K2 PRINCIPAL FUND, L.P. Q1 2021 Filing

Filed May 14, 2021

Portfolio Value

$1.3B

Holdings

276

Report Date

Q1 2021

Filing Type

13F-HR

All Holdings (276 positions)

#	Stock	Shares	Value	% Portfolio	Type
101	BAXBAXTER INTL INC	40,000	$3.4M	0.27%	Call
102	INTCINTEL CORP	50,000	$3.2M	0.25%	Call
103	—TUSCAN HLDGS CORP II	312,362	$3.2M	0.25%
104	—CHARDAN HEALTHCR ACQSTN 2 CO	313,443	$3.1M	0.25%
105	—FORTUNA SILVER MINES INC	2,139	$3.1M	0.25%
106	—CAPITOL INVESTMENT CORP V	304,137	$3.1M	0.24%
107	—ESM ACQUISITION CORPORATION	300,000	$3.0M	0.24%
108	—AF ACQUISITION CORP	300,000	$3.0M	0.23%
109	—SEACOR HOLDINGS INC	2,960	$2.9M	0.23%
110	—SCORPIO TANKERS INC	2,900	$2.9M	0.23%
111	CBBCINCINNATI BELL INC NEW	186,526	$2.9M	0.23%
112	—INSU ACQUISITION CORP III	287,167	$2.9M	0.23%
113	XLESELECT SECTOR SPDR TR	56,000	$2.7M	0.22%	Call
114	—HENNESSY CAPITAL INVS CORP V	279,862	$2.7M	0.22%
115	—CRH MED CORP	692,086	$2.7M	0.22%
116	—GX ACQUISITION CORP	270,934	$2.7M	0.22%
117	XLNXEURXILINX INC	22,000	$2.7M	0.22%
118	WPMWHEATON PRECIOUS METALS CORP	70,000	$2.7M	0.21%
119	MDBMONGODB INC	10,000	$2.7M	0.21%	Call
120	EEMISHARES TR	50,000	$2.7M	0.21%	Call
121	PBFPBF ENERGY INC	180,000	$2.5M	0.20%	Call
122	CSVCARRIAGE SVCS INC	72,181	$2.5M	0.20%
123	GCMGWGCM GROSVENOR INC	2,162,099	$2.5M	0.20%
124	—FTAC PARNASSUS ACQUISITN COR	250,000	$2.5M	0.20%
125	DVADAVITA INC	23,000	$2.5M	0.20%	Call
126	—TPG PACE TECH OPPORTUNITIES	250,100	$2.5M	0.20%
127	—VESPER HEALTHCARE ACQSTN COR	1,171,688	$2.4M	0.19%
128	—KLUDEIN I ACQUISITION CORP	250,000	$2.4M	0.19%
129	AYX 0.5 08/01/24ALTERYX INC	2,500	$2.4M	0.19%
130	FXIISHARES TR	50,000	$2.3M	0.18%	Call
131	—CC NEUBERGER PRINCIPAL HOLDN	231,969	$2.3M	0.18%
132	DUSTUSDDIREXION SHS ETF TR	103,366	$2.3M	0.18%
133	CITUSDCIT GROUP INC	44,789	$2.3M	0.18%
134	—ALASKA COMMUNICATIONS SYS GR	708,875	$2.3M	0.18%
135	—FAR PEAK ACQUISITION CORP	235,697	$2.3M	0.18%
136	—CF ACQUISITION CORP V	229,398	$2.3M	0.18%
137	—EAGLE BULK SHIPPING INC	2,000	$2.3M	0.18%
138	BMRNBIOMARIN PHARMACEUTICAL INC	30,000	$2.3M	0.18%	Call
139	—RMG ACQUISITION CORP II	225,438	$2.3M	0.18%
140	—SANDBRIDGE ACQUISITION CORP	223,214	$2.2M	0.17%
141	EWWISHARES INC	50,000	$2.2M	0.17%	Call
142	—ROTH CH ACQUISITION II CO	220,146	$2.2M	0.17%
143	ABBVABBVIE INC	20,000	$2.2M	0.17%	Call
144	GDXJVANECK VECTORS ETF TR	48,000	$2.2M	0.17%	Call
145	—IRONWOOD PHARMACEUTICALS INC	2,000	$2.2M	0.17%
146	NVDANVIDIA CORPORATION	4,000	$2.1M	0.17%	Call
147	—PROPTECH INVESTMENT CORP II	216,290	$2.1M	0.17%
148	GOOSCANADA GOOSE HLDGS INC	53,300	$2.1M	0.17%
