CC NEUBERGER PRINCIPAL HLDNG

CUSIP: G1992Y106 Class: Equity

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

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

Q3 2020
Shares 443,349 Value ($000) $4,806 Avg Close — Range —
Q2 2020
Shares 447,598 Value ($000) $4,745 Avg Close — Range —