GAIN CAP HLDGS INC

CUSIP: 36268WAF7 Class: NOTE 5.000% 8/1

K2 PRINCIPAL FUND, L.P.'s Holding History (CIK: 0001461790)

Note: Option positions (PUT/CALL) are excluded.

Q2 2020
Shares 5,000 Value ($000) $4,994 Avg Close — Range —
Q1 2020
Shares 5,000 Value ($000) $4,900 Avg Close — Range —