K2 PRINCIPAL FUND, L.P. Q3 2020 Filing

Filed November 13, 2020

Portfolio Value

$668.9M

Holdings

227

Report Date

Q3 2020

Filing Type

13F-HR

All Holdings (227 positions)

#	Stock	Shares	Value	% Portfolio	Type
101	—THUNDER BRDG ACQUISTION II L	214,300	$2.2M	0.33%
102	—MOUNTAIN CREST ACQUISITION C	200,000	$2.1M	0.32%
103	—GX ACQUISITION CORP	200,000	$2.1M	0.31%
104	—NORTHERN GENESIS ACQUISITION	200,000	$2.0M	0.30%
105	—CF FIN ACQUISITION CORP	2,023,465	$2.0M	0.30%	Call
106	—LIONHEART ACQUISITION CORP I	197,916	$2.0M	0.29%
107	—PTK ACQUISITION CORP	190,800	$1.9M	0.29%
108	—ALBERTON ACQUISITION CORP	176,736	$1.9M	0.28%
109	CSIQCANADIAN SOLAR INC	54,000	$1.9M	0.28%
110	—JERNIGAN CAP INC	109,549	$1.9M	0.28%
111	EXREXTRA SPACE STORAGE INC	17,500	$1.9M	0.28%	Put
112	—PROPERTY SOLUTIONS ACQUISITI	184,100	$1.9M	0.28%
113	UAUNDER ARMOUR INC	180,000	$1.8M	0.26%
114	NBL2EURNOBLE ENERGY INC	199,112	$1.7M	0.25%
115	MATMATTEL INC	141,000	$1.6M	0.25%	Put
116	—HEALTH SCIENCES ACQ CORP 2	149,000	$1.6M	0.25%
117	SLVISHARES SILVER TR	75,000	$1.6M	0.24%	Call
118	PMTPENNYMAC MTG INVT TR	100,232	$1.6M	0.24%
119	7HPHP INC	84,800	$1.6M	0.24%	Call
120	PCGPG&E CORP	166,932	$1.6M	0.23%
121	SCHWSCHWAB CHARLES CORP	43,152	$1.6M	0.23%
122	—FALCON CAPITAL ACQUISITN COR	150,000	$1.5M	0.23%
123	—IMMUNOMEDICS INC	17,582	$1.5M	0.22%
124	—LF CAP ACQUISITION CORP	826,703	$1.5M	0.22%	Call
125	ABEVAMBEV SA	647,895	$1.5M	0.22%
126	ACMAECOM	35,000	$1.5M	0.22%	Call
127	—VIVINT SOLAR INC	34,004	$1.4M	0.22%
128	—JUST ENERGY GROUP INC	197,092	$1.4M	0.20%
129	CRMSALESFORCE COM INC	5,000	$1.3M	0.19%
130	WTWWILLIS TOWERS WATSON PLC LTD	6,000	$1.3M	0.19%
131	—ARCLIGHT CLEAN TRANSITION CO	123,768	$1.2M	0.19%
132	AAWWUSDATLAS AIR WORLDWIDE HLDGS IN	20,000	$1.2M	0.18%	Put
133	AJRDEURAEROJET ROCKETDYNE HLDGS INC	30,000	$1.2M	0.18%	Put
134	—MGM GROWTH PPTYS LLC	40,008	$1.1M	0.17%
135	—AKCEA THERAPEUTICS INC	58,853	$1.1M	0.16%
136	—CM LIFE SCIENCES INC	100,000	$1.0M	0.16%
137	—OAKTREE ACQUISITION CORP II	100,000	$1.0M	0.15%
138	—NEWHOLD INVESTMENT CORP	102,093	$1.0M	0.15%
139	—TUSCAN HLDGS CORP	2,024,048	$1.0M	0.15%	Call
140	—VESPER HEALTHCARE ACQSTN COR	100,000	$1.0M	0.15%
141	CBBCINCINNATI BELL INC NEW	66,158	$992K	0.15%
142	SLABSILICON LABORATORIES INC	10,000	$979K	0.15%	Call
143	GDXVANECK VECTORS ETF TR	25,000	$979K	0.15%	Put
144	CAHCARDINAL HEALTH INC	20,100	$944K	0.14%	Call
145	BGCPEURBGC PARTNERS INC	389,773	$935K	0.14%
146	—SCVX CORP	83,716	$900K	0.13%
147	PDEURPRECISION DRILLING CORP	1,067,000	$886K	0.13%
148	UUNITY SOFTWARE INC	10,000	$873K	0.13%
