0001461790-15-000063.txt : 20150729 0001461790-15-000063.hdr.sgml : 20150729 20150729170449 ACCESSION NUMBER: 0001461790-15-000063 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150729 DATE AS OF CHANGE: 20150729 EFFECTIVENESS DATE: 20150729 FILER: COMPANY DATA: COMPANY CONFORMED NAME: K2 PRINCIPAL FUND, L.P. CENTRAL INDEX KEY: 0001461790 IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16812 FILM NUMBER: 151013492 BUSINESS ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 BUSINESS PHONE: 416-365-2155 MAIL ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 13F-HR 1 primary_doc.xml 13F-HR LIVE false false true 0001461790 XXXXXXXX 06-30-2015 06-30-2015 K2 PRINCIPAL FUND, L.P.

2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2

13F HOLDINGS REPORT 028-16812 N Shawn Kimel 416-365-2155 /s/Shawn Kimel TORONTO A6 07-29-2015 0 219 556795 false INFORMATION TABLE 2 informationtable.xml ABBVIE INC COM 00287Y109 269 4000 SH Call SOLE 4000 0 0 ABBVIE INC COM 00287Y109 336 5000 SH Call SOLE 5000 0 0 ABBVIE INC COM 00287Y109 336 5000 SH Put SOLE 5000 0 0 ABBVIE INC COM 00287Y109 942 14022 SH SOLE 14022 0 0 ADVENT SOFTWARE INC COM 007974108 1791 40511 SH SOLE 40511 0 0 ALLERGAN PLC SHS G0177J108 3891 12823 SH SOLE 12823 0 0 ALTERA CORP COM 021441100 6036 117900 SH SOLE 117900 0 0 AMERCO COM 023586100 4666 14272 SH SOLE 14272 0 0 APPLE INC COM 037833100 1656 13200 SH SOLE 13200 0 0 APPROACH RESOURCES INC COM 03834A103 86 12500 SH Put SOLE 12500 0 0 ARMSTRONG WORLD INDS INC NEW COM 04247X102 2938 55146 SH SOLE 55146 0 0 ASSOCIATED ESTATES RLTY CORP COM 045604105 19082 666520 SH SOLE 666520 0 0 AT&T INC COM 00206R102 1421 40000 SH Call SOLE 40000 0 0 ATLANTIC ALLIANCE PARTNER CO SHS G04897107 1015 100000 SH SOLE 100000 0 0 AUDIENCE INC COM 05070J102 3471 709715 SH SOLE 709715 0 0 BAKER HUGHES INC COM 057224107 10602 171831 SH SOLE 171831 0 0 BANCO SANTANDER BRASIL S A ADS REP 1 UNIT 05967A107 54 10000 SH Call SOLE 10000 0 0 BANK AMER CORP COM 060505104 1821 107000 SH Call SOLE 107000 0 0 BARRICK GOLD CORP COM 067901108 373 35000 SH Call SOLE 35000 0 0 BGC PARTNERS INC CL A 05541T101 289 33000 SH Call SOLE 33000 0 0 BGC PARTNERS INC CL A 05541T101 88 10000 SH Put SOLE 10000 0 0 BGC PARTNERS INC CL A 05541T101 10638 1215805 SH SOLE 1215805 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 543 13350 SH SOLE 13350 0 0 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 707 17300 SH SOLE 17300 0 0 BOB EVANS FARMS INC COM 096761101 511 10000 SH SOLE 10000 0 0 BRINKS CO COM 109696104 10577 359392 SH SOLE 359392 0 0 BROADCOM CORP CL A 111320107 6438 125042 SH SOLE 125042 0 0 CAPITOL ACQUISITION CORP II W EXP 05/15/201 14056V113 240 102100 SH SOLE 102100 0 0 CARBONITE INC COM 141337105 1862 157656 SH SOLE 157656 0 0 CARDIOME PHARMA CORP COM NO PAR 14159U301 128 13579 SH SOLE 13579 0 0 CATAMARAN CORP COM 148887102 768 12581 SH SOLE 12581 0 0 CF INDS HLDGS INC COM 125269100 3857 60000 SH Put SOLE 60000 0 0 CF INDS HLDGS INC COM 125269100 1607 25000 SH Put SOLE 25000 0 0 CHEESECAKE FACTORY INC COM 163072101 267 4900 SH SOLE 4900 0 0 CIGNA CORPORATION COM 125509109 2025 12500 SH