K2 PRINCIPAL FUND, L.P. Q4 2018 Filing

Filed February 13, 2019

Portfolio Value

$659.3M

Holdings

253

Report Date

Q4 2018

Filing Type

13F-HR

All Holdings (253 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	—ORGANOGENESIS HLDGS INC	1,713,127	$360.0M	54.60%
2	—NEXEO SOLUTIONS INC	749,911	$300.0M	45.50%
3	—ROSEHILL RES INC	864,548	$280.0M	42.47%
4	—CM SEVEN STAR ACQUISITION CO	574,454	$213.0M	32.31%
5	—VANTAGE ENERGY ACQUISITION	402,174	$189.0M	28.67%
6	—SMAAASH ENTERTAINMENT INC	795,144	$138.0M	20.93%
7	—PENSARE ACQUISITION CORP	673,401	$135.0M	20.48%
8	—CM SEVEN STAR ACQUISITION CO	528,234	$132.0M	20.02%
9	—BIG ROCK PARTNERS ACQUISI CO	340,332	$123.0M	18.66%
10	—TRINITY MERGER CORP	299,400	$118.0M	17.90%
11	—TIBERIUS ACQUISITION CORP	200,000	$78.0M	11.83%
12	—PENSARE ACQUISITION CORP	173,586	$50.0M	7.58%
13	—GIGCAPITAL INC	164,000	$45.0M	6.83%
14	—BIG ROCK PARTNERS ACQUISI CO	101,200	$39.0M	5.92%
15	—TWELVE SEAS INVESTMENT COMPA	99,800	$35.0M	5.31%
16	—JENSYN ACQUISITION CORP	382,627	$29.0M	4.40%
17	—TWELVE SEAS INVESTMENT COMPA	95,500	$25.0M	3.79%
18	—UNION ACQUISITION CORP	57,654	$22.0M	3.34%
19	—BLACK RIDGE ACQUISITION CORP	70,500	$21.0M	3.19%
20	—UNION ACQUISITION CORP	71,245	$18.0M	2.73%
21	—JENSYN ACQUISITION CORP	130,155	$18.0M	2.73%
22	—LEGACY ACQUISITION CORP	50,000	$17.0M	2.58%
23	GOOGALPHABET INC	16,201	$16.8M	2.54%	Put
24	GOOGLALPHABET INC	12,500	$13.1M	1.98%	Put
25	—VANTAGE ENERGY ACQUISITION	1,135,018	$11.4M	1.73%
26	—FEDERAL STR ACQUISITION CORP	1,095,285	$11.1M	1.68%
27	—INTEGRATED DEVICE TECHNOLOGY	7,015	$10.8M	1.64%
28	SPGSIMON PPTY GROUP INC NEW	62,600	$10.5M	1.59%	Put
29	—SPARTAN ENERGY ACQUISITON CO	1,033,900	$10.3M	1.57%
30	—AEROJET ROCKETDYNE HLDGS INC	6,500	$9.5M	1.45%
31	—PURE ACQUISITION CORP	903,746	$9.3M	1.41%
32	—FAR PT ACQUISITION CORP	916,597	$9.2M	1.40%
33	XLKSELECT SECTOR SPDR TR	142,500	$8.8M	1.34%	Put
34	AAPLAPPLE INC	53,000	$8.4M	1.27%	Put
35	—CM SEVEN STAR ACQUISITION CO	820,287	$8.3M	1.26%
36	—ALTA MESA RES INC	107,166	$8.0M	1.21%
37	—CF FIN ACQUISITION CORP	800,000	$8.0M	1.21%
38	—TKK SYMPHONY ACQUISITION COR	50,000	$8.0M	1.21%
39	BPYPNBROOKFIELD PROPERTY REIT INC	483,892	$7.8M	1.18%
40	—DFB HEALTHCARE ACQUISTION CO	755,853	$7.6M	1.16%
41	—FINTECH ACQUISITION CORP III	750,000	$7.5M	1.14%
42	DELLDELL TECHNOLOGIES INC	148,306	$7.2M	1.10%	Put
43	—DUN & BRADSTREET CORP DEL NE	49,862	$7.1M	1.08%	Put
44	—ESTRE AMBIENTAL INC	82,168	$7.0M	1.06%
45	RSGREPUBLIC SVCS INC	93,000	$6.7M	1.02%	Put
46	IWMISHARES TR	50,000	$6.7M	1.02%	Call
47	XOPUSDSPDR SERIES TRUST	247,700	$6.6M	1.00%	Put