149	2JEFOCUS FINL PARTNERS INC	49,200	$2.0M	0.16%	Put
150	—GORES METROPOULOS II INC	205,895	$2.0M	0.16%
151	—MDH ACQUISITION CORP	204,554	$2.0M	0.16%
152	—GALILEO ACQUISITION CORP	201,798	$2.0M	0.16%
153	GWWGRAINGER W W INC	5,000	$2.0M	0.16%	Call
154	EOSEWEOS ENERGY ENTERPRISES INC	222,231	$2.0M	0.16%
155	CLGXCORELOGIC INC	25,000	$2.0M	0.16%	Call
156	AMDADVANCED MICRO DEVICES INC	25,000	$2.0M	0.16%	Call
157	—WATFORD HLDGS LTD	56,704	$2.0M	0.16%
158	—EAST RES ACQUISITION CO	200,000	$2.0M	0.15%
159	CSXCSX CORP	20,000	$1.9M	0.15%	Put
160	—AUSTERLITZ ACQUISITION CORP	186,511	$1.9M	0.15%
161	—PERSHING SQUARE TONTINE HLDG	77,554	$1.9M	0.15%
162	—ANDINA ACQUISITION CORP III	178,883	$1.8M	0.15%
163	—ATHENE HOLDING LTD	34,348	$1.7M	0.14%
164	XLFISELECT SECTOR SPDR TR	25,000	$1.7M	0.13%	Call
165	—FAST ACQUISITION CORP II	171,080	$1.7M	0.13%
166	EWZISHARES INC	50,000	$1.7M	0.13%	Call
167	SPWHSPORTSMANS WHSE HLDGS INC	95,151	$1.6M	0.13%
168	MIC2EURMACQUARIE INFRASTRUCTURE COR	50,000	$1.6M	0.13%	Call
169	XLRESELECT SECTOR SPDR TR	40,000	$1.6M	0.12%	Call
170	—LIONHEART ACQUISITION CORP I	160,657	$1.6M	0.12%
171	GRA1EURGRACE W R & CO DEL NEW	26,100	$1.6M	0.12%	Call
172	—ACKRELL SPAC PARTNERS I CO	157,561	$1.6M	0.12%
173	—BETTER WORLD ACQUISITION COR	154,444	$1.5M	0.12%
174	PRSPPERSPECTA INC	51,662	$1.5M	0.12%
175	PLMKPLUM ACQUISITION CORP I	150,000	$1.5M	0.12%
176	—ACCELERATE ACQUISITION CORP	150,000	$1.5M	0.12%
177	—PLURALSIGHT INC	65,784	$1.5M	0.12%
178	—PIVOTAL INVESTMENT CORP III	145,660	$1.5M	0.12%
179	MDB 0.25 01/15/26MONGODB INC	1,000	$1.4M	0.11%
180	—FORUM MERGER IV CORP	142,100	$1.4M	0.11%
181	—TALEND S A	21,740	$1.4M	0.11%
182	—IGNYTE ACQUISITION CORP	143,436	$1.4M	0.11%
183	APH1EURAPHRIA INC	74,947	$1.4M	0.11%
184	BGCPEURBGC PARTNERS INC	271,661	$1.3M	0.10%
185	—SPARTACUS ACQUISITION CORP	124,687	$1.2M	0.10%
186	PRAHPRA HEALTH SCIENCES INC	8,000	$1.2M	0.10%
187	—CF ACQUISITION CORP VIII	118,600	$1.2M	0.09%
188	—CARDTRONICS PLC	27,819	$1.1M	0.09%
189	—FUSION ACQUISITION CORP II	108,227	$1.1M	0.08%
190	—LEGATO MERGER CORP	109,473	$1.1M	0.08%
191	INMDINMODE LTD	14,370	$1.0M	0.08%
192	—GREENROSE ACQUISITION CORP	103,805	$1.0M	0.08%
193	—SEAPORT GLOBAL ACQUISITN COR	102,445	$1.0M	0.08%
194	—ARES ACQUISITION CORPORATION	101,160	$1.0M	0.08%
195	—MCAP ACQUISITION CORP	100,000	$995K	0.08%
196	—PROGRESS ACQUISITION CORP	100,374	$978K	0.08%
197	—EDIFY ACQUISITION CORP	100,000	$970K	0.08%
198	GOGOGOGO INC	100,000	$966K	0.08%
199	PUCKUGOAL ACQUISITIONS CORP	96,323	$964K	0.08%
200	—TIGA ACQUISITION CORP	94,486	$949K	0.07%

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