K2 PRINCIPAL FUND, L.P. Q3 2017 Filing

Filed November 9, 2017

Portfolio Value

$1.5B

Holdings

262

Report Date

Q3 2017

Filing Type

13F-HR

All Holdings (262 positions)

#	Stock	Shares	Value	% Portfolio	Type
101	TJXTJX COS INC NEW	40,724	$3.0M	0.20%	Put
102	—TESCO CORP	545,985	$3.0M	0.20%
103	—ATLANTIC ACQUISITION CORP	300,000	$2.9M	0.19%
104	CAKECHEESECAKE FACTORY INC	68,600	$2.9M	0.19%	Call
105	AANUSDAARONS INC	65,900	$2.9M	0.19%	Put
106	MOSMOSAIC CO NEW	132,900	$2.9M	0.19%	Put
107	—GP INVTS ACQUISITION COR	299,200	$2.8M	0.19%
108	—CAPITOL INVT CORP IV	276,000	$2.8M	0.18%
109	MGPIMGP INGREDIENTS INC NEW	46,000	$2.8M	0.18%	Put
110	—BARINGTON HILCO ACQUISITION	270,209	$2.8M	0.18%
111	—CU BANCORP CALIF	71,207	$2.8M	0.18%
112	GNRCGENERAC HLDGS INC	60,000	$2.8M	0.18%	Put
113	VVISA INC	25,000	$2.6M	0.17%	Call
114	—VWR CORP	79,201	$2.6M	0.17%
115	—ANDINA ACQUISITION CORP II	253,360	$2.6M	0.17%
116	—LANDCADIA HLDGS INC	250,000	$2.5M	0.17%
117	EFXEQUIFAX INC	23,600	$2.5M	0.17%	Put
118	LM03LIBERTY MEDIA CORP DELAWARE	58,300	$2.4M	0.16%
119	GMGENERAL MTRS CO	60,000	$2.4M	0.16%	Put
120	AAVEURADVANTAGE OIL & GAS LTD	372,662	$2.3M	0.16%
121	NKENIKE INC	45,000	$2.3M	0.15%	Call
122	MCKMCKESSON CORP	15,000	$2.3M	0.15%	Call
123	DRIDARDEN RESTAURANTS INC	29,000	$2.3M	0.15%	Call
124	EAELECTRONIC ARTS INC	19,245	$2.3M	0.15%
125	GPCGENUINE PARTS CO	23,500	$2.2M	0.15%	Call
126	LM05LIBERTY MEDIA CORP DELAWARE	60,000	$2.2M	0.14%
127	—FORESTAR GROUP INC	2,153	$2.2M	0.14%
128	DISHDISH NETWORK CORP	40,000	$2.2M	0.14%	Call
129	—PARSLEY ENERGY INC	78,700	$2.1M	0.14%	Call
130	ORLYO REILLY AUTOMOTIVE INC NEW	9,383	$2.0M	0.13%	Call
131	BDXBECTON DICKINSON & CO	10,156	$2.0M	0.13%
132	BXUSDBLACKSTONE GROUP L P	59,600	$2.0M	0.13%	Call
133	SYFSYNCHRONY FINL	62,600	$1.9M	0.13%	Call
134	ALLYALLY FINL INC	80,000	$1.9M	0.13%
135	CLRUSDCONTINENTAL RESOURCES INC	50,000	$1.9M	0.13%	Call
136	THOTHOR INDS INC	15,081	$1.9M	0.13%
137	LGFEURLIONS GATE ENTMNT CORP	55,698	$1.9M	0.12%
138	—TURKISH INVT FD INC	204,450	$1.9M	0.12%
139	—HORIZON PHARMA INVT LTD	2,000	$1.8M	0.12%
140	WMTWAL-MART STORES INC	23,200	$1.8M	0.12%
141	—M III ACQUISITION CORP	184,500	$1.8M	0.12%
142	LTRPAUSDLIBERTY TRIPADVISOR HLDGS IN	146,211	$1.8M	0.12%
143	OIBR/USDOI S A	230,856	$1.8M	0.12%
144	—AKORN INC	54,100	$1.8M	0.12%	Put
145	BBBLACKBERRY LTD	159,400	$1.8M	0.12%	Put
146	CFCF INDS HLDGS INC	50,000	$1.8M	0.12%	Put
147	TTWOTAKE-TWO INTERACTIVE SOFTWAR	16,903	$1.7M	0.11%
148	CLGXCORELOGIC INC	37,200	$1.7M	0.11%	Put