Call SOLE 12500 0 0 CIGNA CORPORATION COM 125509109 1102 6800 SH SOLE 6800 0 0 CISCO SYS INC COM 17275R102 412 15000 SH Call SOLE 15000 0 0 CISCO SYS INC COM 17275R102 3529 128500 SH Call SOLE 128500 0 0 CITY NATL CORP COM 178566105 1682 18607 SH SOLE 18607 0 0 CLICKSOFTWARE TECHNOLOGIES L ORD M25082104 1192 94841 SH SOLE 94841 0 0 COEUR MNG INC COM NEW 192108504 185 32366 SH SOLE 32366 0 0 COMCAST CORP NEW CL A 20030N101 3091 51400 SH SOLE 51400 0 0 COMPutER SCIENCES CORP COM 205363104 656 10000 SH Call SOLE 10000 0 0 COMPutER SCIENCES CORP COM 205363104 2626 40000 SH Call SOLE 40000 0 0 COMPutER SCIENCES CORP COM 205363104 656 10000 SH Call SOLE 10000 0 0 COMPutER SCIENCES CORP COM 205363104 3938 60000 SH SOLE 60000 0 0 CYAN INC COM 23247W104 6243 1191447 SH SOLE 1191447 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 706 60000 SH Call SOLE 60000 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 1176 100000 SH Call SOLE 100000 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 3521 299375 SH SOLE 299375 0 0 DEALERTRACK TECHNOLOGIES INC COM 242309102 314 5000 SH Put SOLE 5000 0 0 DEALERTRACK TECHNOLOGIES INC COM 242309102 8798 140116 SH SOLE 140116 0 0 DIRECTV COM 25490A309 33094 356653 SH SOLE 356653 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25459Y389 228 28100 SH Call SOLE 28100 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25459Y389 207 25500 SH Call SOLE 25500 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25459Y389 406 50000 SH Call SOLE 50000 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25459Y389 138 17000 SH Call SOLE 17000 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25459Y389 92 11400 SH Call SOLE 11400 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25459Y389 81 10000 SH Call SOLE 10000 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25459Y389 81 10000 SH Call SOLE 10000 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25459Y389 139 17100 SH Put SOLE 17100 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25459Y389 81 10000 SH Put SOLE 10000 0 0 EBAY INC COM 278642103 6488 107700 SH SOLE 107700 0 0 EBAY INC COM 278642103 1205 20000 SH Call SOLE 20000 0 0 ELECTRUM SPL ACQUISITION COR UNIT 99/99/9999 G3105C120 3006 300000 SH SOLE 300000 0 0 FAMILY DLR STORES INC COM 307000109 36468 462738 SH SOLE 462738 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2926 120000 SH Call SOLE 120000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3271 134160 SH SOLE 134160 0 0 FIREEYE INC COM 31816Q101 245 5000 SH SOLE 5000 0 0 FIDELITY NATIONAL FINANCIAL FNFV GROUP COM 31620R402 5049 328294 SH SOLE 328294 0 0 FRANCO NEVADA CORP COM 351858105 238 5000 SH Call SOLE 5000 0 0 FREESCALE SEMICONDUCTOR LTD SHS G3727Q101 2693 67364 SH SOLE 67364 0 0 GAS NAT INC COM 367204104 1632 158421 SH SOLE 158421 0 0 GEEKNET INC COM NEW 36846Q203 3185 159706 SH SOLE 159706 0 0 GENERAL MTRS CO COM 37045V100 6112 183384 SH SOLE 183384 0 0 GLOBALSTAR INC COM 378973408 73 34500 SH SOLE 34500 0 0 GOOGLE INC CL C 38259P706 8849 17000 SH Call SOLE 17000 0 0 GOOGLE INC CL C 38259P706 521 1000 SH Call SOLE 1000 0 0 GOOGLE INC CL C 