K2 PRINCIPAL FUND, L.P. Q1 2019 Filing

Filed May 14, 2019

Portfolio Value

$784.7M

Holdings

261

Report Date

Q1 2019

Filing Type

13F-HR

All Holdings (261 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	SMHVANECK VECTORS ETF TR	450,000	$47.8M	6.10%	Put
2	QCOMQUALCOMM INC	500,000	$28.5M	3.63%	Put
3	XOPUSDSPDR SERIES TRUST	925,000	$28.4M	3.62%	Put
4	—TUSCAN HOLDINGS CORP	1,650,000	$17.2M	2.19%
5	TLTISHARES TR	110,000	$13.9M	1.77%	Put
6	—ROYAL GOLD INC	13,000	$13.0M	1.66%
7	—VANTAGE ENERGY ACQUISITION	1,185,018	$12.1M	1.54%
8	—INTEGRATED DEVICE TECHNOLOGY	7,015	$11.0M	1.40%
9	COTYCOTY INC	928,632	$10.7M	1.36%	Put
10	—SPARTAN ENERGY ACQUISITON CO	1,033,900	$10.5M	1.33%
11	—PURE ACQUISITION CORP	903,746	$9.6M	1.22%
12	—FAR PT ACQUISITION CORP	916,597	$9.5M	1.21%
13	—SENTINEL ENERGY SVCS INC	853,553	$8.6M	1.09%
14	TRCOTRIBUNE MEDIA CO	177,763	$8.2M	1.05%
15	—CF FIN ACQUISITION CORP	800,000	$8.2M	1.04%
16	—CM SEVEN STAR ACQUISITION CO	820,287	$8.1M	1.03%
17	—TRINE ACQUISITION CORP	800,000	$8.0M	1.02%
18	—DFB HEALTHCARE ACQUISTION CO	755,853	$7.7M	0.98%
19	UFSDOMTAR CORP	154,000	$7.6M	0.97%	Put
20	—FINTECH ACQUISITION CORP III	750,000	$7.6M	0.97%
21	—TRAVELPORT WORLDWIDE LTD	481,436	$7.6M	0.97%
22	—AEROJET ROCKETDYNE HLDGS INC	5,000	$7.4M	0.94%
23	NDQINVESCO QQQ TR	40,000	$7.2M	0.92%	Put
24	—INSURANCE ACQUISITION CORP	700,000	$7.1M	0.90%
25	—CRESCENT ACQUISITION CORP	700,000	$7.0M	0.89%
26	—ONE MADISON CORP	669,934	$6.9M	0.88%
27	—LIBERTY EXPEDIA HLDGS INC	156,100	$6.7M	0.85%
28	—CBS CORP NEW	140,000	$6.7M	0.85%	Call
29	—SOCIAL CAP HEDOSOPHIA HLDGS	643,149	$6.6M	0.84%
30	—MOSAIC ACQUISITION CORP	608,677	$6.1M	0.78%
31	—COLLIER CREEK HOLDINGS	578,074	$6.0M	0.76%
32	—BLACKBERRY LTD	5,010	$5.9M	0.76%
33	RHT1EURRED HAT INC	32,000	$5.8M	0.75%
34	—GRAF INDL CORP	586,977	$5.8M	0.74%
35	ASHRDBX ETF TR	200,000	$5.7M	0.73%	Call
36	—WORKDAY INC	4,000	$5.6M	0.72%
37	—ZILLOW GROUP INC	5,500	$5.6M	0.72%
38	—TPG PACE HLDGS CORP	538,962	$5.5M	0.70%
39	—ULTIMATE SOFTWARE GROUP INC	16,600	$5.5M	0.70%
40	—CHASERG TECHNLGY ACQUISITN C	525,000	$5.3M	0.68%
41	—PENSARE ACQUISITION CORP	516,354	$5.3M	0.67%
42	MERCMERCER INTL INC	380,000	$5.1M	0.65%	Call
43	—AMCI ACQUISITION CORP	500,000	$5.1M	0.64%
44	EBAEBAY INC	136,000	$5.1M	0.64%	Put
45	—MEGALITH FINL ACQUISITION CO	494,050	$5.0M	0.64%
46	—FIRST MAJESTIC SILVER CORP	5,000	$4.9M	0.62%
47	—GORES HOLDINGS III INC	455,546	$4.7M	0.60%
48	—TIBERIUS ACQUISITION CORP	445,820	$4.6M	0.59%
