K2 PRINCIPAL FUND, L.P. Q1 2023 Filing

Filed May 11, 2023

Portfolio Value

$726.6M

Holdings

244

Report Date

Q1 2023

Filing Type

13F-HR

All Holdings (244 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	HUBCHUB CYBER SECURITY LTD	2,154,013	$1.0B	137.62%
2	DYHTARGET CORP	167,400	$27.0M	3.72%	Call
3	FCXFREEPORT-MCMORAN INC	625,000	$25.0M	3.44%	Put
4	TLTISHARES TR	240,000	$24.0M	3.30%	Put
5	BNSBANK NOVA SCOTIA HALIFAX	481,800	$24.0M	3.30%	Call
6	SPYSPDR SP 500 ETF TR	50,000	$20.0M	2.75%	Put
7	FRPTFRESHPET INC	321,300	$20.0M	2.75%	Put
8	HYGISHARES TR	268,800	$20.0M	2.75%	Put
9	XMESPDR SER TR	365,000	$19.0M	2.61%	Put
10	SPRYARS PHARMACEUTICALS INC	2,815,890	$17.0M	2.34%	Put
11	SJTSAN JUAN BASIN RTY TR	1,212,305	$12.0M	1.65%	Call
12	RGLDROYAL GOLD INC	89,000	$11.0M	1.51%	Call
13	07WAMR COOPER GROUP INC	286,211	$11.0M	1.51%	Call
14	RCLROYAL CARIBBEAN GROUP	162,500	$10.0M	1.38%	Put
15	MPCMARATHON PETE CORP	82,000	$10.0M	1.38%	Put
16	PMTPENNYMAC MTG INVT TR	839,533	$10.0M	1.38%
17	TOLTOLL BROTHERS INC	166,600	$9.0M	1.24%	Put
18	IAU*ISHARES GOLD TR	245,000	$9.0M	1.24%	Call
19	DASHDOORDASH INC	129,200	$8.0M	1.10%	Call
20	YRIYAMANA GOLD INC	1,212,401	$7.0M	0.96%
21	JNJJOHNSON JOHNSON	54,389	$7.0M	0.96%	Call
22	GQ9SPDR GOLD TR	40,000	$7.0M	0.96%	Put
23	SRGSERITAGE GROWTH PPTYS	860,562	$6.0M	0.83%	Call
24	USOUNITED STS OIL FD LP	100,000	$6.0M	0.83%	Call
25	PFSIPENNYMAC FINL SVCS INC NEW	88,000	$5.0M	0.69%	Call
26	FT2FIRST HORIZON CORPORATION	382,798	$5.0M	0.69%	Put
27	HTZHERTZ GLOBAL HLDGS INC	381,635	$5.0M	0.69%	Call
28	—ACUITYADS HLDGS INC	2,791,184	$5.0M	0.69%	Call
29	ACIALBERTSONS COS INC	280,699	$5.0M	0.69%
30	ATVIEURACTIVISION BLIZZARD INC	56,352	$4.0M	0.55%	Call
31	PTONPELOTON INTERACTIVE INC	402,400	$4.0M	0.55%	Call
32	HASHASBRO INC	76,300	$4.0M	0.55%	Call
33	SLVISHARES SILVER TR	215,000	$4.0M	0.55%	Put
34	IWMISHARES TR	25,000	$4.0M	0.55%	Put
35	TWOTWO HBRS INVT CORP	339,759	$4.0M	0.55%
36	FNVFRANCO NEV CORP	30,000	$4.0M	0.55%	Call
37	AYATLANTICA SUSTAINABLE INFR P	104,100	$3.0M	0.41%	Call
38	GMEDGLOBUS MED INC	79,647	$3.0M	0.41%	Call
39	RWTREDWOOD TRUST INC	592,301	$3.0M	0.41%	Call
40	SJR/BEURSHAW COMMUNICATIONS INC	127,700	$3.0M	0.41%
41	RYROYAL BK CDA SUSTAINABL	35,000	$3.0M	0.41%	Call
42	NVROEURNEVRO CORP	101,600	$3.0M	0.41%	Call
43	MTARCELORMITTAL SA LUXEMBOURG	120,000	$3.0M	0.41%	Put
44	SSS1EURLIFE STORAGE INC	29,782	$3.0M	0.41%
45	VMWEURVMWARE INC	30,147	$3.0M	0.41%
46	GL40INDUS REALTY TRUST INC	53,985	$3.0M	0.41%
47	AFRMAFFIRM HLDGS INC	322,200	$3.0M	0.41%	Call
48	—NATIONAL INSTRS CORP	70,461	$3.0M	0.41%
49	CFCF INDS HLDGS INC	50,000	$3.0M	0.41%	Call
