K2 PRINCIPAL FUND, L.P.

Holdings History for CC NEUBERGER PRINCIPAL HLDNG - UNIT 99/99/9999 (PCPLU)

Symbol: PCPLU
Investment type: Equity / UNIT 99/99/9999

Shares, Excluding Options vs Price

Value, Excluding Options

Holdings date	Weight	Change	Value $	Shares	Change	Activity %	Price	All Holders
31 Dec 2020		-1.2%	$0	0	-443,349	-100%		Q4 2020
30 Sep 2020	1.2%	-0.01%	$4,806,000	443,349	-4,249	-0.95%	$10.84	Q3 2020
30 Jun 2020	1.8%	+1.8%	$4,745,000	447,598	+447,598	NEW	$10.60	Q2 2020

* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.