K2 PRINCIPAL FUND, L.P. - Q3 2018 holdings

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$1.04 Billion is the total value of K2 PRINCIPAL FUND, L.P.'s 327 reported holdings in Q3 2018. The portfolio turnover from Q2 2018 to Q3 2018 was 84.9% .

All

			Value		Shares		↓ Weighting
GOOGL	Buy	ALPHABET INCcap stk cl a	$23,055,000	+102.7%	19,100	+89.7%	2.21%	+151.5%
AET	Buy	AETNA INC NEW	$23,033,000	+34.2%	113,549	+21.4%	2.21%	+66.5%
XLK	Sell	SELECT SECTOR SPDR TRput	$22,599,000	-33.6%	300,000	-38.8%	2.17%	-17.6%
TLT	Buy	ISHARES TRcall	$20,956,000	+23.0%	178,700	+27.6%	2.01%	+52.6%
SMH	Sell	VANECK VECTORS ETF TRput	$20,758,000	-46.1%	195,000	-48.0%	1.99%	-33.1%
NXPI	New	NXP SEMICONDUCTORS N Vcall	$19,939,000	–	233,200	+100.0%	1.91%	–
COL	Buy	ROCKWELL COLLINS INC	$19,111,000	+4.4%	136,053	+0.1%	1.83%	+29.5%
HCAC	Buy	HENNESSY CAP ACQUSTON CORP I	$18,636,000	+145.8%	1,828,830	+144.6%	1.79%	+205.3%
GOOGL	New	ALPHABET INCcall	$17,985,000	–	14,900	+100.0%	1.73%	–
EACQ	Buy	EASTERLY ACQUISITION CORP	$16,339,000	+20.6%	1,571,018	+19.4%	1.57%	+49.6%
GOOGL	Buy	ALPHABET INCput	$13,761,000	+21.9%	11,400	+14.0%	1.32%	+51.3%
MJ	Sell	ETF MANAGERS TRput	$11,624,000	-24.0%	290,200	-44.2%	1.12%	-5.7%
	Sell	AEROJET ROCKETDYNE HLDGS INCnote 2.25012/1	$10,679,000	-13.3%	7,500	-21.1%	1.02%	+7.6%
	New	INTEGRATED DEVICE TECHNOLOGYnote 0.87511/1	$10,549,000	–	7,015	+100.0%	1.01%	–
SPAQU	New	SPARTAN ENERGY ACQUISITON COunit 99/99/9999	$10,470,000	–	1,031,500	+100.0%	1.00%	–
PACQU	Sell	PURE ACQUISITION CORPunit 04/13/2023	$10,414,000	-49.5%	1,003,746	-50.1%	1.00%	-37.3%
DWDP	Buy	DOWDUPONT INCcall	$10,289,000	+290.3%	160,000	+300.0%	0.99%	+384.3%
BPR	New	BROOKFIELD PROPERTY REIT INCcl a	$10,233,000	–	488,906	+100.0%	0.98%	–
DVMT	Sell	DELL TECHNOLOGIES INC	$9,248,000	-19.0%	95,219	-29.5%	0.89%	+0.6%
FPACU	Sell	FAR PT ACQUISITION CORPunit 06/01/2025	$9,203,000	-42.7%	895,215	-43.2%	0.88%	-28.9%
ESRX	Buy	EXPRESS SCRIPTS HLDG CO	$9,026,000	+77.6%	95,000	+44.3%	0.87%	+120.4%
SPY	Sell	SPDR S&P 500 ETF TRput	$8,722,000	-35.7%	30,000	-40.0%	0.84%	-20.2%
VEAC	Sell	VANTAGE ENERGY ACQUISITION	$8,664,000	-0.8%	870,755	-1.7%	0.83%	+23.1%
	Sell	ZILLOW GROUP INCnote 2.00012/0	$8,650,000	-31.5%	8,000	-20.0%	0.83%	-15.0%
EGN	New	ENERGEN CORPcall	$8,618,000	–	100,000	+100.0%	0.83%	–
CA	New	CA INC	$8,322,000	–	188,500	+100.0%	0.80%	–
MCHP	New	MICROCHIP TECHNOLOGY INCput	$8,286,000	–	105,000	+100.0%	0.80%	–
MITL	Buy	MITEL NETWORKS CORP	$8,079,000	+156.4%	733,124	+155.2%	0.78%	+217.6%
AMZN	Buy	AMAZON COM INC	$8,012,000	+328.4%	4,000	+263.6%	0.77%	+430.3%
MERC	Sell	MERCER INTL INC	$7,980,000	-23.4%	475,000	-20.2%	0.77%	-4.8%
		SILICON LABORATORIES INCnote 1.375 3/0	$7,985,000	-5.5%	7,000	0.0%	0.77%	+17.3%
DFBHU		DFB HEALTHCARE ACQUISTION COunit 01/30/2023	$7,795,000	+0.7%	764,253	0.0%	0.75%	+24.9%
CY	Sell	CYPRESS SEMICONDUCTOR CORP	$7,680,000	-45.2%	530,000	-41.1%	0.74%	-32.1%
WTTR	Buy	SELECT ENERGY SVCS INC	$7,556,000	-8.8%	638,180	+11.9%	0.72%	+13.1%
VALE	Buy	VALE S Aput	$7,512,000	+28.4%	506,200	+11.0%	0.72%	+59.5%
AVA	Buy	AVISTA CORP	$7,516,000	+348.7%	148,652	+367.5%	0.72%	+454.6%
FOX	Sell	TWENTY FIRST CENTY FOX INCcl b	$7,382,000	-32.8%	161,107	-27.7%	0.71%	-16.6%
ATHN		ATHENAHEALTH INC	$7,375,000	-16.1%	55,200	0.0%	0.71%	+4.1%
ATHN	Buy	ATHENAHEALTH INCput	$7,375,000	-8.6%	55,200	+8.9%	0.71%	+13.5%
GSHT	Buy	GORES HLDGS II INC	$7,206,000	+29.5%	678,517	+23.8%	0.69%	+60.9%
NXPI	Sell	NXP SEMICONDUCTORS N V	$7,182,000	-80.9%	84,000	-75.7%	0.69%	-76.4%
GPT	Buy	GRAMERCY PPTY TR	$7,173,000	+92.4%	261,389	+91.5%	0.69%	+138.9%
HYACU	Sell	HAYMAKER ACQUISITION CORPunit 10/19/2022	$7,030,000	-20.5%	677,310	-22.6%	0.68%	-1.3%
MS	Sell	MORGAN STANLEY	$6,986,000	-14.0%	150,000	-12.5%	0.67%	+6.8%
L100PS	New	ARCONIC INCcall	$6,824,000	–	310,000	+100.0%	0.66%	–
FEZ	New	SPDR INDEX SHS FDScall	$6,697,000	–	175,000	+100.0%	0.64%	–
SCAC	Buy	SABAN CAP ACQUISITION CORP	$6,574,000	+53.0%	648,952	+52.2%	0.63%	+90.1%
CNAC		CONSTELLATION ALPHA CAP CORPsh	$6,456,000	+1.6%	637,903	0.0%	0.62%	+26.3%
C	Buy	CITIGROUP INC	$6,457,000	+114.4%	90,000	+100.0%	0.62%	+166.1%
AHPA	Buy	AVISTA HEALTHCARE PUB ACQ COcl a	$6,240,000	+94.9%	616,020	+92.6%	0.60%	+141.5%
CMSSU		CM SEVEN STAR ACQUISITION COunit 08/21/2022	$6,221,000	+4.4%	578,700	0.0%	0.60%	+29.5%
ESRX		EXPRESS SCRIPTS HLDG COput	$6,176,000	+23.1%	65,000	0.0%	0.59%	+52.8%
KAAC	Sell	KAYNE ANDERSON ACQUISITION	$6,143,000	-4.3%	604,603	-6.9%	0.59%	+19.0%
CVG	New	CONVERGYS CORP	$5,933,000	–	249,923	+100.0%	0.57%	–
WRLS	Buy	PENSARE ACQUISITION CORP	$5,708,000	+10.8%	573,054	+10.0%	0.55%	+37.7%
ORIG	New	OCEAN RIG UDW INC	$5,712,000	–	165,000	+100.0%	0.55%	–
MGYWS	New	MAGNOLIA OIL & GAS CORPw exp 07/31/202	$5,699,000	–	1,217,655	+100.0%	0.55%	–
