President

0001461790-16-000070.txt : 20160212 0001461790-16-000070.hdr.sgml : 20160212 20160212162012 ACCESSION NUMBER: 0001461790-16-000070 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160212 DATE AS OF CHANGE: 20160212 EFFECTIVENESS DATE: 20160212 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: 161419455 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 12-31-2015 12-31-2015 K2 PRINCIPAL FUND, L.P.

2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2

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SH SOLE 95309 0 0 SOLERA HOLDINGS INC COM 83421A104 466 8492 SH SOLE 8492 0 0 SOUTHWESTERN ENERGY CO COM 845467109 219 30800 SH Put SOLE 30800 0 0 SOUTHWESTERN ENERGY CO COM 845467109 92 13000 SH Put SOLE 13000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 79 11100 SH Put SOLE 11100 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 2618 77200 SH Call SOLE 77200 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 526 15500 SH Call SOLE 15500 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 543 16000 SH Put SOLE 16000 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 203 6000 SH Put SOLE 6000 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 237 7000 SH Put SOLE 7000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 406 4000 SH Call SOLE 4000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2039 10000 SH Put SOLE 10000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2039 10000 SH Put SOLE 10000 0 0 CENTRAL GOLDTRUST TR UNIT 153546106 11472 304288 SH SOLE 304288 0 0 STAMPS COM INC COM NEW 852857200 648 5911 SH SOLE 5911 0 0 STAPLES INC COM 855030102 474 50100 SH Call SOLE 50100 0 0 STAPLES INC COM 855030102 426 45000 SH Call SOLE 45000 0 0 STAPLES INC COM 855030102 151 15900 SH Call SOLE 15900 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 3353 48396 SH SOLE 48396 0 0 SYMETRA FINL CORP COM 87151Q106 794 24996 SH SOLE 24996 0 0 SYNCHRONY FINL COM 87165B103 1414 46500 SH Call SOLE 46500 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 750 17500 SH SOLE 17500 0 0 TECO ENERGY INC COM 872375100 205 7700 SH SOLE 7700 0 0 TELECOMMUNICATION SYS INC CL A 87929J103 505 101556 SH SOLE 101556 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 455 15000 SH Put SOLE 15000 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 303 10000 SH Put SOLE 10000 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 303 10000 SH Put SOLE 10000 0 0 TERRAPIN 3 ACQUISITION CORP COM CL A 88104P104 1982 201000 SH SOLE 201000 0 0 TERRAPIN 3 ACQUISITION CORP W EXP 06/27/201 88104P112 51 204600 SH SOLE 204600 0 0 TESLA MTRS INC COM 88160R101 1560 6500 SH Put SOLE 6500 0 0 TESLA MTRS INC COM 88160R101 840 3500 SH Put SOLE 3500 0 0 TESLA MTRS INC COM 88160R101 600 2500 SH Put SOLE 2500 0 0 THOR INDS INC COM 885160101 281 5000 SH SOLE 5000 0 0 TIDEWATER INC COM 886423102 237 34000 SH Put SOLE 34000 0 0 TIME WARNER CABLE INC COM 88732J207 5011 27000 SH Put SOLE 27000 0 0 TIME WARNER CABLE INC COM 88732J207 5845 31492 SH SOLE 31492 0 0 TJX COS INC NEW COM 872540109 773 10900 SH Put SOLE 10900 0 0 TJX COS INC NEW COM 872540109 709 10000 SH Put SOLE 10000 0 0 TJX COS INC NEW COM 872540109 4029 56818 SH SOLE 56818 0 0 TYCO INTL PLC SHS G91442106 638 20000 SH Call SOLE 20000 0 0 TYCO INTL PLC SHS G91442106 319 10000 SH Call SOLE 10000 0 0 ULTRA PETROLEUM CORP COM 903914109 75 30000 SH Put SOLE 30000 0 0 ULTRA PETROLEUM CORP COM 903914109 150 60000 SH Put SOLE 60000 0 0 ULTRA PETROLEUM CORP COM 903914109 33 13000 SH Put SOLE 13000 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 13305 1209576 SH SOLE 1209576 0 0 UTI WORLDWIDE INC NOTE 4.500 3/0 90349LAB0 13860 13860000 PRN SOLE 13860000 0 0 UTI WORLDWIDE INC ORD G87210103 2584 367614 SH SOLE 367614 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 5194 120000 SH Put SOLE 120000 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 407 4000 SH Call SOLE 4000 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 610 6000 SH Call SOLE 6000 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 274 2700 SH Put SOLE 2700 0 0 VALERO ENERGY CORP NEW COM 91913Y100 4596 65000 SH Put SOLE 65000 0 0 VALERO ENERGY CORP NEW COM 91913Y100 3033 42900 SH Put SOLE 42900 0 0 WESTERN DIGITAL CORP COM 958102105 480 8000 SH Put SOLE 8000 0 0 WESTERN DIGITAL CORP COM 958102105 480 8000 SH Put SOLE 8000 0 0 WESTERN DIGITAL CORP COM 958102105 607 10100 SH Put SOLE 10100 0 0 WESTERN DIGITAL CORP COM 958102105 480 8000 SH Put SOLE 8000 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 194 96600 SH Put SOLE 96600 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 57 28600 SH Put SOLE 28600 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 366 181921 SH SOLE 181921 0 0 WL ROSS HLDG CORP COM SHS 92939D104 1139 114310 SH SOLE 114310 0 0 WL ROSS HLDG CORP W EXP 06/11/201 92939D112 84 255411 SH SOLE 255411 0 0 YAHOO INC COM 984332106 4939 148491 SH SOLE 148491 0 0 YOUKU TUDOU INC SPONSORED ADR 98742U100 16825 620169 SH SOLE 620169 0 0 YRC WORLDWIDE INC COM PAR .01 984249607 581 41000 SH Call SOLE 41000 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 564 24000 SH Put SOLE 24000 0 0