K2 PRINCIPAL FUND, L.P. Q1 2019 Filing

Filed May 14, 2019

Portfolio Value

$784.7M

Holdings

261

Report Date

Q1 2019

Filing Type

13F-HR

All Holdings (261 positions)

#	Stock	Shares	Value	% Portfolio	Type
101	—GS ACQUISITION HLDGS CORP	248,036	$2.5M	0.32%
102	VALEVALE S A	190,000	$2.5M	0.32%	Put
103	—MONOCLE ACQUISITION CORP	250,000	$2.5M	0.31%
104	AVAAVISTA CORP	60,000	$2.4M	0.31%
105	7SUSUMMIT MATLS INC	152,001	$2.4M	0.31%	Call
106	CICIGNA CORP NEW	15,000	$2.4M	0.31%	Call
107	CARSCARS COM INC	102,121	$2.3M	0.30%
108	—CM SEVEN STAR ACQUISITION CO	217,700	$2.3M	0.29%
109	—FAR PT ACQUISITION CORP	225,369	$2.2M	0.29%
110	—MOSAIC ACQUISITION CORP	217,300	$2.2M	0.29%
111	—THUNDER BRIDGE ACQUISITION L	206,500	$2.2M	0.28%
112	FDCFIRST DATA CORP NEW	84,106	$2.2M	0.28%
113	—ETF MANAGERS TR	60,000	$2.2M	0.28%	Put
114	—SILICON LABORATORIES INC	2,000	$2.2M	0.28%
115	ZGZILLOW GROUP INC	62,792	$2.1M	0.27%
116	—REGALWOOD GLOBAL ENERGY LTD	207,742	$2.1M	0.27%
117	—DANAHER CORPORATION	2,000	$2.1M	0.27%
118	—LEISURE ACQUISITION CORP	210,000	$2.1M	0.27%
119	SENS 5.25 02/01/23SENSEONICS HLDGS INC	2,000	$2.1M	0.27%
120	CENTACENTRAL GARDEN & PET CO	90,183	$2.1M	0.27%
121	CECOCECO ENVIRONMENTAL CORP	283,296	$2.0M	0.26%
122	—LONGEVITY ACQUISITION CORP	200,000	$2.0M	0.26%
123	—CYPRESS SEMICONDUCTOR CORP	135,000	$2.0M	0.26%	Call
124	—8I ENTERPRISES ACQUISITIN CO	200,000	$2.0M	0.26%
125	—BIG ROCK PARTNERS ACQUISI CO	193,091	$2.0M	0.25%
126	—UQM TECHNOLOGIES INC	1,203,100	$2.0M	0.25%
127	BF/ABROWN FORMAN CORP	38,538	$2.0M	0.25%
128	—BELMOND LTD	78,686	$2.0M	0.25%
129	—JENSYN ACQUISITION CORP	178,395	$2.0M	0.25%
130	ISCAUSDINTERNATIONAL SPEEDWAY CORP	44,947	$2.0M	0.25%
131	—ONE MADISON CORP	181,866	$1.9M	0.25%
132	—GREENLAND ACQUISITIN CORPORA	175,964	$1.8M	0.23%
133	—MAXWELL TECHNOLOGIES INC	410,000	$1.8M	0.23%	Call
134	QUADQUAD / GRAPHICS INC	151,990	$1.8M	0.23%
135	MXMAGNACHIP SEMICONDUCTOR CORP	240,000	$1.8M	0.23%
136	—OAKTREE CAP GROUP LLC	35,405	$1.8M	0.22%
137	LENLENNAR CORP	35,722	$1.8M	0.22%
138	—MUDRICK CAP ACQUISITION CORP	166,594	$1.7M	0.21%
139	—BLUEGREEN VACATIONS CORP	113,000	$1.7M	0.21%
140	—CAPITOL INVT CORP IV	164,513	$1.7M	0.21%
141	XLNXEURXILINX INC	12,500	$1.6M	0.20%	Put
142	—PERSHING GOLD CORP	1,348,790	$1.6M	0.20%
143	OSVEURVANECK VECTORS ETF TR	90,500	$1.6M	0.20%
144	AMDADVANCED MICRO DEVICES INC	60,000	$1.5M	0.20%	Call
145	—RMG ACQUISITION CORP	150,000	$1.5M	0.19%
146	IYTISHARES TR	8,000	$1.5M	0.19%	Call
147	—PURE ACQUISITION CORP	1,371,863	$1.5M	0.19%	Call
148	—GIGCAPITAL INC	145,887	$1.5M	0.19%
