0001461790-16-000090.txt : 20161115 0001461790-16-000090.hdr.sgml : 20161115 20161115105445 ACCESSION NUMBER: 0001461790-16-000090 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161115 DATE AS OF CHANGE: 20161115 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-16812 FILM NUMBER: 161998272 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/A 1 primary_doc.xml 13F-HR/A LIVE false false true 0001461790 XXXXXXXX 09-30-2016 09-30-2016 true 1 RESTATEMENT 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 11-15-2016 0 277 891660 false INFORMATION TABLE 2 informationtable.xml AARONS INC COM PAR 0.50 002535300 1862 73234 SH SOLE 73234 0 0 AEGERION PHARMACEUTICALS INC NOTE 2.000 8/1 00767EAB8 3325 5000 PRN SOLE 5000 0 0 AEGERION PHARMACEUTICALS INC COM 00767E102 370 124454 SH SOLE 124454 0 0 AGRIUM INC COM 008916108 4054 44702 SH SOLE 44702 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2645 25000 SH Call SOLE 25000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 7934 75000 SH Put SOLE 75000 0 0 ALLERGAN PLC SHS G0177J108 5758 25000 SH Call SOLE 25000 0 0 ALLERGAN PLC SHS G0177J108 4217 18311 SH SOLE 18311 0 0 ALLIANCE DATA SYSTEMS CORP COM 018581108 6436 30000 SH Call SOLE 30000 0 0 ALLIANCE DATA SYSTEMS CORP COM 018581108 3218 15000 SH SOLE 15000 0 0 ALPHABET INC CAP STK CL A 02079K305 5628 7000 SH Call SOLE 7000 0 0 ALPHABET INC CAP STK CL A 02079K305 804 1000 SH Put SOLE 1000 0 0 ALPHABET INC CAP STK CL C 02079K107 15959 20531 SH SOLE 20531 0 0 AMERCO COM 023586100 524 1616 SH SOLE 1616 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 729 19900 SH Call SOLE 19900 0 0 AMERICAN CAP LTD COM 02503Y103 21711 1283893 SH SOLE 1283893 0 0 AMERICAN FARMLAND CO COM 02589Y100 552 70000 SH SOLE 70000 0 0 ANDINA ACQUISITION CORP II SHS G0441P104 414 41901 SH SOLE 41901 0 0 APIGEE CORP COM 03765N108 5207 299229 SH SOLE 299229 0 0 ARALEZ PHARMACEUTICALS INC COM 03852X100 90 18533 SH SOLE 18533 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 370 107620 SH SOLE 107620 0 0 AROWANA INC SHS G05011104 274 26885 SH SOLE 26885 0 0 ASANKO GOLD INC COM 04341Y105 54 12800 SH Call SOLE 12800 0 0 ASANKO GOLD INC COM 04341Y105 95 22500 SH Put SOLE 22500 0 0 ATLANTIC ALLIANCE PARTNER CO SHS G04897107 2552 243039 SH SOLE 243039 0 0 AVG TECHNOLOGIES N V SHS N07831105 235 9403 SH SOLE 9403 0 0 AXALTA COATING SYS LTD COM G0750C108 283 10000 SH SOLE 10000 0 0 B2GOLD CORP NOTE 3.25010/0 11777QAB6 5555 5500 PRN SOLE 5500 0 0 BALL CORP COM 058498106 1377 16800 SH Call SOLE 16800 0 0 BALL CORP COM 058498106 492 6000 SH Put SOLE 6000 0 0 BALL CORP COM 058498106 410 5000 SH SOLE 5000 0 0 BANK AMER CORP COM 060505104 1080 69000 SH Call SOLE 69000 0 0 BASIC ENERGY SVCS INC NEW COM 06985P100 8 10000 SH Call SOLE 10000 0 0 BASIC ENERGY SVCS INC NEW COM 06985P100 75 90900 SH Put SOLE 90900 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 887 6138 SH SOLE 6138 0 0 BGC PARTNERS INC CL A 05541T101 3808 435168 SH SOLE 435168 0 0 BLACKROCK INC COM 09247X101 2526 6970 SH SOLE 6970 0 0 BOB EVANS FARMS INC COM 096761101 222 5800 SH SOLE 5800 0 0 BORGWARNER INC COM 099724106 3025 86000 SH Put SOLE 86000 0 0 