38259P706 521 1000 SH Put SOLE 1000 0 0 GOOGLE INC CL C 38259P706 3123 6000 SH Put SOLE 6000 0 0 GOOGLE INC CL C 38259P706 4164 8000 SH Put SOLE 8000 0 0 GOOGLE INC CL C 38259P706 521 1000 SH Put SOLE 1000 0 0 GOOGLE INC CL C 38259P706 31462 60445 SH SOLE 60445 0 0 GP INVTS ACQUISITION COR UNIT 99/99/9999 G40357116 2508 250000 SH SOLE 250000 0 0 HARMONY MERGER CORP UNIT 99/99/9999 413247206 6096 600000 SH SOLE 600000 0 0 HARMONY MERGER CORP COM 413247107 8865 900000 SH SOLE 900000 0 0 HARMONY MERGER CORP W EXP 01/01/202 413247123 252 900000 SH SOLE 900000 0 0 HCC INS HLDGS INC COM 404132102 5835 75939 SH SOLE 75939 0 0 HILL INTERNATIONAL INC COM 431466101 112 21322 SH SOLE 21322 0 0 IGATE CORP COM 45169U105 1026 21516 SH SOLE 21516 0 0 ILLUMINA INC COM 452327109 437 2000 SH SOLE 2000 0 0 INDEPENDENCE CONTRACT DRIL I COM 453415309 1658 186870 SH SOLE 186870 0 0 INFORMATICA CORP COM 45666Q102 4685 96650 SH SOLE 96650 0 0 INTEGRATED SILICON SOLUTION COM 45812P107 2872 129736 SH SOLE 129736 0 0 INTUIT COM 461202103 786 7800 SH SOLE 7800 0 0 ISHARES IBOXX HI YD ETF 464288513 622 7000 SH Put SOLE 7000 0 0 ISHARES IBOXX HI YD ETF 464288513 444 5000 SH Put SOLE 5000 0 0 ISHARES TR IBOXX INV CP ETF 464287242 1157 10000 SH Call SOLE 10000 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 594 6000 SH Put SOLE 6000 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 1386 14000 SH Put SOLE 14000 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 1287 13000 SH Put SOLE 13000 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 297 3000 SH Put SOLE 3000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1873 15000 SH Put SOLE 15000 0 0 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 281 1598 SH SOLE 1598 0 0 JOHNSON & JOHNSON COM 478160104 585 6000 SH Call SOLE 6000 0 0 JOHNSON & JOHNSON COM 478160104 877 9000 SH Call SOLE 9000 0 0 JOHNSON & JOHNSON COM 478160104 2417 24800 SH SOLE 24800 0 0 KEYCORP NEW PFD 7.75% SR A 493267405 1264 9646 SH SOLE 9646 0 0 KINROSS GOLD CORP COM NO PAR 496902404 227 98000 SH Put SOLE 98000 0 0 KRAFT FOODS GROUP INC COM 50076Q106 804 9441 SH SOLE 9441 0 0 LOUISIANA PAC CORP COM 546347105 1047 61500 SH Put SOLE 61500 0 0 LOUISIANA PAC CORP COM 546347105 1107 65000 SH Put SOLE 65000 0 0 LSB INDS INC COM 502160104 12143 297330 SH SOLE 297330 0 0 LUMENIS LTD SHS CL B M6778Q121 3799 276897 SH SOLE 276897 0 0 MACERICH CO COM 554382101 1209 16200 SH SOLE 16200 0 0 MADISON SQUARE GARDEN CO CL A 55826P100 626 7500 SH SOLE 7500 0 0 MARKET VECTORS ETF TR SEMICONDUCTOR 57060U233 1091 20000 SH Put SOLE 20000 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 844 64000 SH SOLE 64000 0 0 MASONITE INTL CORP NEW COM 575385109 1332 19000 SH Call SOLE 19000 0 0 MASONITE INTL CORP NEW COM 575385109 351 5000 SH Call SOLE 5000 0 0 MEADOWBROOK INS GROUP INC COM 58319P108 536 62372 SH SOLE 62372 0 0 MEADWESTVACO CORP COM 583334107 1359 28800 SH Call SOLE 28800 0 0 MEADWESTVACO CORP COM 583334107 944 20000 SH Call SOLE 20000 0 0 MEADWESTVACO CORP COM 583334107 13249 280761 SH SOLE 280761 0 0 MICREL INC COM 594793101 2812 202326 SH SOLE 202326 0 0 MICROSOFT CORP COM 