149	—TWITTER INC	1,500	$1.5M	0.19%
150	—POINTER TELOCATION LTD	94,001	$1.5M	0.19%
151	—LEGACY ACQUISITION CORP	145,000	$1.5M	0.19%
152	XLUSELECT SECTOR SPDR TR	25,000	$1.5M	0.19%	Put
153	—MELLANOX TECHNOLOGIES LTD	12,000	$1.4M	0.18%
154	TSLATESLA INC	5,000	$1.4M	0.18%	Put
155	—SUNTRUST BKS INC	23,403	$1.4M	0.18%
156	SIL1EURSILVERCREST METALS INC	418,061	$1.4M	0.17%
157	AELUSDAMERICAN EQTY INVT LIFE HLD	50,000	$1.4M	0.17%	Call
158	ABXBARRICK GOLD CORPORATION	96,999	$1.3M	0.17%	Call
159	CCLCARNIVAL CORP	25,000	$1.3M	0.16%	Put
160	—WEALTHBRIDGE ACQUISITION LTD	125,000	$1.3M	0.16%
161	—TKK SYMPHONY ACQUISITION COR	125,000	$1.2M	0.16%
162	—ROWAN COMPANIES PLC	109,087	$1.2M	0.15%
163	IAIISHARES TR	20,000	$1.2M	0.15%	Put
164	PACBPACIFIC BIOSCIENCES CALIF IN	161,697	$1.2M	0.15%
165	—LEO HOLDINGS CORP	115,727	$1.2M	0.15%
166	NWSNEWS CORP NEW	91,568	$1.1M	0.15%
167	SWCHFSIERRA WIRELESS INC	90,200	$1.1M	0.14%	Put
168	—ALITHYA GROUP INC	346,677	$1.1M	0.14%
169	BHPBHP GROUP LTD	20,000	$1.1M	0.14%	Put
170	BGCPEURBGC PARTNERS INC	200,000	$1.1M	0.14%
171	—GS ACQUISITION HLDGS CORP	100,000	$1.0M	0.13%
172	AYXEURALTERYX INC	12,500	$1.0M	0.13%	Call
173	—PURE ACQUISITION CORP	102,543	$1.0M	0.13%
174	—TRINITY MERGER CORP	100,100	$1.0M	0.13%
175	—PIVOTAL ACQUISITION CORP	100,000	$1.0M	0.13%
176	—DIAMONDPEAK HLDGS COR	100,000	$1.0M	0.13%
177	GIB/ACGI INC	14,550	$1.0M	0.13%
178	NESRNATIONAL ENERGY SERVICES REU	863,981	$985K	0.13%	Call
179	—FINTECH ACQUISITION CORP III	100,000	$975K	0.12%
180	BMYBRISTOL MYERS SQUIBB CO	20,000	$954K	0.12%	Call
181	—TWELVE SEAS INVESTMENT COMPA	88,800	$928K	0.12%
182	—IMMUNE DESIGN CORP	158,255	$926K	0.12%
183	TOLTOLL BROTHERS INC	25,400	$919K	0.12%
184	WCNWASTE CONNECTIONS INC	10,000	$886K	0.11%	Put
185	—NIGHTSTAR THERAPEUTICS PLC	34,275	$870K	0.11%
186	BATRKUSDLIBERTY MEDIA CORP DELAWARE	31,263	$868K	0.11%
187	IIPRINNOVATIVE INDL PPTYS INC	10,200	$833K	0.11%	Call
188	PHMPULTE GROUP INC	27,500	$769K	0.10%
189	—THUNDER BRIDGE ACQUISITION L	75,000	$765K	0.10%
190	—SABAN CAP ACQUISITION CORP	74,215	$763K	0.10%
191	VNOMVIPER ENERGY PARTNERS LP	23,002	$763K	0.10%
192	—TENZING ACQUISITION CORP	75,000	$755K	0.10%
193	—LF CAP ACQUISITION CORP	75,000	$754K	0.10%
194	—ALBERTON ACQUISITION CORP	75,000	$746K	0.10%
195	—FORUM MERGER II CORP	75,000	$743K	0.09%
196	LSCCLATTICE SEMICONDUCTOR CORP	61,196	$730K	0.09%
197	SATSECHOSTAR CORP	20,000	$729K	0.09%	Put
198	—BLUE HILLS BANCORP INC	29,807	$712K	0.09%
199	—ROSEHILL RES INC	195,714	$599K	0.08%
200	VRNSVARONIS SYS INC	10,000	$596K	0.08%

PreviousPage 2 of 3Next