BG	Buy	BUNGE LIMITED	$5,703,000	+16.7%	83,000	+18.4%	0.55%	+44.7%
	Sell	DYCOM INDS INCnote 0.750 9/1	$5,662,000	-31.4%	5,130	-28.1%	0.54%	-15.0%
EGN	New	ENERGEN CORP	$5,645,000	–	65,509	+100.0%	0.54%	–
AVHI	Buy	AV HOMES INC	$5,598,000	+79.4%	279,887	+92.0%	0.54%	+122.8%
DISCK		DISCOVERY INC	$5,428,000	+16.0%	183,515	0.0%	0.52%	+43.9%
AAPL	New	APPLE INCput	$5,079,000	–	22,500	+100.0%	0.49%	–
KRE	Buy	SPDR SERIES TRUSTs&p regl bkg	$5,051,000	+38.0%	85,000	+41.7%	0.48%	+71.4%
MFACU	New	MEGALITH FINL ACQUISITION COunit 09/30/2025	$4,990,000	–	494,050	+100.0%	0.48%	–
MYL	Sell	MYLAN N V	$4,973,000	-31.2%	135,863	-32.1%	0.48%	-14.7%
LGCU	Sell	LEGACY ACQUISITION CORPunit 05/31/2024	$4,972,000	-67.4%	490,820	-67.8%	0.48%	-59.6%
HEIA	Sell	HEICO CORP NEWcl a	$4,902,000	+15.7%	64,925	-6.6%	0.47%	+43.6%
MX	Sell	MAGNACHIP SEMICONDUCTOR CORP	$4,888,000	-5.2%	493,766	-1.8%	0.47%	+17.5%
IPOA	Sell	SOCIAL CAP HEDOSOPHIA HLDGScl a	$4,860,000	-2.5%	490,403	-1.1%	0.47%	+21.0%
GRSHU	New	GORES HOLDINGS III INCunit 09/07/2024	$4,651,000	–	455,541	+100.0%	0.45%	–
TKKSU	New	TKK SYMPHONY ACQUISITION CORunit 08/15/2023	$4,620,000	–	457,390	+100.0%	0.44%	–
PVG	Buy	PRETIUM RES INCput	$4,616,000	+32.0%	606,500	+27.3%	0.44%	+63.5%
		CITRIX SYS INCnote 0.500 4/1	$4,611,000	+5.9%	3,000	0.0%	0.44%	+31.5%
PACQ	Sell	PURE ACQUISITION CORPcl a	$4,597,000	-23.9%	473,661	-24.4%	0.44%	-5.6%
MYL	Sell	MYLAN N Vcall	$4,575,000	-54.0%	125,000	-54.5%	0.44%	-42.9%
TIBRU	Sell	TIBERIUS ACQUISITION CORPunit 02/28/2021	$4,558,000	+0.6%	446,820	-0.7%	0.44%	+24.5%
AAPL	Buy	APPLE INC	$4,492,000	+79.8%	19,900	+47.4%	0.43%	+123.3%
CSCO	New	CISCO SYS INCcall	$4,379,000	–	90,000	+100.0%	0.42%	–
ITA	Sell	ISHARES TRput	$4,329,000	-10.0%	20,000	-20.0%	0.42%	+11.8%
KLXI	New	KLX INC	$4,293,000	–	68,385	+100.0%	0.41%	–
INTC	New	INTEL CORP	$4,256,000	–	90,000	+100.0%	0.41%	–
NUGT	New	DIREXION SHS ETF TRput	$4,195,000	–	323,900	+100.0%	0.40%	–
OPES		OPES ACQUISITION CORP	$4,124,000	+1.4%	418,700	0.0%	0.40%	+25.7%
DNB	New	DUN & BRADSTREET CORP DEL NE	$4,076,000	–	28,600	+100.0%	0.39%	–
CCCU	New	CHURCHILL CAP CORPunit 99/99/9999	$4,052,000	–	400,000	+100.0%	0.39%	–
TMCXU	Buy	TRINITY MERGER CORPunit 05/11/2025	$4,049,000	+8.0%	395,799	+6.2%	0.39%	+34.1%
FMCIU	New	FORUM MERGER II CORPunit 09/30/2025	$4,040,000	–	400,000	+100.0%	0.39%	–
CMSS	New	CM SEVEN STAR ACQUISITION COsh	$4,032,000	–	400,000	+100.0%	0.39%	–
LCA	Buy	LANDCADIA HLDGS INCcl a	$3,899,000	+36.3%	359,670	+27.3%	0.37%	+69.2%
SWIR	New	SIERRA WIRELESS INCput	$3,797,000	–	188,900	+100.0%	0.36%	–
LTNU	Sell	UNION ACQUISITION CORPunit 99/99/9999	$3,787,000	-19.9%	362,400	-21.8%	0.36%	-0.8%
TZACU	New	TENZING ACQUISITION CORPunit 08/24/2024	$3,773,000	–	375,000	+100.0%	0.36%	–
CDAY		CERIDIAN HCM HLDG INC	$3,680,000	+26.6%	87,559	0.0%	0.35%	+56.9%
CY	New	CYPRESS SEMICONDUCTOR CORPcall	$3,643,000	–	251,400	+100.0%	0.35%	–
GOLD	New	BARRICK GOLD CORP	$3,637,000	–	328,241	+100.0%	0.35%	–
QCOM	Sell	QUALCOMM INCcall	$3,602,000	-63.3%	50,000	-71.4%	0.35%	-54.5%
WRD	Sell	WILDHORSE RESOURCE DEV CORP	$3,585,000	-29.3%	151,667	-24.2%	0.34%	-12.2%
LHCU		LEO HOLDINGS CORPunit 99/99/9999	$3,574,000	+0.8%	348,704	0.0%	0.34%	+25.2%
SHPG	Buy	SHIRE PLCsponsored adr	$3,513,000	+62.3%	19,381	+51.1%	0.34%	+101.8%
FWONA	Buy	LIBERTY MEDIA CORP DELAWARE	$3,497,000	+10.0%	98,298	+9.2%	0.34%	+36.6%
KTWO	New	K2M GROUP HLDGS INC	$3,379,000	–	123,468	+100.0%	0.32%	–
XRX	Sell	XEROX CORPcall	$3,373,000	-40.2%	125,000	-46.8%	0.32%	-25.7%
BGCP	Buy	BGC PARTNERS INCcl a	$3,369,000	+11.0%	285,067	+6.3%	0.32%	+37.4%
MMDM		MODERN MEDIA ACQUISITION	$3,357,000	+1.2%	332,415	0.0%	0.32%	+25.3%
LFACU	Sell	LF CAP ACQUISITION CORPunit 06/19/2025	$3,346,000	-12.3%	331,300	-12.6%	0.32%	+8.8%
COBZ	New	COBIZ FINANCIAL INC	$3,346,000	–	151,124	+100.0%	0.32%	–
LSXMA	Sell	LIBERTY MEDIA CORP DELAWARE	$3,278,000	-24.1%	75,458	-21.2%	0.32%	-5.7%
		BLACKBERRY LTDdebt 3.75011/1	$3,225,000	+7.9%	2,500	0.0%	0.31%	+34.2%
	Sell	SENSEONICS HLDGS INCnote 5.250 2/0	$3,198,000	-10.1%	2,000	-20.0%	0.31%	+11.6%
XCRA	New	XCERRA CORP	$3,109,000	–	217,870	+100.0%	0.30%	–
NFCU		NEW FRONTIER CORPunit 99/99/9999	$3,060,000	+1.5%	300,000	0.0%	0.29%	+26.2%
LACQU		LEISURE ACQUISITION CORPunit 99/99/9999	$2,999,000	+2.0%	294,007	0.0%	0.29%	+26.9%
	New	PATTERN ENERGY GROUP INCnote 4.000 7/1	$2,994,000	–	3,015	+100.0%	0.29%	–
FSAC	Buy	FEDERAL STR ACQUISITION CORPcl a	$2,995,000	+373.1%	296,285	+357.2%	0.29%	+485.7%
OMADU	Sell	ONE MADISON CORPunit 99/99/9999	$2,917,000	-57.6%	281,866	-58.5%	0.28%	-47.4%
DOTA		DRAPER OAKWOOD TECHNOLOGY	$2,871,000	+1.6%	283,093	0.0%	0.28%	+26.0%
HYAC	Buy	HAYMAKER ACQUISITION CORP	$2,879,000	+18.6%	295,000	+18.0%	0.28%	+46.8%
TBRGU	Sell	THUNDER BRIDGE ACQUISITION Lunit 01/01/2025	$2,851,000	-60.8%	281,700	-61.1%	0.27%	-51.3%
