY ACQUISITION CORP	500,000	$95K	0.01%
170	JEGBPJUST ENERGY GROUP INC	14,000	$83K	0.01%	Put
171	—TERRAPIN 3 ACQUISITION CORP	229,600	$69K	0.01%
172	—ELECTRUM SPL ACQUISITION COR	315,000	$63K	0.01%
173	—DOUBLE EAGLE ACQUISITION COR	294,917	$62K	0.01%
174	—PRIMERO MNG CORP	23,700	$43K	0.01%	Put
175	PDEURPRECISION DRILLING CORP COM 2010	10,000	$42K	0.01%	Call
176	—QUINPARIO ACQUISITION CORP 2	200,000	$42K	0.01%
177	—GP INVTS ACQUISITION COR	132,500	$36K	0.00%
178	—PACE HLDGS CORP	99,000	$30K	0.00%
179	—APPROACH RESOURCES INC	12,500	$15K	0.00%	Put

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