BORGWARNER INC COM 099724106 299 8504 SH SOLE 8504 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 7268 134800 SH Call SOLE 134800 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 8530 158200 SH SOLE 158200 0 0 BROADSOFT INC COM 11133B409 233 5000 SH Put SOLE 5000 0 0 CARMIKE CINEMAS INC COM 143436400 1962 60010 SH SOLE 60010 0 0 CBOE HLDGS INC COM 12503M108 368 5680 SH SOLE 5680 0 0 CF CORP SHS CL A G20307107 3916 400000 SH SOLE 400000 0 0 CF CORP UNIT 99/99/9999E G20307123 214 21000 SH SOLE 21000 0 0 CF CORP W EXP 05/25/202 G20307115 180 200000 SH SOLE 200000 0 0 GROUPE CGI INC CL A SUB VTG 39945C109 238 5000 SH Call SOLE 5000 0 0 GROUPE CGI INC CL A SUB VTG 39945C109 1567 32900 SH Put SOLE 32900 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 1940 25000 SH Call SOLE 25000 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 660 8500 SH SOLE 8500 0 0 CHEESECAKE FACTORY INC COM 163072101 300 6000 SH SOLE 6000 0 0 CITIGROUP INC COM NEW 172967424 2598 55000 SH Call SOLE 55000 0 0 CITIGROUP INC COM NEW 172967424 4723 100000 SH Put SOLE 100000 0 0 CITIGROUP INC COM NEW 172967424 2834 60000 SH SOLE 60000 0 0 COEUR MNG INC COM NEW 192108504 2354 199000 SH Call SOLE 199000 0 0 COEUR MNG INC COM NEW 192108504 241 20400 SH Put SOLE 20400 0 0 CONYERS PK ACQUISITION UNIT 99/99/99991 212894208 1612 150000 SH SOLE 150000 0 0 COSTCO WHSL CORP NEW COM 22160K105 4575 30000 SH Put SOLE 30000 0 0 CSRA INC COM 12650T104 3094 115000 SH SOLE 115000 0 0 CSX CORP COM 126408103 1678 55000 SH Call SOLE 55000 0 0 CYNAPSUS THERAPEUTICS INC COM PAR NO PAR 23257Y859 11507 286023 SH SOLE 286023 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 3072 252600 SH Call SOLE 252600 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 10640 875000 SH SOLE 875000 0 0 DEERE & CO COM 244199105 1451 17000 SH Put SOLE 17000 0 0 DELL TECHNOLOGIES INC COM CL V 24703L103 3183 66585 SH SOLE 66585 0 0 DELPHI AUTOMOTIVE PLC SHS G27823106 642 9000 SH Put SOLE 9000 0 0 DIAMONDROCK HOSPITALITY CO COM 252784301 109 12000 SH SOLE 12000 0 0 DIEBOLD INC COM 253651103 3471 140000 SH Call SOLE 140000 0 0 DIEBOLD INC COM 253651103 4906 197900 SH SOLE 197900 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25490K570 10283 543200 SH Put SOLE 543200 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25490K133 1360 40400 SH Put SOLE 40400 0 0 DIREXION SHS ETF TR DAILY SM CAP BEA 25490K521 357 13300 SH Put SOLE 13300 0 0 DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 479 6000 SH Call SOLE 6000 0 0 DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 4998 62600 SH Put SOLE 62600 0 0 DOLLAR TREE INC COM 256746108 2368 30000 SH Call SOLE 30000 0 0 DOLLAR TREE INC COM 256746108 1054 13348 SH SOLE 13348 0 0 DOMINION DIAMOND CORP COM 257287102 124 12700 SH Call SOLE 12700 0 0 DOMINION DIAMOND CORP COM 257287102 5583 573152 SH SOLE 573152 0 0 DOUBLE EAGLE ACQUISITION COR COM G28195124 3024 305451 SH SOLE 305451 0 0 DOUBLE EAGLE ACQUISITION COR W EXP 09/16/202 G28195116 118 294917 SH SOLE 294917 0 0 ELECTRUM SPL ACQUISITION COR SHS G3105C104 3371 342697 SH SOLE 342697 0 0 ELECTRUM SPL ACQUISITION COR W EXP 99/99/999 G3105C112 72 