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	GOOGALPHABET INC	16,201	$16.8M	2.54%	Put
2	GOOGLALPHABET INC	12,500	$13.1M	1.98%	Put
3	—VANTAGE ENERGY ACQUISITION	1,135,018	$11.4M	1.73%
4	—FEDERAL STR ACQUISITION CORP	1,095,285	$11.1M	1.68%
5	—INTEGRATED DEVICE TECHNOLOGY	7,015	$10.8M	1.64%
6	SPGSIMON PPTY GROUP INC NEW	62,600	$10.5M	1.59%	Put
7	—SPARTAN ENERGY ACQUISITON CO	1,033,900	$10.3M	1.57%
8	—AEROJET ROCKETDYNE HLDGS INC	6,500	$9.5M	1.45%
9	—PURE ACQUISITION CORP	903,746	$9.3M	1.41%
10	—FAR PT ACQUISITION CORP	916,597	$9.2M	1.40%
11	XLKSELECT SECTOR SPDR TR	142,500	$8.8M	1.34%	Put
12	AAPLAPPLE INC	53,000	$8.4M	1.27%	Put
13	—CM SEVEN STAR ACQUISITION CO	820,287	$8.3M	1.26%
14	—CF FIN ACQUISITION CORP	800,000	$8.0M	1.21%
15	BPYPNBROOKFIELD PROPERTY REIT INC	483,892	$7.8M	1.18%
16	—DFB HEALTHCARE ACQUISTION CO	755,853	$7.6M	1.16%
17	—FINTECH ACQUISITION CORP III	750,000	$7.5M	1.14%
18	DELLDELL TECHNOLOGIES INC	148,306	$7.2M	1.10%	Put
19	—DUN & BRADSTREET CORP DEL NE	49,862	$7.1M	1.08%	Put
20	RSGREPUBLIC SVCS INC	93,000	$6.7M	1.02%	Put
21	IWMISHARES TR	50,000	$6.7M	1.02%	Call
22	XOPUSDSPDR SERIES TRUST	247,700	$6.6M	1.00%	Put
23	—SABAN CAP ACQUISITION CORP	650,952	$6.6M	1.00%
24	—CONSTELLATION ALPHA CAP CORP	638,903	$6.5M	0.99%
25	—HAYMAKER ACQUISITION CORP	602,310	$6.4M	0.96%
26	—VECTREN CORP	88,140	$6.3M	0.96%
27	—ATHENAHEALTH INC	44,345	$5.8M	0.89%
28	—COLLIER CREEK HOLDINGS	578,074	$5.8M	0.88%
29	—PENSARE ACQUISITION CORP	566,754	$5.7M	0.87%
30	—STATE BK FINL CORP	264,127	$5.7M	0.86%
31	SMHVANECK VECTORS ETF TR	64,900	$5.7M	0.86%	Put
32	—ZILLOW GROUP INC	5,500	$5.4M	0.82%
33	—PANDORA MEDIA INC	662,600	$5.4M	0.81%
34	MCHPMICROCHIP TECHNOLOGY INC	73,512	$5.3M	0.80%	Put
35	—CHASERG TECHNLGY ACQUISITN C	525,000	$5.2M	0.80%
36	LTRPAUSDLIBERTY TRIPADVISOR HLDGS IN	326,226	$5.2M	0.79%
37	VALEVALE S A	390,000	$5.1M	0.78%	Put
38	—MEGALITH FINL ACQUISITION CO	494,050	$5.0M	0.76%
39	—AMCI ACQUISITION CORP	500,000	$5.0M	0.75%
40	—LEGACY ACQUISITION CORP	488,020	$5.0M	0.75%
41	RHT1EURRED HAT INC	27,500	$4.8M	0.73%
42	UTXZUNITED TECHNOLOGIES CORP	45,053	$4.8M	0.73%	Put
43	EAELECTRONIC ARTS INC	60,000	$4.7M	0.72%	Call
44	—TRINITY MERGER CORP	449,899	$4.6M	0.70%
45	—TKK SYMPHONY ACQUISITION COR	455,759	$4.6M	0.70%
46	—GORES HOLDINGS III INC	455,546	$4.6M	0.69%
47	SIRIEURSIRIUS XM HLDGS INC	796,500	$4.5M	0.69%	Put
48	—TIBERIUS ACQUISITION CORP	445,820	$4.5M	0.69%
