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
201	—NOVELION THERAPEUTICS INC	89,900	$632K	0.04%	Put
202	SHLDEURSEARS HLDGS CORP	86,500	$631K	0.04%	Put
203	—GNC HLDGS INC	70,128	$620K	0.04%
204	—IXYS CORP	26,013	$617K	0.04%
205	—TPG PACE HLDGS CORP	400,000	$580K	0.04%
206	—GRAN TIERRA ENERGY INC	236,100	$538K	0.04%	Put
207	LBTYBLIBERTY GLOBAL PLC	16,205	$530K	0.04%
208	—ASTORIA FINL CORP	24,222	$521K	0.03%
209	ODPEUROFFICE DEPOT INC	113,600	$515K	0.03%	Put
210	—GREENHILL & CO INC	30,000	$498K	0.03%
211	—KAYNE ANDERSON ACQUISITION	658,866	$494K	0.03%
212	—ELLIE MAE INC	6,000	$493K	0.03%	Put
213	—HENNESSY CAP ACQUSTON CORP I	675,000	$493K	0.03%
214	—EXA CORP	20,316	$491K	0.03%
215	XENEXENON PHARMACEUTICALS INC	164,510	$485K	0.03%
216	—HAWAIIAN TELCOM HOLDCO INC	15,819	$472K	0.03%
217	AXTAAXALTA COATING SYS LTD	16,300	$471K	0.03%
218	CLSEURCELESTICA INC	36,000	$446K	0.03%
219	—CF CORP	210,500	$444K	0.03%
220	SNAPSNAP INC	30,000	$436K	0.03%	Call
221	SEASEABRIDGE GOLD INC	34,200	$417K	0.03%	Put
222	—WEST CORP	16,607	$390K	0.03%
223	—HOSTESS BRANDS INC	180,000	$367K	0.02%
224	TXRHTEXAS ROADHOUSE INC	7,000	$344K	0.02%	Put
225	TRCOTRIBUNE MEDIA CO	8,324	$340K	0.02%
226	—STELLAR ACQUISITION III INC	32,000	$325K	0.02%
227	DHRB & G FOODS INC NEW	10,000	$319K	0.02%	Put
228	—FINTECH ACQUISITION CORP II	250,000	$310K	0.02%
229	—GORES HLDGS II INC	216,666	$308K	0.02%
230	—PENSARE ACQUISITION CORP	611,900	$306K	0.02%
231	—SILVER RUN ACQUISITION	186,666	$284K	0.02%
232	NAKNORTHERN DYNASTY MINERALS LT	150,400	$271K	0.02%	Put
233	—SABAN CAP ACQUISITION CORP	225,000	$266K	0.02%
234	BYDBOYD GAMING CORP	9,505	$248K	0.02%
235	LBTYBLIBERTY GLOBAL PLC	10,600	$247K	0.02%
236	—ACTUA CORP	15,760	$241K	0.02%
237	—YUME INC	50,000	$232K	0.02%
238	AUPHAURINIA PHARMACEUTICALS INC	36,900	$231K	0.02%	Put
239	—MODERN MEDIA ACQUISITION	660,672	$225K	0.01%
240	PANLPANGAEA LOGISTICS SOLUTION L	91,075	$224K	0.01%
241	BF/BBROWN FORMAN CORP	4,065	$221K	0.01%
242	BLBDBLUE BIRD CORP	10,415	$215K	0.01%
243	—DOUBLE EAGLE ACQUISITION COR	295,700	$204K	0.01%
244	PVG1EURPRETIUM RES INC	21,922	$203K	0.01%	Call
245	—MODERN MEDIA ACQUISITION	349,600	$189K	0.01%
246	—LANDCADIA HLDGS INC	250,000	$178K	0.01%
247	—CONSTELLATION ALPHA CAP CORP	675,000	$155K	0.01%
248	—FORUM MERGER CORP	492,900	$153K	0.01%
249	—GTY TECHNOLOGY HOLDINGS INC	125,753	$147K	0.01%
250	—NEXTDECADE CORP	158,592	$147K	0.01%
251	—AVISTA HEALTHCARE PUB ACQ CO	350,000	$140K	0.01%
252	—M I ACQUISITIONS INC	400,000	$138K	0.01%
253	—SIMPLY GOOD FOODS CO	50,000	$119K	0.01%
254	—NEXEO SOLUTIONS INC	248,817	$109K	0.01%
255	—FORUM MERGER CORP	390,600	$105K	0.01%
256	—M III ACQUISITION CORP	179,500	$97K	0.01%
257	—KBL MERGER CORP IV	508,600	$87K	0.01%
258	—ATLANTIC ACQUISITION CORP	141,950	$78K	0.01%
259	—MATLIN & PARTNERS ACQUISITIO	195,100	$68K	0.00%
260	—ELECTRUM SPL ACQUISITION COR	143,202	$46K	0.00%
261	—BISON CAP ACQUISITION CORP	92,200	$31K	0.00%
262	—STELLAR ACQUISITION III INC	32,000	$12K	0.00%

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