LTRPA	Sell	LIBERTY TRIPADVISOR HLDGS IN	$2,831,000	-52.9%	190,662	-48.9%	0.27%	-41.5%
JPM	Sell	JPMORGAN CHASE & CO	$2,821,000	-16.7%	25,000	-23.1%	0.27%	+3.4%
STNLU	Sell	SENTINEL ENERGY SVCS INCunit 11/02/2022	$2,785,000	-6.7%	270,870	-8.4%	0.27%	+15.6%
VNOM	New	VIPER ENERGY PARTNERS LPcall	$2,736,000	–	65,000	+100.0%	0.26%	–
EAGLU	Sell	PLATINUM EAGLE ACQUISITIN COunit 01/09/2023	$2,726,000	-54.4%	262,335	-55.3%	0.26%	-43.3%
SMH	Sell	VANECK VECTORS ETF TRcall	$2,661,000	-46.8%	25,000	-48.7%	0.26%	-34.1%
LEXEA	Buy	LIBERTY EXPEDIA HOLDINGS	$2,630,000	+186.5%	55,900	+167.5%	0.25%	+254.9%
BRPAU		BIG ROCK PARTNERS ACQUISI COunit 11/20/2022	$2,600,000	-0.5%	250,000	0.0%	0.25%	+23.8%
CECE	Sell	CECO ENVIRONMENTAL CORP	$2,609,000	+18.6%	331,035	-7.6%	0.25%	+47.1%
TPGH	Sell	TPG PACE HLDGS CORPcl a	$2,608,000	-57.6%	259,000	-58.2%	0.25%	-47.4%
GSAH	New	GS ACQUISITION HLDGS CORP	$2,548,000	–	261,314	+100.0%	0.24%	–
NXPI	Sell	NXP SEMICONDUCTORS N Vput	$2,522,000	-89.0%	29,500	-86.0%	0.24%	-86.4%
KBLM		KBL MERGER CORP IV	$2,523,000	+1.5%	249,788	0.0%	0.24%	+26.0%
WEB	New	WEB COM GROUP INC	$2,461,000	–	88,195	+100.0%	0.24%	–
PERY	New	ELLIS PERRY INTL INC	$2,458,000	–	89,943	+100.0%	0.24%	–
INTC	New	INTEL CORPcall	$2,365,000	–	50,000	+100.0%	0.23%	–
CENTA	Buy	CENTRAL GARDEN & PET COcl a non-vtg	$2,309,000	+459.1%	69,668	+583.0%	0.22%	+593.8%
CARS	Buy	CARS COM INC	$2,264,000	+9.3%	82,000	+12.3%	0.22%	+35.6%
FCEA	New	FOREST CITY RLTY TR INC	$2,221,000	–	88,533	+100.0%	0.21%	–
VMC	New	VULCAN MATLS COput	$2,224,000	–	20,000	+100.0%	0.21%	–
MOSCU		MOSAIC ACQUISITION CORPunit 99/99/9999	$2,212,000	+1.6%	217,300	0.0%	0.21%	+26.2%
FPAC	New	FAR PT ACQUISITION CORP	$2,180,000	–	226,269	+100.0%	0.21%	–
ORBK	Sell	ORBOTECH LTDord	$2,142,000	-59.2%	36,039	-57.6%	0.21%	-49.3%
RWGEU	Sell	REGALWOOD GLOBAL ENERGY LTDunit 99/99/9999	$2,137,000	+1.2%	207,842	-0.3%	0.20%	+25.8%
IAM	Buy	I AM CAP ACQUISITION CO	$2,139,000	+531.0%	210,769	+571.5%	0.20%	+688.5%
COL	New	ROCKWELL COLLINS INCput	$2,107,000	–	15,000	+100.0%	0.20%	–
TSLA	New	TESLA INC	$2,105,000	–	7,952	+100.0%	0.20%	–
BPY	New	BROOKFIELD PPTY PARTNERS L Pput	$2,089,000	–	100,000	+100.0%	0.20%	–
GLACU	New	GREENLAND ACQUISITIN CORPORAunit 03/03/2025	$2,064,000	–	200,000	+100.0%	0.20%	–
LOACU	New	LONGEVITY ACQUISITION CORPunit 08/29/2024	$2,048,000	–	200,000	+100.0%	0.20%	–
TRIP		TRIPADVISOR INCcall	$2,043,000	-8.3%	40,000	0.0%	0.20%	+14.0%
	Sell	RTI INTL METALS INCnote 1.62510/1	$2,042,000	-59.3%	2,000	-60.0%	0.20%	-49.5%
LACQ		LEISURE ACQUISITION CORP	$2,035,000	+0.3%	210,000	0.0%	0.20%	+24.2%
MZOR	New	MAZOR ROBOTICS LTDsponsored ads	$2,013,000	–	34,515	+100.0%	0.19%	–
AMZN	New	AMAZON COM INCput	$2,003,000	–	1,000	+100.0%	0.19%	–
GIGU		GIGCAPITAL INCunit 03/06/2025	$1,950,000	+2.3%	181,539	0.0%	0.19%	+27.2%
SAIC	New	SCIENCE APPLICATNS INTL CP N	$1,942,000	–	24,089	+100.0%	0.19%	–
AFSI	Buy	AMTRUST FINL SVCS INC	$1,937,000	+23.1%	133,400	+23.5%	0.19%	+52.5%
SUM	New	SUMMIT MATLS INCcall	$1,909,000	–	105,000	+100.0%	0.18%	–
CUK	Buy	CARNIVAL PLCadr	$1,892,000	+64.1%	30,000	+50.0%	0.18%	+104.5%
MPAC	Sell	MATLIN & PARTNERS ACQUISITIOcl a	$1,858,000	-53.3%	185,630	-53.9%	0.18%	-42.2%
JSYN	Buy	JENSYN ACQUISITION CORP	$1,774,000	+33.1%	165,790	+31.4%	0.17%	+65.0%
EXR	Sell	EXTRA SPACE STORAGE INCcall	$1,733,000	-65.3%	20,000	-60.0%	0.17%	-57.0%
FGWS	Buy	FGL HLDGSw exp 11/30/202	$1,698,000	+571.1%	862,123	+309.6%	0.16%	+715.0%
PF	Sell	PINNACLE FOODS INC DEL	$1,678,000	-38.7%	25,889	-38.5%	0.16%	-24.1%
VAC	New	MARRIOTT VACATIONS WRLDWDE Cput	$1,677,000	–	15,000	+100.0%	0.16%	–
NAVG	New	NAVIGATORS GROUP INC	$1,677,000	–	24,264	+100.0%	0.16%	–
NESRW	Buy	NATIONAL ENERGY SERVICES REUw exp 05/05/202	$1,670,000	+59.5%	879,086	+0.7%	0.16%	+97.5%
SNV	New	SYNOVUS FINL CORP	$1,613,000	–	35,222	+100.0%	0.16%	–
TXN	New	TEXAS INSTRS INCput	$1,609,000	–	15,000	+100.0%	0.15%	–
SMH	New	VANECK VECTORS ETF TRsemiconductor et	$1,597,000	–	15,000	+100.0%	0.15%	–
FITB	New	FIFTH THIRD BANCORP	$1,571,000	–	56,285	+100.0%	0.15%	–
LYB	New	LYONDELLBASELL INDUSTRIES Nput	$1,538,000	–	15,000	+100.0%	0.15%	–
BAK	Sell	BRASKEM S Asp adr pfd a	$1,524,000	-4.1%	52,774	-13.6%	0.15%	+18.7%
EDGW	Buy	EDGEWATER TECHNOLOGY INC	$1,508,000	-20.1%	353,200	+1.4%	0.14%	-0.7%
CA	New	CA INCput	$1,470,000	–	33,300	+100.0%	0.14%	–
LEN	Buy	LENNAR CORPcl a	$1,460,000	+235.6%	31,277	+277.9%	0.14%	+311.8%
LPNT	New	LIFEPOINT HEALTH INC	$1,447,000	–	22,473	+100.0%	0.14%	–
STLR	Sell	STELLAR ACQUISITION III INC	$1,452,000	-13.3%	138,028	-14.4%	0.14%	+7.8%
SNMX	New	SENOMYX INC	$1,437,000	–	970,968	+100.0%	0.14%	–
MSFT	Sell	MICROSOFT CORP	$1,430,000	-27.5%	12,500	-37.5%	0.14%	-10.5%
