K2 PRINCIPAL FUND, L.P. Q2 2020 Filing

Filed August 13, 2020

Portfolio Value

$629.2M

Holdings

226

Report Date

Q2 2020

Filing Type

13F-HR

All Holdings (226 positions)

#	Stock	Shares	Value	% Portfolio	Type
101	AEMAGNICO EAGLE MINES LTD	25,000	$1.6M	0.25%	Call
102	JCIJOHNSON CTLS INTL PLC	46,800	$1.6M	0.25%	Call
103	—ALIO GOLD INC	925,200	$1.6M	0.25%
104	MMM3M CO	10,119	$1.6M	0.25%	Put
105	HHC*HOWARD HUGHES CORP	29,600	$1.5M	0.24%
106	—THUNDER BRDG ACQUISTION II L	150,800	$1.5M	0.24%
107	SHAKSHAKE SHACK INC	28,000	$1.5M	0.24%	Put
108	MSFTMICROSOFT CORP	7,265	$1.5M	0.24%
109	UFSDOMTAR CORP	70,000	$1.5M	0.23%	Put
110	IGVISHARES TR	5,000	$1.4M	0.23%	Put
111	USOUNITED STS OIL FD LP	50,000	$1.4M	0.22%	Call
112	—TORTOISE ACQUISITION CORP	128,354	$1.4M	0.22%	Call
113	—MGM GROWTH PPTYS LLC	50,601	$1.4M	0.22%
114	METAFACEBOOK INC	6,000	$1.4M	0.22%	Call
115	BKIEURBLACK KNIGHT INC	18,500	$1.3M	0.21%	Put
116	—MEET GROUP INC	212,419	$1.3M	0.21%
117	SIL1EURSILVERCREST METALS INC	100,000	$1.2M	0.20%
118	NOCNORTHROP GRUMMAN CORP	4,000	$1.2M	0.20%	Call
119	—SEACOR HOLDINGS INC	1,425	$1.2M	0.19%
120	—FRONT YD RESIDENTIAL CORP	138,826	$1.2M	0.19%	Call
121	—BRILLIANT ACQUISITION CORP	120,100	$1.2M	0.19%
122	INGING GROEP N.V.	164,700	$1.1M	0.18%	Call
123	—TUSCAN HOLDINGS CORP	1,803,555	$1.1M	0.17%	Call
124	—NETFIN ACQUISITION CORP	635,914	$1.1M	0.17%	Call
125	—GORES METROPOULOS INC	97,573	$1.0M	0.17%
126	—SPARTAN ENERGY ACQUISITION C	93,947	$1.0M	0.16%
127	ADMARCHER DANIELS MIDLAND CO	25,000	$998K	0.16%	Put
128	PCGPG&E CORP	110,000	$976K	0.16%
129	—B RILEY PRIN MERGER CORP II	548,005	$959K	0.15%	Call
130	BWABORGWARNER INC	26,918	$950K	0.15%
131	LMEURLEGG MASON INC	18,677	$929K	0.15%
132	CAHCARDINAL HEALTH INC	17,757	$927K	0.15%
133	—NEWBORN ACQUISITION CORP	90,095	$915K	0.15%
134	PDEURPRECISION DRILLING CORP	867,000	$893K	0.14%
135	NMRKNEWMARK GROUP INC	182,602	$887K	0.14%
136	—SCVX CORP	83,716	$867K	0.14%
137	JETSETF SER SOLUTIONS	50,000	$833K	0.13%	Put
138	MMSIMERIT MED SYS INC	17,100	$781K	0.12%
139	—FINTECH ACQUISITION CORP III	329,586	$758K	0.12%	Call
140	BENFRANKLIN RESOURCES INC	36,000	$755K	0.12%	Call
141	—AMCI ACQUISITION CORP	1,260,749	$690K	0.11%	Call
142	—ANDINA ACQUISITION CORP III	66,666	$684K	0.11%
143	—INSURANCE ACQUISITION CORP	187,605	$683K	0.11%	Call
144	RIORIO TINTO PLC	12,000	$674K	0.11%	Call
145	WGOWINNEBAGO INDS INC	10,000	$666K	0.11%	Put
146	MTAMETALLA RTY & STREAMING LTD	90,000	$650K	0.10%
147	MUMICRON TECHNOLOGY INC	12,500	$644K	0.10%
148	—HENNESSY CAP ACQUSTION CORP	584,780	$643K	0.10%	Call
149	MISTMILESTONE PHARMACEUTICALS IN	169,730	$642K	0.10%
150	STNGSCORPIO TANKERS INC	50,000	$641K	0.10%	Put