50	PMCBPHARMACYTE BIOTECH INC	723,271	$2.0M	0.28%
51	DKNGDRAFTKINGS INC NEW	121,000	$2.0M	0.28%	Call
52	GRPHGRAPHITE BIO INC	969,620	$2.0M	0.28%
53	SAVESPIRIT AIRLS INC	140,727	$2.0M	0.28%
54	—ALSET CAPITAL ACQUISITION CO	264,831	$2.0M	0.28%
55	AAALCOA CORP	63,000	$2.0M	0.28%	Put
56	AJRDEURAEROJET ROCKETDYNE HLDGS INC	39,939	$2.0M	0.28%
57	—SIGNAL HILL ACQUISITION CORP	209,969	$2.0M	0.28%
58	CCLCARNIVAL CORP	300,000	$2.0M	0.28%	Put
59	HZNPHORIZON THERAPEUTICS PUB L	20,300	$2.0M	0.28%
60	AOGOAROGO CAPITAL ACQUISITION CO	227,423	$2.0M	0.28%
61	PSXPHILLIPS 66	25,000	$2.0M	0.28%	Put
62	CLRCFCLIMATEROCK	196,312	$2.0M	0.28%
63	—HUB CYBER SECURITY LTD	1,665,019	$2.0M	0.28%
64	—AVALON ACQUISITION INC	210,120	$2.0M	0.28%
65	—REDWOODS ACQUISITION CORP	209,786	$2.0M	0.28%
66	TFPMTRIPLE FLAG PRECIOUS METAL	99,737	$2.0M	0.28%
67	LVLNSPDR SER TR	50,000	$2.0M	0.28%	Put
68	CCIXCHURCHILL CAPITAL CORP V	200,000	$2.0M	0.28%
69	BLBLACKLINE INC	35,000	$2.0M	0.28%	Call
70	ABEVAMBEV SA	402,639	$1.0M	0.14%
71	—ANZU SPECIAL ACQUISITIN CORP	158,930	$1.0M	0.14%
72	—HAWKS ACQUISITION CORP	161,161	$1.0M	0.14%
73	USX1UNITED STATES STL CORP NEW	50,000	$1.0M	0.14%	Call
74	—CRESCERA CAP ACQUISITION COR	100,000	$1.0M	0.14%
75	CLFCLEVELAND-CLIFFS INC NEW	125,000	$1.0M	0.14%	Put
76	WWAYFAIR INC	35,000	$1.0M	0.14%	Call
77	MAXREURMAXAR TECHNOLOGIES INC	25,274	$1.0M	0.14%
78	WRLDWORLD ACCEP CORPORATION	13,233	$1.0M	0.14%
79	RIVNRIVIAN AUTOMOTIVE INC	78,000	$1.0M	0.14%	Call
80	INSPINSPIRE MED SYS INC	6,000	$1.0M	0.14%	Call
81	ISRLFISRAEL ACQUISITIONS CORP	124,798	$1.0M	0.14%
82	CNHICNH INDL N V	100,000	$1.0M	0.14%	Call
83	NUVAGBPNUVASIVE INC	35,770	$1.0M	0.14%
84	AIVAPARTMENT INVT MGMT CO	213,192	$1.0M	0.14%	Call
85	—EF HUTTON ACQUISITION CORP I	174,908	$1.0M	0.14%
86	—INDUSTRIAL TECH ACQSTNS II I	132,737	$1.0M	0.14%
87	—LAMF GLOBAL VENTURES CORP I	166,027	$1.0M	0.14%
88	—ALPHAVEST ACQUISITION CORP	124,265	$1.0M	0.14%
89	—APOLLO STRATEGIC GRWT CPTL I	143,027	$1.0M	0.14%
90	WINGWINGSTOP INC	9,800	$1.0M	0.14%	Put
91	GDSTGOLDENSTONE ACQUISITION LTD	160,430	$1.0M	0.14%
92	—LIBERTY RES ACQUISITION CORP	162,339	$1.0M	0.14%
93	CGCCANOPY GROWTH CORP	1,000,000	$1.0M	0.14%	Put
94	—PROJECT ENERGY REIMAGINED AC	13,815	$986K	0.14%
95	—CONSILIUM ACQUISITN CORP I L	31,000	$852K	0.12%
96	AY 4 07/15/25ATLANTICA SUSTAINABLE INFRA	19,300	$19K	0.00%
97	DBX 0 03/01/26DROPBOX INC	15,859	$14K	0.00%
98	SPLK 0.5 09/15/23SPLUNK INC	13,339	$13K	0.00%
99	—WISDOMTREE INC	12,000	$12K	0.00%
100	ENV 0.75 08/15/25ENVESTNET INC	12,500	$11K	0.00%

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