149	VAREURVARIAN MED SYS INC	5,000	$860K	0.13%
150	—MEDICENNA THERAPEUTICS CORP	158,845	$857K	0.13%
151	ANABANAPTYSBIO INC	57,721	$851K	0.13%
152	—HUDSON LTD	111,857	$850K	0.13%
153	JETSETF SER SOLUTIONS	50,000	$845K	0.13%	Put
154	—8I ENTERPRISES ACQUISITION C	93,343	$840K	0.13%
155	—TORTOISE ACQUISITION CORP II	75,000	$816K	0.12%
156	—BARCLAYS BANK PLC	32,750	$815K	0.12%
157	—AMCI ACQUISITION CORP	1,174,964	$799K	0.12%	Call
158	LEUCENTRUS ENERGY CORP	95,139	$796K	0.12%
159	DVNDEVON ENERGY CORP NEW	81,008	$766K	0.11%
160	ZBHZIMMER BIOMET HOLDINGS INC	5,500	$749K	0.11%
161	DSEURDRIVE SHACK INC	631,691	$707K	0.11%
162	MMSIMERIT MED SYS INC	15,972	$695K	0.10%
163	—ANDINA ACQUISITION CORP III	66,666	$683K	0.10%
164	HYGISHARES TR	8,000	$671K	0.10%	Call
165	NMRKNEWMARK GROUP INC	154,851	$669K	0.10%
166	—MOMENTA PHARMACEUTICALS INC	12,500	$656K	0.10%
167	—FORTRESS VALUE ACQUISITION I	63,132	$650K	0.10%
168	GOTUGSX TECHEDU INC	7,200	$649K	0.10%	Put
169	BWABORGWARNER INC	16,713	$647K	0.10%
170	—GORES HLDGS V INC	60,000	$621K	0.09%
171	—AIMMUNE THERAPEUTICS INC	17,952	$618K	0.09%
172	—THUNDER BRDG ACQUISTION II L	58,201	$617K	0.09%
173	—BROOGE ENERGY LTD	1,234,189	$617K	0.09%	Call
174	—THUNDER BRDG ACQUISTION II L	438,200	$592K	0.09%	Call
175	—ACON S2 ACQUISITION CORP	58,933	$591K	0.09%
176	—REINVENT TECHNOLOGY PARTNERS	50,000	$574K	0.09%
177	—TRIDENT ACQUISITIONS CORP	51,703	$565K	0.08%
178	ABXBARRICK GOLD CORP	20,000	$562K	0.08%	Put
179	—SOUTH MTN MERGER CORP	394,372	$552K	0.08%	Call
180	—US ECOLOGY INC	111,720	$544K	0.08%	Call
181	—ROSETTA STONE INC	17,971	$539K	0.08%
182	—B RILEY PRIN MERGER CORP II	382,068	$516K	0.08%	Call
183	—CITIC CAPITAL ACQUISITION CO	46,130	$472K	0.07%
184	BENFRANKLIN RESOURCES INC	23,000	$468K	0.07%	Call
185	—HENNESSY CAP ACQUSTION CORP	197,980	$457K	0.07%	Call
186	—CONDOR HOSPITALITY TR INC	161,257	$422K	0.06%
187	—GX ACQUISITION CORP	261,200	$418K	0.06%	Call
188	CSVCARRIAGE SVCS INC	18,147	$405K	0.06%
189	—SC HEALTH CORP	388,350	$388K	0.06%	Call
190	CCLCARNIVAL CORP	25,000	$380K	0.06%	Call
191	—8I ENTERPRISES ACQUISITION C	417,164	$355K	0.05%	Call
192	CNKCINEMARK HLDGS INC	33,128	$331K	0.05%
193	—SCVX CORP	213,800	$321K	0.05%	Call
194	PHGEBIOMX INC	429,156	$305K	0.05%	Call
195	—SC HEALTH CORP	27,300	$288K	0.04%
196	SWN1EURSOUTHWESTERN ENERGY CO	122,157	$287K	0.04%
197	BLUBELLUS HEALTH INC NEW	116,470	$264K	0.04%
198	—TUSCAN HLDGS CORP II	584,556	$263K	0.04%	Call
199	—CHURCHILL CAP CORP II	117,718	$257K	0.04%	Call
200	—NETFIN ACQUISITION CORP	176,806	$232K	0.03%	Call

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