315000 SH SOLE 315000 0 0 EMERGENT CAP INC COM 29102N105 121 41282 SH SOLE 41282 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 2976 42200 SH Call SOLE 42200 0 0 FEDERAL MOGUL HOLDINGS CORP COM 313549404 240 25000 SH SOLE 25000 0 0 FELCOR LODGING TR INC COM 31430F101 617 95917 SH SOLE 95917 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 9459 490100 SH Call SOLE 490100 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 14958 775000 SH SOLE 775000 0 0 FLEETMATICS GROUP PLC COM G35569105 1132 18876 SH SOLE 18876 0 0 FORD MTR CO DEL COM PAR 0.01 345370860 217 18000 SH Call SOLE 18000 0 0 FORESTAR GROUP INC COM 346233109 868 74148 SH SOLE 74148 0 0 GANNETT CO INC COM 36473H104 291 25000 SH SOLE 25000 0 0 GAS NAT INC COM 367204104 1040 135542 SH SOLE 135542 0 0 GENERAL MLS INC COM 370334104 7202 131900 SH Call SOLE 131900 0 0 GILEAD SCIENCES INC COM 375558103 396 5000 SH Call SOLE 5000 0 0 GILEAD SCIENCES INC COM 375558103 356 4500 SH Put SOLE 4500 0 0 GILEAD SCIENCES INC COM 375558103 847 10700 SH SOLE 10700 0 0 GLOBALSTAR INC COM 378973408 20 16859 SH SOLE 16859 0 0 GORES HLDGS INC CL A 382866101 108 10000 SH SOLE 10000 0 0 GORES HLDGS INC W EXP 08/13/202 382866119 192 160000 SH SOLE 160000 0 0 GP INVTS ACQUISITION COR SHS G40357124 2876 298700 SH SOLE 298700 0 0 GP INVTS ACQUISITION COR W EXP 05/19/202 G40357108 90 146850 SH SOLE 146850 0 0 HARMONY MERGER CORP UNIT 99/99/9999 413247206 6102 600000 SH SOLE 600000 0 0 HARMONY MERGER CORP COM 413247107 9045 900000 SH SOLE 900000 0 0 HARMONY MERGER CORP W EXP 01/01/202 413247123 246 900000 SH SOLE 900000 0 0 HENNESSY CAP ACQUISITION COR COM 42588J100 1109 113172 SH SOLE 113172 0 0 HERSHEY CO COM 427866108 406 4252 SH SOLE 4252 0 0 HORIZON PHARMA INVT LTD NOTE 2.500 3/1 44052TAB7 1886 2000 PRN SOLE 2000 0 0 HUTCHINSON TECHNOLOGY INC COM 448407106 106 26629 SH SOLE 26629 0 0 HYDRA INDS ACQUISITION CORP COM 448740100 291 29209 SH SOLE 29209 0 0 IAMGOLD CORP COM 450913108 77 19000 SH Call SOLE 19000 0 0 IAMGOLD CORP COM 450913108 89 22000 SH Put SOLE 22000 0 0 IHS MARKIT LTD SHS G47567105 2260 60176 SH SOLE 60176 0 0 INCONTACT INC NOTE 2.500 4/0 45336EAB5 2403 2000 PRN SOLE 2000 0 0 INFOBLOX INC COM 45672H104 1582 60000 SH SOLE 60000 0 0 INGRAM MICRO INC CL A 457153104 13373 375000 SH SOLE 375000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 4332 31500 SH Call SOLE 31500 0 0 ISHARES TR 20 YR TR BD ETF 464287432 26127 190000 SH Put SOLE 190000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 889 6463 SH SOLE 6463 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 1931 50800 SH Call SOLE 50800 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 608 16000 SH Put SOLE 16000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 209 5501 SH SOLE 5501 0 0 ISHARES TR LATN AMER 40 ETF 464287390 338 12065 SH SOLE 12065 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 1447 5000 SH Call SOLE 5000 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 2316 8000 SH Put SOLE 8000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 4099 33000 SH Call SOLE 33000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 7142 57500 SH Put SOLE 