594918104 1921 43500 SH SOLE 43500 0 0 MITEL NETWORKS CORP COM 60671Q104 332 37600 SH Put SOLE 37600 0 0 MOHAWK INDS INC COM 608190104 1909 10000 SH Put SOLE 10000 0 0 MORGANS HOTEL GROUP CO COM 61748W108 604 89603 SH SOLE 89603 0 0 MYLAN N V SHS EURO N59465109 3020 44500 SH SOLE 44500 0 0 NCR CORP NEW COM 62886E108 1505 50000 SH Call SOLE 50000 0 0 NCR CORP NEW COM 62886E108 1713 56918 SH SOLE 56918 0 0 NEWMONT MINING CORP COM 651639106 234 10000 SH Call SOLE 10000 0 0 NEWMONT MINING CORP COM 651639106 350 15000 SH Call SOLE 15000 0 0 NEWMONT MINING CORP COM 651639106 327 14000 SH Call SOLE 14000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 1129 11500 SH Call SOLE 11500 0 0 NXP SEMICONDUCTORS N V COM N6596X109 2367 24107 SH SOLE 24107 0 0 OFFICE DEPOT INC COM 676220106 2091 241500 SH SOLE 241500 0 0 OMNICARE INC COM 681904108 283 3000 SH SOLE 3000 0 0 OMNIVISION TECHNOLOGIES INC COM 682128103 656 25047 SH SOLE 25047 0 0 THE ONE GROUP HOSPITALITY IN COM 88338K103 226 53972 SH SOLE 53972 0 0 OPEN TEXT CORP COM 683715106 4458 110000 SH Call SOLE 110000 0 0 OPEN TEXT CORP COM 683715106 203 5000 SH Call SOLE 5000 0 0 ORBITZ WORLDWIDE INC COM 68557K109 6351 556141 SH SOLE 556141 0 0 PACWEST BANCORP DEL COM 695263103 1542 32984 SH SOLE 32984 0 0 PALO ALTO NETWORKS INC COM 697435105 6813 39000 SH Put SOLE 39000 0 0 PALO ALTO NETWORKS INC COM 697435105 3494 20000 SH Put SOLE 20000 0 0 PALO ALTO NETWORKS INC COM 697435105 524 3000 SH Put SOLE 3000 0 0 PALO ALTO NETWORKS INC COM 697435105 437 2501 SH SOLE 2501 0 0 PANGAEA LOGISTICS SOLUTION L SHS G6891L105 1087 336629 SH SOLE 336629 0 0 PARAMOUNT GOLD NEV CORP COM 69924M109 55 36144 SH SOLE 36144 0 0 PARTNERRE LTD COM G6852T105 5478 42633 SH SOLE 42633 0 0 PENNSYLVANIA RL ESTATE INVT SH BEN INT 709102107 1758 82366 SH SOLE 82366 0 0 PMFG INC COM 69345P103 1595 248020 SH SOLE 248020 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 18780 175400 SH Put SOLE 175400 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 9101 85000 SH Put SOLE 85000 0 0 QUAD / GRAPHICS INC COM CL A 747301109 185 10000 SH Put SOLE 10000 0 0 QUAD / GRAPHICS INC COM CL A 747301109 381 20593 SH SOLE 20593 0 0 QUINPARIO ACQUISITION CORP 2 COM 74874U101 1972 200000 SH SOLE 200000 0 0 QUINPARIO ACQUISITION CORP 2 W EXP 01/01/202 74874U119 120 200000 SH SOLE 200000 0 0 RADNET INC COM 750491102 140 20924 SH SOLE 20924 0 0 RALPH LAUREN CORP CL A 751212101 662 5000 SH Call SOLE 5000 0 0 RALPH LAUREN CORP CL A 751212101 463 3500 SH Put SOLE 3500 0 0 RALPH LAUREN CORP CL A 751212101 807 6100 SH SOLE 6100 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 355 9300 SH Call SOLE 9300 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 1108 29000 SH Call SOLE 29000 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 229 6000 SH Put SOLE 6000 0 0 RINGCENTRAL INC CL A 76680R206 185 10000 SH Put SOLE 10000 0 0 ROCK-TENN CO CL A 772739207 1204 20000 SH Call SOLE 20000 0 0 ROCK-TENN CO CL A 772739207 1114 18500 SH Call SOLE 18500 0 0 ROI ACQUISITION CORP II COM 74966G101 183 17875 SH SOLE 17875 0 0 DONNELLEY R R & SONS CO COM 257867101 959 55000 SH Put SOLE 55000 0 