SELECT SECTOR SPDR TR

Ticker: XLK CUSIP: 81369Y803 Class: TECHNOLOGY

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

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

Q4 2018
Shares 30,000 Value ($000) $1,859 Avg Close — Range —
Q1 2016
Shares 60,000 Value ($000) $2,662 Avg Close — Range —
Q4 2015
Shares 17,500 Value ($000) $750 Avg Close — Range —
Q1 2015
Shares 15,000 Value ($000) $622 Avg Close — Range —