57500 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 255 14000 SH SOLE 14000 0 0 ISHARES TR US HOME CONS ETF 464288752 1714 62200 SH Put SOLE 62200 0 0 ITC HLDGS CORP COM 465685105 1394 30000 SH SOLE 30000 0 0 J2 GLOBAL INC COM 48123V102 466 7000 SH Put SOLE 7000 0 0 JPMORGAN CHASE & CO COM 46625H100 400 6000 SH Put SOLE 6000 0 0 JPMORGAN CHASE & CO COM 46625H100 810 12167 SH SOLE 12167 0 0 KAPSTONE PAPER & PACKAGING C COM 48562P103 2554 135000 SH SOLE 135000 0 0 KEYCORP NEW PFD 7.75 SR A 493267405 225 1646 SH SOLE 1646 0 0 KLA-TENCOR CORP COM 482480100 4873 69900 SH Put SOLE 69900 0 0 KLA-TENCOR CORP COM 482480100 15336 220000 SH SOLE 220000 0 0 KLR ENERGY ACQUISITION CORP CL A 49877M108 5072 501202 SH SOLE 501202 0 0 KLR ENERGY ACQUISITION CORP W EXP 09/16/202 49877M116 210 500000 SH SOLE 500000 0 0 KRAFT HEINZ CO COM 500754106 1557 17400 SH Call SOLE 17400 0 0 KRAFT HEINZ CO COM 500754106 2506 28000 SH Put SOLE 28000 0 0 LAM RESEARCH CORP COM 512807108 2368 25000 SH Call SOLE 25000 0 0 LANDCADIA HLDGS INC UNIT 12/31/2021T 51476W206 2563 250000 SH SOLE 250000 0 0 LEXMARK INTL INC CL A 529771107 4635 115982 SH SOLE 115982 0 0 LINKEDIN CORP NOTE 0.50011/0 53578AAB4 3863 3900 PRN SOLE 3900 0 0 LINKEDIN CORP COM CL A 53578A108 12372 64732 SH SOLE 64732 0 0 LOUISIANA PAC CORP COM 546347105 3858 204900 SH Call SOLE 204900 0 0 LOUISIANA PAC CORP COM 546347105 1224 65000 SH Put SOLE 65000 0 0 LOUISIANA PAC CORP COM 546347105 7590 403057 SH SOLE 403057 0 0 M I ACQUISITIONS INC UNIT 99/99/9999 55304A203 4008 400000 SH SOLE 400000 0 0 M III ACQUISITION CORP UNIT 99/99/9999T 55378T203 1759 179500 SH SOLE 179500 0 0 MAGNA INTL INC COM 559222401 215 5000 SH Call SOLE 5000 0 0 MAGNA INTL INC COM 559222401 558 13000 SH Put SOLE 13000 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 933 111842 SH SOLE 111842 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 2396 60000 SH Call SOLE 60000 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 6389 160000 SH SOLE 160000 0 0 MEDIA GEN INC NEW COM 58441K100 184 10000 SH SOLE 10000 0 0 MICROSOFT CORP COM 594918104 3259 56581 SH SOLE 56581 0 0 MONSANTO CO NEW COM 61166W101 1482 14500 SH SOLE 14500 0 0 MORNINGSTAR INC COM 617700109 224 2824 SH SOLE 2824 0 0 MOSAIC CO NEW COM 61945C103 245 10000 SH SOLE 10000 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 2594 34000 SH Put SOLE 34000 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 976 12800 SH SOLE 12800 0 0 MYLAN N V SHS EURO N59465109 953 25000 SH Call SOLE 25000 0 0 MYLAN N V SHS EURO N59465109 4571 119900 SH Put SOLE 119900 0 0 NETFLIX INC COM 64110L106 1478 15000 SH Put SOLE 15000 0 0 NETSUITE INC COM 64118Q107 719 6500 SH Put SOLE 6500 0 0 NETSUITE INC COM 64118Q107 3044 27500 SH SOLE 27500 0 0 NEW YORK REIT INC COM 64976L109 174 19000 SH Put SOLE 19000 0 0 NEW YORK REIT INC COM 64976L109 13636 1490224 SH SOLE 1490224 0 0 NEXEO SOLUTIONS INC W EXP 06/09/202 65342H110 136 218817 SH SOLE 218817 0 0 NOVAGOLD RES INC COM NEW 66987E206 659 117600 SH Call SOLE 117600 0 0 NXP SEMICONDUCTORS N V COM N6596X109 2163 21200 SH Call SOLE 21200 0 0 NXP SEMICONDUCTORS N V COM N6596X109 4080 40000 SH Put