48	—SABAN CAP ACQUISITION CORP	650,952	$6.6M	1.00%
49	—CONSTELLATION ALPHA CAP CORP	638,903	$6.5M	0.99%
50	—HAYMAKER ACQUISITION CORP	602,310	$6.4M	0.96%
51	—VECTREN CORP	88,140	$6.3M	0.96%
52	—ATHENAHEALTH INC	44,345	$5.8M	0.89%
53	—COLLIER CREEK HOLDINGS	578,074	$5.8M	0.88%
54	—PENSARE ACQUISITION CORP	566,754	$5.7M	0.87%
55	—STATE BK FINL CORP	264,127	$5.7M	0.86%
56	SMHVANECK VECTORS ETF TR	64,900	$5.7M	0.86%	Put
57	—ZILLOW GROUP INC	5,500	$5.4M	0.82%
58	—PANDORA MEDIA INC	662,600	$5.4M	0.81%
59	MCHPMICROCHIP TECHNOLOGY INC	73,512	$5.3M	0.80%	Put
60	—CHASERG TECHNLGY ACQUISITN C	525,000	$5.2M	0.80%
61	LTRPAUSDLIBERTY TRIPADVISOR HLDGS IN	326,226	$5.2M	0.79%
62	VALEVALE S A	390,000	$5.1M	0.78%	Put
63	—MUDRICK CAP ACQUISITION CORP	11,000	$5.0M	0.76%
64	—MEGALITH FINL ACQUISITION CO	494,050	$5.0M	0.76%
65	—AMCI ACQUISITION CORP	500,000	$5.0M	0.75%
66	—LEGACY ACQUISITION CORP	488,020	$5.0M	0.75%
67	RHT1EURRED HAT INC	27,500	$4.8M	0.73%
68	UTXZUNITED TECHNOLOGIES CORP	45,053	$4.8M	0.73%	Put
69	EAELECTRONIC ARTS INC	60,000	$4.7M	0.72%	Call
70	—TRINITY MERGER CORP	449,899	$4.6M	0.70%
71	—TKK SYMPHONY ACQUISITION COR	455,759	$4.6M	0.70%
72	—GORES HOLDINGS III INC	455,546	$4.6M	0.69%
73	SIRIEURSIRIUS XM HLDGS INC	796,500	$4.5M	0.69%	Put
74	—TIBERIUS ACQUISITION CORP	445,820	$4.5M	0.69%
75	DAYCERIDIAN HCM HLDG INC	125,759	$4.3M	0.66%	Put
76	TRCOTRIBUNE MEDIA CO	94,200	$4.3M	0.65%
77	—CITRIX SYS INC	3,000	$4.3M	0.65%
78	DISCKUSDDISCOVERY INC	183,515	$4.2M	0.64%
79	—SILICON LABORATORIES INC	4,000	$4.2M	0.64%
80	—OPES ACQUISITION CORP	419,877	$4.2M	0.63%
81	FANGDIAMONDBACK ENERGY INC	44,844	$4.2M	0.63%
82	ATVIEURACTIVISION BLIZZARD INC	88,500	$4.1M	0.63%	Call
83	HEIHEICO CORP NEW	64,925	$4.1M	0.62%
84	—ARYA SCIENCES ACQUISITION CO	391,875	$4.1M	0.61%
85	—CHURCHILL CAP CORP	400,000	$4.0M	0.61%
86	—FORUM MERGER II CORP	399,600	$4.0M	0.61%
87	—ALBERTON ACQUISITION CORP	400,000	$4.0M	0.61%
88	—ASPEN INSURANCE HOLDINGS LTD	94,326	$4.0M	0.60%
89	—TENZING ACQUISITION CORP	375,000	$3.8M	0.57%
90	—ONE MADISON CORP	376,321	$3.8M	0.57%
91	—PATTERN ENERGY GROUP INC	3,775	$3.7M	0.57%
92	—IMPERVA INC	65,206	$3.6M	0.55%
93	—UNION ACQUISITION CORP	336,381	$3.6M	0.54%
94	—LEO HOLDINGS CORP	348,704	$3.6M	0.54%
95	—ENCANA CORP	611,854	$3.5M	0.54%	Call
96	—CHARDAN HEALTHCARE ACQUISITI	350,000	$3.5M	0.53%
97	—HAYMAKER ACQUISITION CORP	345,000	$3.5M	0.52%
98	—MODERN MEDIA ACQUISITION	332,415	$3.4M	0.51%
99	—TWENTY FIRST CENTY FOX INC	69,704	$3.4M	0.51%
100	—GUARANTY BANCORP DEL	158,980	$3.3M	0.50%

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