K2 PRINCIPAL FUND, L.P. Q3 2019 Filing

Filed November 15, 2019

Portfolio Value

$924.6M

Holdings

278

Report Date

Q3 2019

Filing Type

13F-HR

All Holdings (278 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	AMZNAMAZON COM INC	19,115	$33.2M	3.59%	Call
2	—SOCIAL CAP HEDOSOPHIA HLDGS	2,001,437	$21.4M	2.32%
3	FNVFRANCO NEVADA CORP	187,000	$17.0M	1.84%	Call
4	—FINISAR CORP	16,065	$16.0M	1.73%
5	VVISA INC	92,675	$15.9M	1.72%	Call
6	SMHVANECK VECTORS ETF TR	115,000	$13.7M	1.48%	Put
7	AMDADVANCED MICRO DEVICES INC	445,000	$12.9M	1.40%	Put
8	NDQINVESCO QQQ TR	65,000	$12.3M	1.33%	Put
9	XLNXEURXILINX INC	125,000	$12.0M	1.30%	Call
10	—MOSAIC ACQUISITION CORP	1,086,104	$11.2M	1.21%
11	—TPG PACE HLDGS CORP	1,075,267	$11.1M	1.20%
12	—GANNETT CO INC	10,000	$10.8M	1.17%
13	TXNTEXAS INSTRS INC	80,000	$10.3M	1.12%	Put
14	GOOGLALPHABET INC	8,348	$10.2M	1.10%
15	—COLONY STARWOOD HOMES	7,500	$10.0M	1.08%
16	—AEROJET ROCKETDYNE HLDGS INC	5,000	$10.0M	1.08%
17	—PURE ACQUISITION CORP	928,790	$10.0M	1.08%
18	—FAR PT ACQUISITION CORP	916,597	$9.8M	1.06%
19	—CF FIN ACQUISITION CORP	895,233	$9.5M	1.03%
20	—LEGACY ACQUISITION CORP	856,869	$8.7M	0.95%
21	HYGISHARES TR	100,000	$8.7M	0.94%	Put
22	—TUSCAN HOLDINGS CORP	799,777	$8.6M	0.92%
23	—SPARTAN ENERGY ACQUISITON CO	808,900	$8.4M	0.91%
24	WCNWASTE CONNECTIONS INC	76,253	$8.3M	0.89%	Put
25	—BLACKBERRY LTD	8,160	$8.2M	0.88%
26	—FINTECH ACQUISITION CORP III	750,000	$8.0M	0.87%
27	QCOMQUALCOMM INC	105,000	$8.0M	0.87%
28	PFPTPROOFPOINT INC	62,000	$8.0M	0.87%	Call
29	—CYPRESS SEMICONDUCTOR CORP	4,490	$7.8M	0.85%
30	—ALDER BIOPHARMACEUTICALS INC	7,000	$7.7M	0.84%
31	IGVISHARES TR	34,500	$7.3M	0.79%	Put
32	—INSURANCE ACQUISITION CORP	700,000	$7.3M	0.79%
33	—DFB HEALTHCARE ACQUISTION CO	711,953	$7.2M	0.78%
34	PVHPVH CORP	76,000	$6.7M	0.73%	Call
35	—SILICON LABORATORIES INC	5,000	$6.5M	0.71%
36	—GX ACQUISITION CORP	637,994	$6.5M	0.70%
37	MDBMONGODB INC	53,500	$6.4M	0.70%	Call
38	OSBCADNORBORD INC	200,300	$6.4M	0.69%
39	—GRAF INDL CORP	631,716	$6.3M	0.69%
40	—COLLIER CREEK HOLDINGS	578,188	$6.2M	0.67%
41	NVDANVIDIA CORP	35,000	$6.1M	0.66%	Put
42	WBC1EURWABCO HLDGS INC	45,386	$6.1M	0.66%
43	—HAYMAKER ACQUISITION CORP II	575,000	$5.9M	0.64%
44	AVYA 2.25 06/15/23AVAYA HLDGS CORP	6,950	$5.9M	0.64%
45	WYWEYERHAEUSER CO	210,000	$5.8M	0.63%	Call
46	MCDMCDONALDS CORP	27,055	$5.8M	0.63%	Put
47	ADSWADVANCED DISP SVCS INC DEL	177,760	$5.8M	0.63%