BROGU	Sell	TWELVE SEAS INVESTMENT COMPAunit 06/21/2023	$1,424,000	-84.3%	138,700	-84.6%	0.14%	-80.4%
PACQW	New	PURE ACQUISITION CORPw exp 04/17/202	$1,428,000	–	1,057,600	+100.0%	0.14%	–
SWIR	New	SIERRA WIRELESS INCcall	$1,407,000	–	70,000	+100.0%	0.14%	–
HUNTF	New	HUNTER MARITIME ACQUISITIONcl a	$1,367,000	–	137,213	+100.0%	0.13%	–
BRPA	Sell	BIG ROCK PARTNERS ACQUISI CO	$1,342,000	-7.5%	134,191	-8.3%	0.13%	+15.2%
BCAC		BISON CAP ACQUISITION CORP	$1,342,000	+1.9%	131,426	0.0%	0.13%	+26.5%
CLW	New	CLEARWATER PAPER CORPput	$1,316,000	–	44,300	+100.0%	0.13%	–
ASHR	New	DBX ETF TRcall	$1,268,000	–	50,000	+100.0%	0.12%	–
SNX	New	SYNNEX CORPput	$1,271,000	–	15,000	+100.0%	0.12%	–
PX	Sell	PRAXAIR INC	$1,238,000	-66.1%	7,700	-66.7%	0.12%	-58.0%
LCAHW	Buy	LANDCADIA HLDGS INCw exp 06/01/202	$1,219,000	+273.9%	1,024,149	+151.4%	0.12%	+368.0%
LSCC	New	LATTICE SEMICONDUCTOR CORP	$1,224,000	–	153,000	+100.0%	0.12%	–
MS	New	MORGAN STANLEYput	$1,164,000	–	25,000	+100.0%	0.11%	–
WCN	Sell	WASTE CONNECTIONS INC	$1,161,000	-52.3%	14,553	-55.0%	0.11%	-41.0%
SPA	Sell	SPARTON CORP	$1,133,000	-62.5%	78,546	-50.6%	0.11%	-53.4%
VEACW		VANTAGE ENERGY ACQUISITIONw exp 04/12/202	$1,125,000	+22.7%	833,333	0.0%	0.11%	+52.1%
PRTHW	New	PRIORITY TECHNOLOGY HLDGS INw exp 09/12/202	$1,116,000	–	797,219	+100.0%	0.11%	–
GSHTW	Buy	GORES HLDGS II INCw exp 01/13/202	$1,099,000	+173.4%	518,284	+106.4%	0.10%	+238.7%
XOP	Buy	SPDR SERIES TRUSTput	$1,082,000	+25.7%	25,000	+25.0%	0.10%	+55.2%
KS	New	KAPSTONE PAPER & PACKAGING Cput	$1,082,000	–	31,900	+100.0%	0.10%	–
USO	Buy	UNITED STATES OIL FUND LPput	$1,086,000	+80.4%	70,000	+75.0%	0.10%	+121.3%
IMXIW	New	INTERNATIONAL MNY EXPRESS INw exp 01/19/202	$1,073,000	–	456,784	+100.0%	0.10%	–
TEVA	New	TEVA PHARMACEUTICAL INDS LTDcall	$1,077,000	–	50,000	+100.0%	0.10%	–
BFA	Sell	BROWN FORMAN CORPcl a	$1,075,000	-50.4%	21,164	-52.3%	0.10%	-38.7%
AAL	New	AMERICAN AIRLS GROUP INCcall	$1,070,000	–	25,900	+100.0%	0.10%	–
ROSEQ	Sell	ROSEHILL RES INCcl a	$1,074,000	-53.9%	195,714	-38.6%	0.10%	-42.8%
LGFB	New	LIONS GATE ENTMNT CORPcl b non vtg	$1,060,000	–	45,500	+100.0%	0.10%	–
BHAC		BARINGTON HILCO ACQUISITION	$1,060,000	+2.6%	97,892	0.0%	0.10%	+27.5%
MTEC	Sell	MTECH ACQUISITION CORP	$1,049,000	-56.5%	102,870	-58.4%	0.10%	-45.7%
NWL	New	NEWELL BRANDS INCcall	$1,015,000	–	50,000	+100.0%	0.10%	–
IVTY	New	INVUITY INC	$1,004,000	–	135,734	+100.0%	0.10%	–
NSU	Buy	NEVSUN RES LTD	$999,000	+40.1%	225,544	+9.7%	0.10%	+74.5%
UNVR	New	UNIVAR INC	$986,000	–	32,165	+100.0%	0.10%	–
MPC	New	MARATHON PETE CORP	$976,000	–	12,201	+100.0%	0.09%	–
TMCX	New	TRINITY MERGER CORP	$983,000	–	100,000	+100.0%	0.09%	–
DWDP	Sell	DOWDUPONT INC	$965,000	-61.1%	15,000	-60.2%	0.09%	-51.6%
MSFT	New	MICROSOFT CORPput	$972,000	–	8,500	+100.0%	0.09%	–
CSCO	Sell	CISCO SYS INC	$973,000	-69.8%	20,000	-73.3%	0.09%	-62.8%
EA	New	ELECTRONIC ARTS INC	$964,000	–	8,000	+100.0%	0.09%	–
EACQW	Buy	EASTERLY ACQUISITION CORPw exp 07/29/202	$955,000	+4.4%	868,203	+18.6%	0.09%	+29.6%
HYG	Sell	ISHARES TRput	$951,000	-44.1%	11,000	-45.0%	0.09%	-31.1%
AMD	New	ADVANCED MICRO DEVICES INCput	$927,000	–	30,000	+100.0%	0.09%	–
MU	New	MICRON TECHNOLOGY INCcall	$909,000	–	20,100	+100.0%	0.09%	–
MU	Sell	MICRON TECHNOLOGY INCput	$905,000	-65.5%	20,000	-60.0%	0.09%	-57.1%
ROSWQ	Sell	ROSEHILL RES INCw exp 09/16/202	$895,000	-28.9%	864,548	-25.8%	0.09%	-11.3%
MGA	New	MAGNA INTL INC	$886,000	–	16,875	+100.0%	0.08%	–
CIC	New	CAPITOL INVT CORP IVcl a ord	$886,000	–	89,513	+100.0%	0.08%	–
HCACWS	Sell	HENNESSY CAP ACQUSTON CORP Iw exp 06/15/202	$890,000	-15.1%	593,199	-18.5%	0.08%	+4.9%
FMC	New	F M C CORPput	$872,000	–	10,000	+100.0%	0.08%	–
SODA	New	SODASTREAM INTERNATIONAL LTD	$873,000	–	6,100	+100.0%	0.08%	–
CUBE	New	CUBESMART	$856,000	–	30,000	+100.0%	0.08%	–
TWTR	New	TWITTER INCput	$854,000	–	30,000	+100.0%	0.08%	–
SYNT	New	SYNTEL INC	$828,000	–	20,211	+100.0%	0.08%	–
BAK	New	BRASKEM S Aput	$808,000	–	28,000	+100.0%	0.08%	–
USG	Sell	U S G CORP	$812,000	-10.8%	18,748	-11.1%	0.08%	+11.4%
KAACW	Sell	KAYNE ANDERSON ACQUISITIONw exp 06/30/202	$761,000	-3.8%	608,766	-7.6%	0.07%	+19.7%
LFAC	New	LF CAP ACQUISITION CORPcl a	$717,000	–	75,000	+100.0%	0.07%	–
RCII	New	RENT A CTR INC NEWput	$719,000	–	50,000	+100.0%	0.07%	–
IPOAWS	Buy	SOCIAL CAP HEDOSOPHIA HLDGSw exp 09/14/202	$711,000	+60.5%	664,590	+170.0%	0.07%	+100.0%
SIRI	New	SIRIUS XM HLDGS INC	$683,000	–	108,000	+100.0%	0.07%	–
LPX	Sell	LOUISIANA PAC CORPcall	$662,000	-92.5%	25,000	-92.3%	0.06%	-90.6%
LPX	Sell	LOUISIANA PAC CORP	$662,000	-93.1%	25,000	-92.9%	0.06%	-91.3%
STBZ	New	STATE BK FINL CORP	$669,000	–	22,152	+100.0%	0.06%	–
ZG	New	ZILLOW GROUP INCcl a	$660,000	–	14,930	+100.0%	0.06%	–
NWSA	New	NEWS CORP NEWcl a	$658,000	–	49,900	+100.0%	0.06%	–
REIS	New	REIS INC	$641,000	–	27,866	+100.0%	0.06%	–