SOLE 40000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 6284 61600 SH SOLE 61600 0 0 OFFICE DEPOT INC COM 676220106 809 226525 SH SOLE 226525 0 0 OI S A SPONSORED ADR NE 670851500 2931 516089 SH SOLE 516089 0 0 ORACLE CORP COM 68389X105 471 12000 SH Call SOLE 12000 0 0 ORIGO ACQUISITION CORP SHS G67789126 366 35494 SH SOLE 35494 0 0 PACE HLDGS CORP CL A G6865N103 974 99000 SH SOLE 99000 0 0 PACE HLDGS CORP W EXP 99/99/999 G6865N111 42 99000 SH SOLE 99000 0 0 PACIFIC SPL ACQUISITION CORP SHS G68588105 1049 102380 SH SOLE 102380 0 0 PALO ALTO NETWORKS INC COM 697435105 797 5000 SH Call SOLE 5000 0 0 PALO ALTO NETWORKS INC COM 697435105 3983 25000 SH SOLE 25000 0 0 PANGAEA LOGISTICS SOLUTION L SHS G6891L105 1151 460264 SH SOLE 460264 0 0 PATRIOT NATL INC COM 70338T102 546 60652 SH SOLE 60652 0 0 PAYPAL HLDGS INC COM 70450Y103 4302 105000 SH Call SOLE 105000 0 0 PAYPAL HLDGS INC COM 70450Y103 9423 230000 SH Put SOLE 230000 0 0 PAYPAL HLDGS INC COM 70450Y103 2458 60000 SH SOLE 60000 0 0 PERRIGO CO PLC SHS G97822103 5078 55000 SH Call SOLE 55000 0 0 PFIZER INC COM 717081103 1453 42900 SH Call SOLE 42900 0 0 PHILLIPS 66 COM 718546104 564 7000 SH SOLE 7000 0 0 POTASH CORP SASK INC COM 73755L107 8870 543500 SH Call SOLE 543500 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 5342 45000 SH Call SOLE 45000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 75981 640000 SH Put SOLE 640000 0 0 PRESS GANEY HLDGS INC COM 74113L102 2964 73359 SH SOLE 73359 0 0 PROSHARES TR ULTRAPRO QQQ 74347X831 579 4500 SH Call SOLE 4500 0 0 PROSHARES TR ULTRAPRO QQQ 74347X831 5234 40700 SH Put SOLE 40700 0 0 PROSHARES TR ULTRAPRO SH NW14 74348A418 428 32000 SH Put SOLE 32000 0 0 PULTE GROUP INC COM 745867101 2087 104162 SH SOLE 104162 0 0 PULTE GROUP INC COM 745867101 501 25000 SH Call SOLE 25000 0 0 QLT INC COM 746927102 2889 1402302 SH SOLE 1402302 0 0 QUAD / GRAPHICS INC COM CL A 747301109 2923 109400 SH Put SOLE 109400 0 0 QUALCOMM INC COM 747525103 2740 40000 SH Call SOLE 40000 0 0 QUALCOMM INC COM 747525103 16098 235000 SH Put SOLE 235000 0 0 QUINPARIO ACQUISITION CORP 2 COM 74874U101 2051 206957 SH SOLE 206957 0 0 QUINPARIO ACQUISITION CORP 2 W EXP 01/01/202 74874U119 35 200000 SH SOLE 200000 0 0 RACKSPACE HOSTING INC COM 750086100 1648 52000 SH SOLE 52000 0 0 RAPTOR PHARMACEUTICAL CORP COM 75382F106 90 10000 SH SOLE 10000 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 682 20800 SH SOLE 20800 0 0 RED ROBIN GOURMET BURGERS IN COM 75689M101 4582 101959 SH SOLE 101959 0 0 RENT A CTR INC NEW COM 76009N100 2003 158492 SH SOLE 158492 0 0 REPUBLIC SVCS INC COM 760759100 661 13100 SH Put SOLE 13100 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 669 15000 SH Call SOLE 15000 0 0 RINGCENTRAL INC CL A 76680R206 237 10000 SH Put SOLE 10000 0 0 RIO TINTO PLC SPONSORED ADR 767204100 668 20000 SH Call SOLE 20000 0 0 RIO TINTO PLC SPONSORED ADR 767204100 668 20000 SH Put SOLE 20000 0 0 RITE AID CORP COM 767754104 159 20697 SH SOLE 20697 0 0 RPX CORP COM 74972G103 246 23000 SH Call SOLE 23000 0 0 RPX CORP COM 74972G103 1110 103800 SH SOLE 103800 0 0 DONNELLEY R R & SONS CO WHEN ISSUED 257867200 2182 85600 