48	—PATTERN ENERGY GROUP INC	5,525	$5.8M	0.63%
49	SKYYFIRST TR EXCHANGE TRADED FD	102,500	$5.8M	0.63%	Put
50	BF/ABROWN FORMAN CORP	95,009	$5.7M	0.61%
51	AGGISHARES TR	50,000	$5.7M	0.61%	Put
52	—GREENLAND ACQUISITIN CORPORA	524,164	$5.4M	0.59%
53	—PIVOTAL SOFTWARE INC	358,125	$5.3M	0.58%	Put
54	—TWITTER INC	5,000	$5.3M	0.57%
55	—NEW FRONTIER CORP	515,934	$5.2M	0.57%
56	—WORKDAY INC	4,000	$5.2M	0.57%
57	—AMCI ACQUISITION CORP	500,000	$5.2M	0.56%
58	—SC HEALTH CORP	500,000	$5.2M	0.56%
59	MSFTMICROSOFT CORP	35,800	$5.0M	0.54%	Call
60	CELGCELGENE CORP	50,000	$5.0M	0.54%
61	HEIHEICO CORP NEW	50,525	$4.9M	0.53%
62	VSMEURVERSUM MATLS INC	92,393	$4.9M	0.53%
63	—GORES HOLDINGS III INC	455,046	$4.8M	0.52%
64	—TUSCAN HLDGS CORP II	475,000	$4.8M	0.52%
65	—DEXCOM INC	3,000	$4.8M	0.52%
66	—FIRST MAJESTIC SILVER CORP	4,000	$4.7M	0.51%
67	—WRIGHT MED GROUP N V	4,000	$4.7M	0.51%
68	—NUVASIVE INC	3,939	$4.6M	0.50%
69	CUKCARNIVAL PLC	110,000	$4.6M	0.50%
70	—MEGALITH FINL ACQUISITION CO	441,992	$4.6M	0.50%
71	BPYPNBROOKFIELD PROPERTY REIT INC	223,980	$4.6M	0.49%
72	—TRINE ACQUISITION CORP	439,400	$4.5M	0.49%
73	—DD3 ACQUISITION CORP	442,668	$4.5M	0.49%
74	WYNNWYNN RESORTS LTD	40,000	$4.3M	0.47%	Call
75	ZAYOEURZAYO GROUP HLDGS INC	128,179	$4.3M	0.47%
76	GWRUSDGENESEE & WYO INC	39,173	$4.3M	0.47%
77	—ARYA SCIENCES ACQUISITION CO	391,875	$4.3M	0.46%
78	SPLKCHFSPLUNK INC	35,900	$4.2M	0.46%	Call
79	—ALLERGAN PLC	25,000	$4.2M	0.46%
80	IIPRINNOVATIVE INDL PPTYS INC	45,300	$4.2M	0.45%	Put
81	IPINTL PAPER CO	100,000	$4.2M	0.45%	Put
82	—GIGCAPITAL2 INC	400,000	$4.1M	0.45%
83	—LANDCADIA HLDGS II INC	405,046	$4.1M	0.44%
84	TJXTJX COS INC NEW	73,268	$4.1M	0.44%	Call
85	—PIVOTAL INVT CORP II	400,000	$4.1M	0.44%
86	—REPLAY ACQUISITION CORP	398,605	$4.1M	0.44%
87	—OAKTREE ACQUISITION CORP	400,106	$4.1M	0.44%
88	—NETFIN ACQUISITION CORP	400,000	$4.0M	0.44%
89	—CHASERG TECHNLGY ACQUISITN C	375,000	$4.0M	0.43%
90	—SUNTRUST BKS INC	57,838	$4.0M	0.43%
91	—ZILLOW GROUP INC	4,000	$4.0M	0.43%
92	MPVDMOUNTAIN PROV DIAMONDS INC	3,164,310	$3.9M	0.42%
93	G2CEVERI HLDGS INC	462,975	$3.9M	0.42%	Call
94	—CHARDAN HEALTHCARE ACQUISITI	385,446	$3.9M	0.42%
95	—B RILEY PRINCIPAL MERGER COR	382,222	$3.9M	0.42%
96	—APEX TECHNOLOGY ACQUISITN CO	371,405	$3.8M	0.41%
97	ZNGAEURZYNGA INC	643,800	$3.7M	0.41%	Call
98	CRMSALESFORCE COM INC	25,000	$3.7M	0.40%	Put
99	DISCKUSDDISCOVERY INC	148,903	$3.7M	0.40%
100	—CYPRESS SEMICONDUCTOR CORP	3,000	$3.6M	0.39%

Page 1 of 3Next