AKRXQ	Buy	AKORN INCcall	$649,000	+59.1%	50,000	+103.3%	0.06%	+93.8%
GOOS	New	CANADA GOOSE HOLDINGS INCput	$645,000	–	10,000	+100.0%	0.06%	–
SUM	New	SUMMIT MATLS INCcl a	$636,000	–	35,000	+100.0%	0.06%	–
LILAK	New	LIBERTY LATIN AMERICA LTD	$634,000	–	30,755	+100.0%	0.06%	–
ZOES	New	ZOES KITCHEN INC	$598,000	–	47,000	+100.0%	0.06%	–
MTECW	Buy	MTECH ACQUISITION CORPw exp 08/01/202	$570,000	+254.0%	385,295	+55.4%	0.06%	+358.3%
SMTC	New	SEMTECH CORP	$556,000	–	10,000	+100.0%	0.05%	–
TPGHWS		TPG PACE HLDGS CORPw exp 06/27/202	$525,000	+6.1%	300,000	0.0%	0.05%	+31.6%
MUDS	Buy	MUDRICK CAP ACQUISITION CORP	$506,000	+0.4%	52,294	+0.0%	0.05%	+25.6%
LYB	New	LYONDELLBASELL INDUSTRIES N	$513,000	–	5,000	+100.0%	0.05%	–
OMAD	New	ONE MADISON CORP	$496,000	–	51,000	+100.0%	0.05%	–
RCII	New	RENT A CTR INC NEW	$478,000	–	33,211	+100.0%	0.05%	–
BATRK	New	LIBERTY MEDIA CORP DELAWARE	$482,000	–	17,678	+100.0%	0.05%	–
GTYHW	Buy	GTY TECHNOLOGY HOLDINGS INCw exp 10/25/202	$468,000	+198.1%	374,129	+197.5%	0.04%	+275.0%
GOLD	New	BARRICK GOLD CORPcall	$444,000	–	40,000	+100.0%	0.04%	–
CCMP	New	CABOT MICROELECTRONICS CORP	$445,000	–	4,316	+100.0%	0.04%	–
BW	Buy	BABCOCK & WILCOX ENTERPRIS I	$430,000	-51.7%	417,861	+11.8%	0.04%	-40.6%
FPACWS	New	FAR PT ACQUISITION CORPw exp 06/01/202	$428,000	–	259,634	+100.0%	0.04%	–
SCACW	Buy	SABAN CAP ACQUISITION CORPw exp 09/21/202	$419,000	+179.3%	380,595	+204.5%	0.04%	+233.3%
LBRDK	Sell	LIBERTY BROADBAND CORP	$413,000	-44.9%	4,900	-50.5%	0.04%	-31.0%
MCD	New	MCDONALDS CORP	$418,000	–	2,500	+100.0%	0.04%	–
SMPLW	Buy	SIMPLY GOOD FOODS COw exp 07/07/202	$397,000	+90.9%	50,200	+0.4%	0.04%	+137.5%
EAGLW	Sell	PLATINUM EAGLE ACQUISITIN COw exp 01/17/202	$390,000	-9.5%	289,066	-6.1%	0.04%	+12.1%
NAV	New	NAVISTAR INTL CORP NEWcall	$385,000	–	10,000	+100.0%	0.04%	–
FSACW	Buy	FEDERAL STR ACQUISITION CORPw exp 07/24/202	$376,000	+71.7%	268,542	+47.2%	0.04%	+111.8%
SNBR	New	SLEEP NUMBER CORPput	$368,000	–	10,000	+100.0%	0.04%	–
PAAS		PAN AMERICAN SILVER CORPput	$369,000	-17.6%	25,000	0.0%	0.04%	0.0%
WRLSW	Buy	PENSARE ACQUISITION CORPw exp 07/27/202	$350,000	-18.6%	673,401	+0.2%	0.03%	+3.0%
SBUX	New	STARBUCKS CORPput	$341,000	–	6,000	+100.0%	0.03%	–
DFBH	Buy	DFB HEALTHCARE ACQUISTION CO	$340,000	+41.1%	35,000	+40.0%	0.03%	+73.7%
CXO	New	CONCHO RES INC	$336,000	–	2,200	+100.0%	0.03%	–
GPAQ		GORDON POINTE ACQUISITION CO	$323,000	+1.6%	32,746	0.0%	0.03%	+24.0%
MPACW	Sell	MATLIN & PARTNERS ACQUISITIOw exp 05/28/202	$318,000	-33.1%	424,064	-39.4%	0.03%	-16.2%
IAMXW	New	I AM CAP ACQUISITION COw exp 05/22/202	$287,000	–	819,954	+100.0%	0.03%	–
CBS	New	CBS CORP NEWcl b	$277,000	–	4,818	+100.0%	0.03%	–
GSS	New	GOLDEN STAR RES LTD CDA	$286,000	–	395,042	+100.0%	0.03%	–
	New	PRIORITY TECHNOLOGY HLDGS IN	$270,000	–	27,800	+100.0%	0.03%	–
BROG	New	TWELVE SEAS INVESTMENT COMPAsh	$270,000	–	28,200	+100.0%	0.03%	–
PERY	New	ELLIS PERRY INTL INCput	$273,000	–	10,000	+100.0%	0.03%	–
EAGL	Sell	PLATINUM EAGLE ACQUISITIN CO	$264,000	-48.3%	26,855	-48.9%	0.02%	-37.5%
CALL	New	MAGICJACK VOCALTEC LTDsh	$264,000	–	31,670	+100.0%	0.02%	–
GIG	Sell	GIGCAPITAL INC	$251,000	-6.3%	25,251	-7.3%	0.02%	+14.3%
TWNKW	Buy	HOSTESS BRANDS INCw exp 11/04/202	$237,000	-22.5%	224,000	+24.4%	0.02%	-4.2%
CMSSR	Buy	CM SEVEN STAR ACQUISITION COright 08/21/2022	$236,000	+174.4%	471,954	+75.9%	0.02%	+228.6%
ATHN	New	ATHENAHEALTH INCcall	$240,000	–	1,800	+100.0%	0.02%	–
CMSSW	Buy	CM SEVEN STAR ACQUISITION COw exp 08/21/202	$239,000	+143.9%	509,534	+104.4%	0.02%	+187.5%
PAAS	New	PAN AMERICAN SILVER CORP	$236,000	–	16,000	+100.0%	0.02%	–
XOXO	New	XO GROUP INC	$225,000	–	6,530	+100.0%	0.02%	–
PEB	New	PEBBLEBROOK HOTEL TR	$223,000	–	6,141	+100.0%	0.02%	–
GBNK	New	GUARANTY BANCORP DEL	$215,000	–	7,229	+100.0%	0.02%	–
OMADWS	New	ONE MADISON CORPw exp 99/99/999	$219,000	–	188,959	+100.0%	0.02%	–
AHPAW	Buy	AVISTA HEALTHCARE PUB ACQ COw exp 10/07/202	$214,000	-48.7%	1,071,935	+19.5%	0.02%	-34.4%
VVC	New	VECTREN CORP	$207,000	–	2,900	+100.0%	0.02%	–
IAMXR	New	I AM CAP ACQUISITION COright 05/22/2019	$211,000	–	421,465	+100.0%	0.02%	–
HYACW	Buy	HAYMAKER ACQUISITION CORPw exp 10/27/202	$183,000	+39.7%	151,600	+0.3%	0.02%	+80.0%
GSAHWS	New	GS ACQUISITION HLDGS CORPw exp 06/12/202	$172,000	–	101,020	+100.0%	0.02%	–
TMCXW		TRINITY MERGER CORPw exp 05/11/202	$150,000	+25.0%	299,400	0.0%	0.01%	+55.6%
BRPAR	Buy	BIG ROCK PARTNERS ACQUISI COright 12/01/2022	$146,000	+7.4%	340,332	+12.9%	0.01%	+27.3%
CICWS	New	CAPITOL INVT CORP IVw exp 01/01/202	$135,000	–	92,000	+100.0%	0.01%	–
TIBRW		TIBERIUS ACQUISITION CORPw exp 02/28/202	$118,000	+5.4%	200,000	0.0%	0.01%	+22.2%
ABUS	Sell	ARBUTUS BIOPHARMA CORP	$112,000	-25.3%	11,884	-42.3%	0.01%	-8.3%
JE	New	JUST ENERGY GROUP INCput	$93,000	–	30,000	+100.0%	0.01%	–