49	—TRINITY MERGER CORP	439,899	$4.6M	0.59%
50	—PATTERN ENERGY GROUP INC	4,525	$4.5M	0.58%
51	SYFSYNCHRONY FINL	140,000	$4.5M	0.57%	Call
52	—BUNGE LIMITED	83,000	$4.4M	0.56%	Call
53	—TKK SYMPHONY ACQUISITION COR	420,059	$4.3M	0.55%
54	—OPES ACQUISITION CORP	421,777	$4.3M	0.55%
55	—LEGACY ACQUISITION CORP	413,020	$4.2M	0.54%
56	GOOGLALPHABET INC	3,500	$4.1M	0.52%
57	BPYPNBROOKFIELD PROPERTY REIT INC	200,192	$4.1M	0.52%
58	—ARYA SCIENCES ACQUISITION CO	391,875	$4.1M	0.52%
59	—HENNESSY CAP ACQUSTION CORP	400,000	$4.0M	0.51%
60	—DEXCOM INC	3,000	$4.0M	0.51%
61	CELGCELGENE CORP	42,500	$4.0M	0.51%	Put
62	—MYLAN N V	140,000	$4.0M	0.51%	Call
63	—MODERN MEDIA ACQUISITION	382,415	$4.0M	0.50%
64	WBC1EURWABCO HLDGS INC	30,000	$4.0M	0.50%	Put
65	LTRPAUSDLIBERTY TRIPADVISOR HLDGS IN	267,563	$3.8M	0.48%
66	—KBL MERGER CORP IV	349,788	$3.6M	0.46%
67	ONON SEMICONDUCTOR CORP	175,000	$3.6M	0.46%	Put
68	—ATTUNITY LTD	153,010	$3.6M	0.46%	Call
69	—LEO HOLDINGS CORP	343,504	$3.6M	0.45%
70	—ELLIE MAE INC	35,632	$3.5M	0.45%
71	—CHARDAN HEALTHCARE ACQUISITI	350,000	$3.5M	0.45%
72	FANGDIAMONDBACK ENERGY INC	34,544	$3.5M	0.45%
73	—ARRIS INTERNATIONAL PLC	109,270	$3.5M	0.44%
74	—FORUM MERGER II CORP	324,600	$3.4M	0.43%
75	—CHURCHILL CAP CORP	247,452	$3.3M	0.42%
76	CZREURCAESARS ENTMT CORP	374,969	$3.3M	0.42%	Call
77	—ALBERTON ACQUISITION CORP	322,020	$3.2M	0.41%
78	LM03LIBERTY MEDIA CORP DELAWARE	84,892	$3.2M	0.41%
79	—MAGNOLIA OIL & GAS CORP	948,057	$3.2M	0.41%	Call
80	MXIMMAXIM INTEGRATED PRODS INC	60,000	$3.2M	0.41%
81	TXNTEXAS INSTRS INC	30,000	$3.2M	0.41%	Put
82	DISCKUSDDISCOVERY INC	123,515	$3.1M	0.40%
83	—DD3 ACQUISITION CORP	300,000	$3.0M	0.39%
84	—NEW FRONTIER CORP	300,000	$3.0M	0.39%
85	—LEISURE ACQUISITION CORP	294,007	$3.0M	0.38%
86	RIORIO TINTO PLC	50,000	$2.9M	0.38%	Put
87	—FINISAR CORP	3,000	$2.9M	0.37%
88	DELLDELL TECHNOLOGIES INC	49,381	$2.9M	0.37%
89	—GOLDCORP INC NEW	251,934	$2.9M	0.37%	Put
90	—LF CAP ACQUISITION CORP	277,305	$2.9M	0.37%
91	RSGREPUBLIC SVCS INC	35,000	$2.8M	0.36%	Put
92	—U S G CORP	64,900	$2.8M	0.36%
93	—MEDEQUITIES RLTY TR INC	251,243	$2.8M	0.36%
94	BABOEING CO	7,200	$2.7M	0.35%	Call
95	CUKCARNIVAL PLC	53,852	$2.7M	0.34%
96	—SPARK THERAPEUTICS INC	23,260	$2.6M	0.34%
97	NXPINXP SEMICONDUCTORS N V	29,900	$2.6M	0.34%	Put
98	—SEACOR HOLDINGS INC	2,695	$2.6M	0.33%
99	—NAVISTAR INTL CORP NEW	2,538	$2.5M	0.32%
100	—BIG ROCK PARTNERS ACQUISI CO	240,000	$2.5M	0.32%

Page 1 of 3Next