151	—THUNDER BRDG ACQUISTION II L	58,201	$611K	0.10%
152	—BROOGE ENERGY LTD	1,246,024	$611K	0.10%	Call
153	—THUNDER BRDG ACQUISTION II L	421,900	$608K	0.10%	Call
154	SSRMSSR MNG INC	20,000	$579K	0.09%	Call
155	SPMEURAMERICAS GOLD AND SILVER COR	160,000	$566K	0.09%
156	HBMHUDBAY MINERALS INC	135,600	$557K	0.09%
157	—SOCIAL CAP HEDSPIA HLDG CO I	184,328	$553K	0.09%	Call
158	—HUDSON EXECUTIVE INVT CORP	53,041	$544K	0.09%
159	GOTUGSX TECHEDU INC	9,000	$540K	0.09%	Put
160	—TRIDENT ACQUISITIONS CORP	49,048	$537K	0.09%
161	—US ECOLOGY INC	111,720	$531K	0.08%	Call
162	—ARYA SCIENCES ACQUISTION CO	45,000	$522K	0.08%
163	AGFIRST MAJESTIC SILVER CORP	50,000	$498K	0.08%	Call
164	—PIVOTAL INVT CORP II	630,531	$498K	0.08%	Call
165	BRK/BBERKSHIRE HATHAWAY INC DEL	2,700	$482K	0.08%
166	—CITIC CAPITAL ACQUISITION CO	46,130	$464K	0.07%
167	—SIRIUS INTERNATIONAL INSURAN	60,205	$418K	0.07%
168	—SC HEALTH CORP	386,650	$418K	0.07%	Call
169	KNXKNIGHT SWIFT TRANSN HLDGS IN	10,000	$417K	0.07%
170	VACMARRIOTT VACTINS WORLDWID CO	5,000	$411K	0.07%	Call
171	CCLCARNIVAL CORP	25,000	$411K	0.07%	Call
172	—BARCLAYS BK PLC	12,000	$407K	0.06%
173	—SPARTAN ENERGY ACQUISITION C	224,382	$404K	0.06%	Call
174	GOOSCANADA GOOSE HLDGS INC	17,000	$394K	0.06%	Call
175	WTWWILLIS TOWERS WATSON PLC LTD	2,000	$394K	0.06%
176	—GX ACQUISITION CORP	350,000	$385K	0.06%	Call
177	CBBCINCINNATI BELL INC NEW	25,134	$373K	0.06%
178	—CHURCHILL CAP CORP III	119,569	$359K	0.06%	Call
179	NESRNATIONAL ENERGY SERVICES REU	649,181	$357K	0.06%	Call
180	—BROOKFIELD PROPERTY PARTRS L	34,600	$342K	0.05%	Call
181	PLAYDAVE & BUSTERS ENTMT INC	25,000	$333K	0.05%	Call
182	—TUSCAN HLDGS CORP II	584,556	$316K	0.05%	Call
183	LBRDKLIBERTY BROADBAND CORP	2,471	$306K	0.05%
184	TJXTJX COS INC NEW	42,618	$304K	0.05%
185	—SC HEALTH CORP	27,300	$284K	0.05%
186	BTCTMETEN EDTECHX ED GROUP LTD	473,053	$265K	0.04%	Call
187	—PURE ACQUISITION CORP	25,184	$265K	0.04%
188	LPZBLIGHTPATH TECHNOLOGIES INC	78,396	$262K	0.04%
189	—LF CAP ACQUISITION CORP	277,305	$250K	0.04%	Call
190	—SCVX CORP	213,800	$222K	0.04%	Call
191	PHGEBIOMX INC	455,167	$218K	0.03%	Call
192	—ALBERTON ACQUISITION CORP	768,739	$200K	0.03%	Call
193	—GIGCAPITAL2 INC	400,000	$198K	0.03%	Call
194	—APEX TECHNOLOGY ACQUISITION	114,000	$194K	0.03%	Call
195	—TRINE ACQUISITION CORP	119,550	$185K	0.03%	Call
196	BMY-RBRISTOL-MYERS SQUIBB CO	50,300	$180K	0.03%
197	—BIG ROCK PARTNERS ACQUISI CO	632,995	$177K	0.03%	Call
198	—LONGEVITY ACQUISITION CORP	833,746	$167K	0.03%	Call
199	GOGOGOGO INC	51,500	$163K	0.03%	Put
200	—8I ENTERPRISES ACQUISITION C	492,715	$161K	0.03%	Call

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