49	DAYCERIDIAN HCM HLDG INC	125,759	$4.3M	0.66%	Put
50	TRCOTRIBUNE MEDIA CO	94,200	$4.3M	0.65%
51	—CITRIX SYS INC	3,000	$4.3M	0.65%
52	DISCKUSDDISCOVERY INC	183,515	$4.2M	0.64%
53	—SILICON LABORATORIES INC	4,000	$4.2M	0.64%
54	—OPES ACQUISITION CORP	419,877	$4.2M	0.63%
55	FANGDIAMONDBACK ENERGY INC	44,844	$4.2M	0.63%
56	ATVIEURACTIVISION BLIZZARD INC	88,500	$4.1M	0.63%	Call
57	HEIHEICO CORP NEW	64,925	$4.1M	0.62%
58	—ARYA SCIENCES ACQUISITION CO	391,875	$4.1M	0.61%
59	—FORUM MERGER II CORP	399,600	$4.0M	0.61%
60	—CHURCHILL CAP CORP	400,000	$4.0M	0.61%
61	—ALBERTON ACQUISITION CORP	400,000	$4.0M	0.61%
62	—ASPEN INSURANCE HOLDINGS LTD	94,326	$4.0M	0.60%
63	—TENZING ACQUISITION CORP	375,000	$3.8M	0.57%
64	—ONE MADISON CORP	376,321	$3.8M	0.57%
65	—PATTERN ENERGY GROUP INC	3,775	$3.7M	0.57%
66	—IMPERVA INC	65,206	$3.6M	0.55%
67	—UNION ACQUISITION CORP	336,381	$3.6M	0.54%
68	—LEO HOLDINGS CORP	348,704	$3.6M	0.54%
69	—ENCANA CORP	611,854	$3.5M	0.54%	Call
70	—CHARDAN HEALTHCARE ACQUISITI	350,000	$3.5M	0.53%
71	—HAYMAKER ACQUISITION CORP	345,000	$3.5M	0.52%
72	—MODERN MEDIA ACQUISITION	332,415	$3.4M	0.51%
73	—TWENTY FIRST CENTY FOX INC	69,704	$3.4M	0.51%
74	—GUARANTY BANCORP DEL	158,980	$3.3M	0.50%
75	CLWCLEARWATER PAPER CORP	135,000	$3.3M	0.50%	Put
76	SUXSYNNEX CORP	40,682	$3.3M	0.50%	Put
77	—LF CAP ACQUISITION CORP	316,905	$3.2M	0.49%
78	MERCMERCER INTL INC	300,873	$3.1M	0.48%
79	—SOCIAL CAP HEDOSOPHIA HLDGS	306,503	$3.1M	0.46%
80	—NEW FRONTIER CORP	300,000	$3.0M	0.46%
81	—TRAVELPORT WORLDWIDE LTD	193,371	$3.0M	0.46%
82	—DD3 ACQUISITION CORP	300,000	$3.0M	0.46%
83	—LEISURE ACQUISITION CORP	294,007	$3.0M	0.45%
84	WPMWHEATON PRECIOUS METALS CORP	150,000	$2.9M	0.44%	Call
85	—MAGNOLIA OIL & GAS CORP	948,057	$2.9M	0.44%
86	—THUNDER BRIDGE ACQUISITION L	281,500	$2.9M	0.43%
87	—INVESTMENT TECHNOLOGY GRP NE	93,655	$2.8M	0.43%
88	—HORTONWORKS INC	194,892	$2.8M	0.43%
89	—PLATINUM EAGLE ACQUISITIN CO	262,335	$2.7M	0.42%
90	VMWEURVMWARE INC	20,000	$2.7M	0.42%	Put
91	UNVREURUNIVAR INC	151,417	$2.7M	0.41%	Call
92	—MB FINANCIAL INC NEW	67,655	$2.7M	0.41%
93	—SENTINEL ENERGY SVCS INC	260,311	$2.7M	0.41%
94	—GRAF INDL CORP	264,354	$2.6M	0.40%
95	—BLACKBERRY LTD	2,500	$2.5M	0.39%
96	—KBL MERGER CORP IV	249,788	$2.5M	0.39%
97	—BIG ROCK PARTNERS ACQUISI CO	240,000	$2.5M	0.38%
98	MSFTMICROSOFT CORP	24,500	$2.5M	0.38%	Put
99	—TPG PACE HLDGS CORP	247,700	$2.5M	0.38%
100	LGF/BEURLIONS GATE ENTMNT CORP	165,209	$2.5M	0.37%

Page 1 of 3Next