CC NEUBERGER PRIN HLDGS II

CUSIP: G3166T111 Class: *W EXP 07/29/202

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

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

Q2 2022
Shares 536,632 Value ($000) $247 Avg Close — Range —
Q1 2022
Shares 651,020 Value ($000) $651 Avg Close — Range —
Q4 2021
Shares 1,469,624 Value ($000) $1,999 Avg Close — Range —
Q3 2021
Shares 1,246,050 Value ($000) $1,259 Avg Close — Range —