149	—WGL HLDGS INC	20,000	$1.7M	0.11%	Put
150	WFCWELLS FARGO CO NEW	30,000	$1.7M	0.11%
151	WRUSDWESTAR ENERGY INC	32,676	$1.6M	0.11%
152	—DOUBLE EAGLE ACQUISITION COR	156,067	$1.6M	0.10%
153	ENBENBRIDGE INC	37,391	$1.6M	0.10%
154	I9DNARBUTUS BIOPHARMA CORP	250,015	$1.6M	0.10%
155	—HRG GROUP INC	99,224	$1.5M	0.10%
156	—XL GROUP LTD	38,000	$1.5M	0.10%	Put
157	UTXZUNITED TECHNOLOGIES CORP	12,900	$1.5M	0.10%	Put
158	BRK/BBERKSHIRE HATHAWAY INC DEL	8,138	$1.5M	0.10%
159	MERCMERCER INTL INC	125,268	$1.5M	0.10%
160	EQTEQT CORP	22,200	$1.4M	0.10%	Put
161	GSTEURGASTAR EXPL INC NEW	1,642,717	$1.4M	0.10%
162	ECECOPETROL S A	145,700	$1.4M	0.09%	Put
163	AMZNAMAZON COM INC	1,396	$1.3M	0.09%
164	TRITHOMSON REUTERS CORP	29,200	$1.3M	0.09%
165	—NUMEREX CORP PA	351,730	$1.3M	0.09%
166	—ENTERCOM COMMUNICATIONS CORP	116,116	$1.3M	0.09%
167	—NEFF CORP	52,600	$1.3M	0.09%
168	—VECTREN CORP	19,700	$1.3M	0.09%	Call
169	FOXATWENTY FIRST CENTY FOX INC	50,000	$1.3M	0.09%
170	—COLONY NORTHSTAR INC	99,919	$1.3M	0.08%
171	BATRAUSDLIBERTY MEDIA CORP DELAWARE	49,480	$1.3M	0.08%
172	BMTABRITISH AMERN TOB PLC	20,000	$1.2M	0.08%
173	SRGSERITAGE GROWTH PPTYS	25,603	$1.2M	0.08%	Put
174	—SUN BANCORP INC	47,325	$1.2M	0.08%
175	UNPUNION PAC CORP	10,000	$1.2M	0.08%	Put
176	WTTRSELECT ENERGY SVCS INC	69,771	$1.1M	0.07%
177	HRLHORMEL FOODS CORP	33,701	$1.1M	0.07%
178	—VANTAGE ENERGY ACQUISITION	833,333	$1.1M	0.07%
179	NWSNEWS CORP NEW	76,981	$1.1M	0.07%
180	—HORIZON PHARMA PLC	82,500	$1.0M	0.07%	Put
181	—ROSEHILL RES INC	1,164,548	$1.0M	0.07%
182	AYXEURALTERYX INC	50,000	$1.0M	0.07%
183	CZREURCAESARS ENTMT CORP	75,300	$1.0M	0.07%	Put
184	NESRNATIONAL ENERGY SERVICES REU	2,000,000	$1.0M	0.07%
185	VALEVALE S A	106,846	$999K	0.07%
186	—SOUTHWEST BANCORP INC OKLA	35,000	$964K	0.06%
187	—DIMENSION THERAPEUTICS INC	160,000	$960K	0.06%
188	—HSN INC	23,617	$922K	0.06%
189	RDNTRADNET INC	78,000	$901K	0.06%	Put
190	—STRAIGHT PATH COMMUNICATNS I	4,823	$871K	0.06%
191	—CAPITAL BK FINL CORP	21,142	$868K	0.06%
192	BABAALIBABA GROUP HLDG LTD	5,000	$864K	0.06%	Put
193	—ADVISORY BRD CO	15,805	$848K	0.06%
194	—FIRST SOUTH BANCORP INC VA	42,966	$796K	0.05%
195	—TPG PACE ENERGY HLDGS CORP	583,333	$776K	0.05%
196	ENPHENPHASE ENERGY INC	506,570	$770K	0.05%
197	HEIHEICO CORP NEW	10,085	$768K	0.05%
198	—YRC WORLDWIDE INC	55,000	$759K	0.05%	Put
199	—EDGEWATER TECHNOLOGY INC	106,427	$694K	0.05%
200	—ORIGO ACQUISITION CORP	62,108	$658K	0.04%

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