GIGRT		GIGCAPITAL INCright 03/06/2020	$84,000	+16.7%	159,200	0.0%	0.01%	+33.3%
AMRWW		ALTA MESA RES INCw exp 03/28/202	$79,000	-64.1%	157,166	0.0%	0.01%	-52.9%
WRLSR	Buy	PENSARE ACQUISITION CORPright 99/99/9999	$78,000	+290.0%	173,586	+323.1%	0.01%	+250.0%
ESTWF	Sell	ESTRE AMBIENTAL INCw exp 12/21/202	$51,000	-42.7%	145,755	-30.5%	0.01%	-28.6%
LACQW		LEISURE ACQUISITION CORPw exp 12/05/201	$38,000	+35.7%	40,400	0.0%	0.00%	+100.0%
BROGR	New	TWELVE SEAS INVESTMENT COMPAright 12/22/2019	$41,000	–	99,800	+100.0%	0.00%	–
BROGW	New	TWELVE SEAS INVESTMENT COMPAw exp 12/22/202	$34,000	–	95,500	+100.0%	0.00%	–
JSYNW	Buy	JENSYN ACQUISITION CORPw exp 03/07/202	$31,000	+14.8%	347,627	+66.0%	0.00%	+50.0%
BRACR		BLACK RIDGE ACQUISITION CORPright 07/10/2019	$28,000	+21.7%	75,900	0.0%	0.00%	+50.0%
BRPAW		BIG ROCK PARTNERS ACQUISI COw exp 12/01/202	$31,000	-11.4%	101,200	0.0%	0.00%	0.0%
NEBUW	New	NEBULA ACQUISITION CORPw exp 03/12/202	$33,000	–	27,849	+100.0%	0.00%	–
JSYNR	New	JENSYN ACQUISITION CORPright 99/99/9999	$35,000	–	130,055	+100.0%	0.00%	–
DOTAR	Sell	DRAPER OAKWOOD TECHNOLOGYright 09/19/2018	$25,000	-74.0%	48,400	-70.1%	0.00%	-71.4%
LTNWS	Buy	UNION ACQUISITION CORPw exp 07/01/202	$18,000	0.0%	55,445	+10.9%	0.00%	+100.0%
LGCWS		LEGACY ACQUISITION CORPw exp 11/30/202	$21,000	-4.5%	50,000	0.0%	0.00%	0.0%
AKG		ASANKO GOLD INCcall	$12,000	-25.0%	15,000	0.0%	0.00%	0.0%
KBLMW	Sell	KBL MERGER CORP IVw exp 01/15/202	$15,000	-77.3%	73,777	-67.6%	0.00%	-80.0%
SHLDQ	New	SEARS HLDGS CORPput	$10,000	–	10,200	+100.0%	0.00%	–
MUDSW	New	MUDRICK CAP ACQUISITION CORPw exp 02/12/202	$12,000	–	18,400	+100.0%	0.00%	–
BHACW	Exit	BARINGTON HILCO ACQUISITIONw exp 02/11/202	$0	–	-28,670	-100.0%	0.00%	–
KBLMR	Exit	KBL MERGER CORP IVright 03/22/2019	$0	–	-59,540	-100.0%	-0.00%	–
HL	Exit	HECLA MNG COcall	$0	–	-10,000	-100.0%	-0.00%	–
NSU	Exit	NEVSUN RES LTDcall	$0	–	-20,000	-100.0%	-0.01%	–
OPESW	Exit	OPES ACQUISITION CORPw exp 03/13/202	$0	–	-331,100	-100.0%	-0.01%	–
BTG	Exit	B2GOLD CORP	$0	–	-50,403	-100.0%	-0.01%	–
NXEOW	Exit	NEXEO SOLUTIONS INCw exp 06/09/202	$0	–	-297,917	-100.0%	-0.01%	–
KGC	Exit	KINROSS GOLD CORPcall	$0	–	-50,000	-100.0%	-0.02%	–
MRVL	Exit	MARVELL TECHNOLOGY GROUP LTDord	$0	–	-9,633	-100.0%	-0.02%	–
CNACW	Exit	CONSTELLATION ALPHA CAP CORPw exp 03/23/202	$0	–	-608,100	-100.0%	-0.02%	–
VIAB	Exit	VIACOM INC NEWcl b	$0	–	-10,000	-100.0%	-0.02%	–
ATAC	Exit	ATLANTIC ACQUISITION CORP	$0	–	-36,685	-100.0%	-0.03%	–
OSPRW	Exit	OSPREY ENERGY ACQUISITION COw exp 07/21/202	$0	–	-253,098	-100.0%	-0.03%	–
EEM	Exit	ISHARES TRcall	$0	–	-10,000	-100.0%	-0.03%	–
SBUX	Exit	STARBUCKS CORP	$0	–	-9,000	-100.0%	-0.03%	–
QSR	Exit	RESTAURANT BRANDS INTL INC	$0	–	-7,400	-100.0%	-0.03%	–
COTV	Exit	COTIVITI HLDGS INC	$0	–	-10,500	-100.0%	-0.04%	–
WFC	Exit	WELLS FARGO CO NEW	$0	–	-10,000	-100.0%	-0.04%	–
WMT	Exit	WALMART INC	$0	–	-6,700	-100.0%	-0.04%	–
AKG	Exit	ASANKO GOLD INC	$0	–	-534,860	-100.0%	-0.04%	–
LILA	Exit	LIBERTY LATIN AMERICA LTD	$0	–	-30,556	-100.0%	-0.04%	–
ADBE	Exit	ADOBE SYS INC	$0	–	-2,500	-100.0%	-0.05%	–
LBTYK	Exit	LIBERTY GLOBAL PLC	$0	–	-25,055	-100.0%	-0.05%	–
IYT	Exit	ISHARES TRtrans avg etf	$0	–	-4,000	-100.0%	-0.06%	–
AGN	Exit	ALLERGAN PLCsh	$0	–	-4,500	-100.0%	-0.06%	–
CY	Exit	CYPRESS SEMICONDUCTOR CORPput	$0	–	-50,000	-100.0%	-0.06%	–
FNTEW	Exit	FINTECH ACQUISITION CORP IIw exp 01/19/202	$0	–	-500,000	-100.0%	-0.06%	–
HEAR	Exit	TURTLE BEACH CORP	$0	–	-40,000	-100.0%	-0.06%	–
SENS	Exit	SENSEONICS HLDGS INC	$0	–	-205,654	-100.0%	-0.06%	–
GSTCQ	Exit	GASTAR EXPL INC NEW	$0	–	-1,529,952	-100.0%	-0.07%	–
OLED	Exit	UNIVERSAL DISPLAY CORPput	$0	–	-10,000	-100.0%	-0.07%	–
AMRQQ	Exit	ALTA MESA RES INCcl a	$0	–	-127,235	-100.0%	-0.07%	–
FNGN	Exit	FINANCIAL ENGINES INC	$0	–	-20,000	-100.0%	-0.07%	–
NCR	Exit	NCR CORP NEW	$0	–	-30,000	-100.0%	-0.07%	–
LOW	Exit	LOWES COS INC	$0	–	-10,024	-100.0%	-0.07%	–
CADE	Exit	CADENCE BANCORPORATIONcl a	$0	–	-33,905	-100.0%	-0.08%	–
	Exit	B2GOLD CORPnote 3.250 10/0	$0	–	-1,000	-100.0%	-0.08%	–
NEBUU	Exit	NEBULA ACQUISITION CORPunit 03/12/2025	$0	–	-99,653	-100.0%	-0.08%	–
OCLR	Exit	OCLARO INCput	$0	–	-114,300	-100.0%	-0.08%	–
NSM	Exit	NATIONSTAR MTG HLDGS INC	$0	–	-59,138	-100.0%	-0.08%	–
PENN	Exit	PENN NATL GAMING INC	$0	–	-32,583	-100.0%	-0.08%	–
QCOM	Exit	QUALCOMM INC	$0	–	-20,000	-100.0%	-0.09%	–
ENPH	Exit	ENPHASE ENERGY INC	$0	–	-170,000	-100.0%	-0.09%	–
PEGI	Exit	PATTERN ENERGY GROUP INCcl a	$0	–	-61,100	-100.0%	-0.09%	–
MPACU	Exit	MATLIN & PARTNERS ACQUISITIOunit 05/28/2021a	$0	–	-110,306	-100.0%	-0.09%	–
PEB	Exit	PEBBLEBROOK HOTEL TRput	$0	–	-30,000	-100.0%	-0.09%	–
MACQW	Exit	M I ACQUISITIONS INCw exp 11/15/202	$0	–	-797,200	-100.0%	-0.09%	–