0 SHIRE PLC SPONSORED ADR 82481R106 1522 6301 SH SOLE 6301 0 0 SHORETEL INC COM 825211105 95 14000 SH Call SOLE 14000 0 0 SHORETEL INC COM 825211105 8058 1188551 SH SOLE 1188551 0 0 SIGMA ALDRICH CORP COM 826552101 12207 87603 SH SOLE 87603 0 0 SILVER WHEATON CORP COM 828336107 413 23835 SH SOLE 23835 0 0 SONUS NETWORKS INC COM NEW 835916503 489 70646 SH SOLE 70646 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 899 8000 SH Call SOLE 8000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2059 10000 SH Put SOLE 10000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2059 10000 SH Put SOLE 10000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 6505 31600 SH Put SOLE 31600 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 2467 25000 SH Put SOLE 25000 0 0 STAMPS COM INC COM NEW 852857200 714 9711 SH SOLE 9711 0 0 STAPLES INC COM 855030102 536 35000 SH Call SOLE 35000 0 0 STAPLES INC COM 855030102 306 20000 SH Call SOLE 20000 0 0 STAPLES INC COM 855030102 873 57000 SH Call SOLE 57000 0 0 STAPLES INC COM 855030102 690 45100 SH Call SOLE 45100 0 0 STAPLES INC COM 855030102 383 25000 SH Call SOLE 25000 0 0 STAPLES INC COM 855030102 1148 75000 SH Call SOLE 75000 0 0 STAPLES INC COM 855030102 502 32800 SH Call SOLE 32800 0 0 STAPLES INC COM 855030102 544 35500 SH Call SOLE 35500 0 0 STAPLES INC COM 855030102 517 33800 SH Call SOLE 33800 0 0 STAPLES INC COM 855030102 612 40000 SH Call SOLE 40000 0 0 STAPLES INC COM 855030102 689 45000 SH Call SOLE 45000 0 0 STAPLES INC COM 855030102 243 15900 SH Call SOLE 15900 0 0 STAPLES INC COM 855030102 3802 248318 SH SOLE 248318 0 0 SUSQUEHANNA BANCSHARES INC P COM 869099101 4302 304691 SH SOLE 304691 0 0 SYNGENTA AG SPONSORED ADR 87160A100 653 8000 SH SOLE 8000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2070 50000 SH Put SOLE 50000 0 0 TEKMIRA PHARMACEUTICALS CORP COM NEW 87911B209 506 42635 SH SOLE 42635 0 0 TERRAPIN 3 ACQUISITION CORP COM CL A 88104P104 2000 201000 SH SOLE 201000 0 0 TERRAPIN 3 ACQUISITION CORP W EXP 06/27/201 88104P112 60 200000 SH SOLE 200000 0 0 THOR INDS INC COM 885160101 563 10000 SH SOLE 10000 0 0 TIME WARNER CABLE INC COM 88732J207 1782 10000 SH SOLE 10000 0 0 TJX COS INC NEW COM 872540109 397 6000 SH Call SOLE 6000 0 0 TJX COS INC NEW COM 872540109 3639 55000 SH SOLE 55000 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 255 6000 SH Call SOLE 6000 0 0 TRADE STR RESIDENTIAL INC COM NEW 89255N203 363 54531 SH SOLE 54531 0 0 TYSON FOODS INC CL A 902494103 384 9000 SH Call SOLE 9000 0 0 UNITED STS BRENT OIL FD LP UNIT 91167Q100 226 10000 SH SOLE 10000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 7048 170000 SH Put SOLE 170000 0 0 WESCO INTL INC COM 95082P105 309 4500 SH Call SOLE 4500 0 0 WINNEBAGO INDS INC COM 974637100 236 10000 SH Put SOLE 10000 0 0 WINNEBAGO INDS INC COM 974637100 2427 102870 SH SOLE 102870 0 0 WL ROSS HLDG CORP COM SHS 92939D104 1237 118810 SH SOLE 118810 0 0 WL ROSS HLDG CORP W EXP 06/11/201 92939D112 255 255411 SH SOLE 255411 0 0 YAMANA GOLD INC COM 98462Y100 45 15000 SH Call SOLE 15000 0 0 YRC WORLDWIDE INC COM PAR $.01 984249607 143 11000 SH Put SOLE 11000 0 0