0001461790-16-000088.txt : 20161115 0001461790-16-000088.hdr.sgml : 20161115 20161114190155 ACCESSION NUMBER: 0001461790-16-000088 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161115 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161115 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: 161997304 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 09-30-2016 09-30-2016 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 11-14-2016 0 277 891660 false INFORMATION TABLE 2 informationtable.xml AARONS INC COM PAR 0.50 2535300 73234 1862 SH SOLE 1862 0 0 AEGERION PHARMACEUTICALS INC NOTE 2.000 8/1 00767EAB8 5000 3325 PRN SOLE 3325 0 0 AEGERION PHARMACEUTICALS INC COM 00767E102 124454 370 SH SOLE 370 0 0 AGRIUM INC COM 8916108 44702 4054 SH SOLE 4054 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 25000 2645 SH Call SOLE 2645 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 75000 7934 SH Put SOLE 7934 0 0 ALLERGAN PLC SHS G0177J108 25000 5758 SH Call SOLE 5758 0 0 ALLERGAN PLC SHS G0177J108 18311 4217 SH SOLE 4217 0 0 ALLIANCE DATA SYSTEMS CORP COM 18581108 30000 6436 SH Call SOLE 6436 0 0 ALLIANCE DATA SYSTEMS CORP COM 18581108 15000 3218 SH SOLE 3218 0 0 ALPHABET INC CAP STK CL A 02079K305 7000 5628 SH Call SOLE 5628 0 0 ALPHABET INC CAP STK CL A 02079K305 1000 804 SH Put SOLE 804 0 0 ALPHABET INC CAP STK CL C 02079K107 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