NXTM	Exit	NXSTAGE MEDICAL INC	$0	–	-44,565	-100.0%	-0.10%	–
WSCWW	Exit	WILLSCOT CORPw exp 09/10/202	$0	–	-559,523	-100.0%	-0.10%	–
NWS	Exit	NEWS CORP NEWcl b	$0	–	-79,790	-100.0%	-0.10%	–
IBTX	Exit	INDEPENDENT BK GROUP INC	$0	–	-19,231	-100.0%	-0.10%	–
DB	Exit	DEUTSCHE BANK AGcall	$0	–	-120,000	-100.0%	-0.10%	–
USG	Exit	U S G CORPput	$0	–	-30,200	-100.0%	-0.10%	–
PAY	Exit	VERIFONE SYS INC	$0	–	-58,580	-100.0%	-0.10%	–
DBX	Exit	DROPBOX INCcall	$0	–	-45,000	-100.0%	-0.11%	–
PLD	Exit	PROLOGIS INC	$0	–	-23,118	-100.0%	-0.12%	–
GOLD	Exit	RANDGOLD RES LTDadr	$0	–	-20,099	-100.0%	-0.12%	–
BAK	Exit	BRASKEM S Acall	$0	–	-61,600	-100.0%	-0.12%	–
CPE	Exit	CALLON PETE CO DEL	$0	–	-150,000	-100.0%	-0.12%	–
BLBD	Exit	BLUE BIRD CORP	$0	–	-75,000	-100.0%	-0.13%	–
BATRA	Exit	LIBERTY MEDIA CORP DELAWARE	$0	–	-68,873	-100.0%	-0.14%	–
OCLR	Exit	OCLARO INC	$0	–	-215,000	-100.0%	-0.15%	–
HCCHU	Exit	HL ACQUISITIONS CORPunit 06/21/2023	$0	–	-200,000	-100.0%	-0.16%	–
CSCO	Exit	CISCO SYS INCput	$0	–	-50,000	-100.0%	-0.17%	–
TPGEWS	Exit	TPG PACE ENERGY HLDGS CORPw exp 99/99/999	$0	–	-783,333	-100.0%	-0.17%	–
RSPP	Exit	RSP PERMIAN INC	$0	–	-51,673	-100.0%	-0.18%	–
IPCC	Exit	INFINITY PPTY & CAS CORP	$0	–	-16,170	-100.0%	-0.18%	–
CPLA	Exit	CAPELLA EDUCATION COMPANY	$0	–	-23,378	-100.0%	-0.18%	–
TER	Exit	TERADYNE INC	$0	–	-61,000	-100.0%	-0.18%	–
FSACU	Exit	FEDERAL STR ACQUISITION CORPunit 99/99/9999	$0	–	-231,485	-100.0%	-0.18%	–
FNTE	Exit	FINTECH ACQUISITION CORP II	$0	–	-233,749	-100.0%	-0.18%	–
GSAHU	Exit	GS ACQUISITION HLDGS CORPunit 06/12/2023	$0	–	-230,200	-100.0%	-0.18%	–
ADSK	Exit	AUTODESK INC	$0	–	-18,300	-100.0%	-0.19%	–
MACQ	Exit	M I ACQUISITIONS INC	$0	–	-239,981	-100.0%	-0.20%	–
PZZA	Exit	PAPA JOHNS INTL INCcall	$0	–	-50,000	-100.0%	-0.20%	–
MBFI	Exit	MB FINANCIAL INC NEW	$0	–	-55,408	-100.0%	-0.20%	–
EEM	Exit	ISHARES TRput	$0	–	-60,000	-100.0%	-0.20%	–
MU	Exit	MICRON TECHNOLOGY INC	$0	–	-50,000	-100.0%	-0.20%	–
GGP	Exit	GGP INCput	$0	–	-128,800	-100.0%	-0.20%	–
SHLM	Exit	SCHULMAN A INC	$0	–	-60,000	-100.0%	-0.21%	–
TKR	Exit	TIMKEN CO	$0	–	-62,100	-100.0%	-0.21%	–
AMAT	Exit	APPLIED MATLS INCput	$0	–	-60,000	-100.0%	-0.21%	–
XRX	Exit	XEROX CORP	$0	–	-118,050	-100.0%	-0.22%	–
XL	Exit	XL GROUP LTD	$0	–	-50,761	-100.0%	-0.22%	–
CICU	Exit	CAPITOL INVT CORP IVunit 99/99/9999	$0	–	-276,000	-100.0%	-0.22%	–
DOV	Exit	DOVER CORPcall	$0	–	-40,000	-100.0%	-0.23%	–
OLED	Exit	UNIVERSAL DISPLAY CORP	$0	–	-35,000	-100.0%	-0.23%	–
BRKB	Exit	BERKSHIRE HATHAWAY INC DELcl b new	$0	–	-16,118	-100.0%	-0.23%	–
HPR	Exit	HIGHPOINT RES CORP	$0	–	-520,000	-100.0%	-0.24%	–
SYK	Exit	STRYKER CORPcall	$0	–	-20,000	-100.0%	-0.26%	–
ABB	Exit	ABB LTDsponsored adr	$0	–	-160,000	-100.0%	-0.27%	–
NCR	Exit	NCR CORP NEWcall	$0	–	-121,200	-100.0%	-0.28%	–
EVHC	Exit	ENVISION HEALTHCARE CORP	$0	–	-82,930	-100.0%	-0.28%	–
KS	Exit	KAPSTONE PAPER & PACKAGING C	$0	–	-107,633	-100.0%	-0.29%	–
GTYH	Exit	GTY TECHNOLOGY HOLDINGS INCcl a	$0	–	-368,239	-100.0%	-0.29%	–
SPLK	Exit	SPLUNK INCcall	$0	–	-37,500	-100.0%	-0.29%	–
MJ	Exit	ETF MANAGERS TRcall	$0	–	-128,100	-100.0%	-0.29%	–
SPY	Exit	SPDR S&P 500 ETF TRcall	$0	–	-15,000	-100.0%	-0.32%	–
DBD	Exit	DIEBOLD NXDF INCcall	$0	–	-350,000	-100.0%	-0.32%	–
CASY	Exit	CASEYS GEN STORES INC	$0	–	-40,300	-100.0%	-0.33%	–
HRG	Exit	HRG GROUP INC	$0	–	-327,019	-100.0%	-0.33%	–
SJW	Exit	SJW GROUP	$0	–	-67,941	-100.0%	-0.35%	–
CASY	Exit	CASEYS GEN STORES INCput	$0	–	-47,500	-100.0%	-0.39%	–
CWH	Exit	CAMPING WORLD HLDGS INCcall	$0	–	-200,000	-100.0%	-0.39%	–
CEF	Exit	SPROTT PHYSICAL GOLD & SILVEtr unit	$0	–	-399,456	-100.0%	-0.39%	–
LPX	Exit	LOUISIANA PAC CORPput	$0	–	-198,900	-100.0%	-0.42%	–
LHO	Exit	LASALLE HOTEL PPTYS	$0	–	-163,322	-100.0%	-0.43%	–
AMAT	Exit	APPLIED MATLS INC	$0	–	-125,000	-100.0%	-0.45%	–
	Exit	LAYNE CHRISTENSEN COnote 8.000 5/0	$0	–	-5,000	-100.0%	-0.50%	–
SIGM	Exit	SIGMA DESIGNS INC	$0	–	-1,090,971	-100.0%	-0.52%	–
XLNX	Exit	XILINX INC	$0	–	-111,700	-100.0%	-0.56%	–
MYL	Exit	MYLAN N Vput	$0	–	-205,000	-100.0%	-0.57%	–
VMW	Exit	VMWARE INCcall	$0	–	-55,000	-100.0%	-0.62%	–
ILG	Exit	ILG INC	$0	–	-262,017	-100.0%	-0.67%	–
OSPR	Exit	OSPREY ENERGY ACQUISITION CO	$0	–	-871,568	-100.0%	-0.68%	–
ANDV	Exit	ANDEAVOR	$0	–	-68,703	-100.0%	-0.70%	–
MS	Exit	MORGAN STANLEYcall	$0	–	-200,000	-100.0%	-0.73%	–
GGP	Exit	GGP INC	$0	–	-476,456	-100.0%	-0.75%	–
BABA	Exit	ALIBABA GROUP HLDG LTDcall	$0	–	-55,000	-100.0%	-0.79%	–
BABA	Exit	ALIBABA GROUP HLDG LTDput	$0	–	-59,000	-100.0%	-0.85%	–
BAC	Exit	BANK AMER CORPcall	$0	–	-450,000	-100.0%	-0.98%	–
GOOG	Exit	ALPHABET INCcap stk cl c	$0	–	-12,683	-100.0%	-1.09%	–
AABA	Exit	ALTABA INC	$0	–	-315,273	-100.0%	-1.78%	–
TLT	Exit	ISHARES TRput	$0	–	-300,000	-100.0%	-2.82%	–
C	Exit	CITIGROUP INCcall	$0	–	-645,000	-100.0%	-3.34%	–

Original filings

The following EDGAR filing(s) were analyzed to create this report:

View 13F-HR filed 2018-11-13

Signatures

The EDGAR filing(s) were signed by:

Daniel Gosselin — President

Top long-term holdings

Name	Quarters owned	Latest quarter owned	Max weighting
BGC PARTNERS INC	30	Q4 2022	1.9%
ISHARES TR	22	Q2 2023	2.8%
VANECK VECTORS ETF TRUST	21	Q3 2022	7.0%
SPDR SP 500 ETF TR	20	Q3 2023	8.8%
MAGNACHIP SEMICONDUCTOR CORP	19	Q3 2022	1.1%
NXP SEMICONDUCTORS N V	18	Q4 2020	2.9%
MICROSOFT CORP	18	Q2 2020	1.5%
ISHARES TR	17	Q1 2023	7.5%
CYPRESS SEMICONDUCTOR CORP	17	Q1 2019	2.5%
AEROJET ROCKETDYNE HLDGS INC	17	Q2 2022	1.4%

View K2 PRINCIPAL FUND, L.P.'s complete holdings history.

Latest significant ownerships (13-D/G)

K2 PRINCIPAL FUND, L.P. Q3 2018 significant holdings filed using form 13D/G when ownership exceeds 5% of a company's total stock issue.
	Filed	Shares	Percentage
AcuityAds Holdings Inc.	March 16, 2023	3,198,531	5.6%
ARS Pharmaceuticals, Inc.	February 13, 2023	2,045,348	2.2%
Solid Biosciences Inc.	February 13, 2023	284,871	1.5%
TCR2 THERAPEUTICS INC.	February 09, 2023	10	0.0%
AVROBIO, Inc.	February 08, 2023	10	0.0%
Goldenstone Acquisition Ltd.	February 08, 2023	10	0.0%
Relativity Acquisition Corp	February 08, 2023	10	0.0%
Sagaliam Acquisition Corp	February 08, 2023	10	0.0%
Pasithea Therapeutics Corp.	February 01, 2022	1,094,418	5.0%
Ignyte Acquisition Corp.	January 26, 2022	259,958	3.6%

View K2 PRINCIPAL FUND, L.P.'s complete significant-ownership history.

Latest filings

Type	Filed
13F-HR	2024-02-14
SC 13G/A	2024-02-12
SC 13G/A	2024-02-12
SC 13G	2024-02-09
13F-HR	2023-11-13
13F-HR	2023-08-15
13F-HR	2023-05-11
SC 13G/A	2023-03-16
SC 13G	2023-03-16
SC 13G/A	2023-02-13

View K2 PRINCIPAL FUND, L.P.'s complete filings history.

All filings

View complete filings history.

Compare quarters

Issues

The following issues were detected while analyzing the report:

The reported total value is incorrect (1041816000.0 != 1041868000.0)

Export K2 PRINCIPAL FUND, L.P.'s holdings