SH Call SOLE 85600 0 0 SABAN CAP ACQUISITION CORP UNIT 99/99/9999 78516C205 4536 450000 SH SOLE 450000 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 648 128800 SH Put SOLE 128800 0 0 SEARS HLDGS CORP COM 812350106 1620 141400 SH Call SOLE 141400 0 0 SEARS HLDGS CORP COM 812350106 3491 304600 SH Put SOLE 304600 0 0 SHORETEL INC COM 825211105 247 30900 SH Call SOLE 30900 0 0 SHORETEL INC COM 825211105 13383 1672909 SH SOLE 1672909 0 0 SILVER RUN ACQUISITION CORP CL A 82811P101 4902 311267 SH SOLE 311267 0 0 SILVER WHEATON CORP COM 828336107 1081 40000 SH Put SOLE 40000 0 0 SKULLCANDY INC COM 83083J104 1314 207296 SH SOLE 207296 0 0 SL GREEN RLTY CORP COM 78440X101 8648 80000 SH Put SOLE 80000 0 0 SL GREEN RLTY CORP COM 78440X101 757 7000 SH SOLE 7000 0 0 SOLARCITY CORP COM 83416T100 1341 68533 SH SOLE 68533 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1596 12700 SH SOLE 12700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 9950 46000 SH Call SOLE 46000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5408 25000 SH Put SOLE 25000 0 0 SPECTRA ENERGY CORP COM 847560109 2259 52851 SH SOLE 52851 0 0 SPORTSMANS WHSE HLDGS INC COM 84920Y106 1720 163524 SH SOLE 163524 0 0 ST JUDE MED INC COM 790849103 558 7000 SH Put SOLE 7000 0 0 ST JUDE MED INC COM 790849103 10333 129550 SH SOLE 129550 0 0 STAPLES INC COM 855030102 564 66000 SH Call SOLE 66000 0 0 STELLAR ACQUISITION III INC UNIT 03/22/2022 Y8172W123 319 32000 SH SOLE 32000 0 0 SUNEDISON SEMICONDUCTOR LTD SHS Y8213L102 740 65000 SH SOLE 65000 0 0 TALEN ENERGY CORP COM 87422J105 341 24623 SH SOLE 24623 0 0 TERRAPIN 3 ACQUISITION CORP UNIT 06/27/2019 88104P203 191 19000 SH SOLE 19000 0 0 TERRAPIN 3 ACQUISITION CORP COM CL A 88104P104 2232 224676 SH SOLE 224676 0 0 TERRAPIN 3 ACQUISITION CORP W EXP 06/27/201 88104P112 42 229600 SH SOLE 229600 0 0 TESLA MTRS INC COM 88160R101 408 2000 SH Put SOLE 2000 0 0 TEXAS INSTRS INC COM 882508104 1053 15000 SH Put SOLE 15000 0 0 TJX COS INC NEW COM 872540109 748 10000 SH Call SOLE 10000 0 0 TJX COS INC NEW COM 872540109 2473 33077 SH SOLE 33077 0 0 TRIPADVISOR INC COM 896945201 1137 18000 SH Call SOLE 18000 0 0 TRIPADVISOR INC COM 896945201 600 9500 SH SOLE 9500 0 0 UNITED CONTL HLDGS INC COM 910047109 740 14100 SH Call SOLE 14100 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 8328 170000 SH Put SOLE 170000 0 0 VALSPAR CORP COM 920355104 14736 138927 SH SOLE 138927 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 25530 367500 SH Put SOLE 367500 0 0 VERIFONE SYS INC COM 92342Y109 2906 184600 SH Call SOLE 184600 0 0 VERIFONE SYS INC COM 92342Y109 851 54096 SH SOLE 54096 0 0 VIACOM INC NEW CL B 92553P201 381 10000 SH Call SOLE 10000 0 0 VISA INC COM CL A 92826C839 207 2500 SH SOLE 2500 0 0 VITAE PHARMACEUTICALS INC COM 92847N103 4364 208608 SH SOLE 208608 0 0 WASTE CONNECTIONS INC COM 94106B101 2540 34000 SH Call SOLE 34000 0 0 WASTE CONNECTIONS INC COM 94106B101 672 9000 SH Put SOLE 9000 0 0 WASTE CONNECTIONS INC COM 94106B101 12298 164635 SH SOLE 164635 0 0 WASTE MGMT INC DEL COM 94106L109 893 14000 SH Call SOLE 14000 0 0 WASTE MGMT INC DEL COM 94106L109 893 14000 SH Put SOLE 14000 0 0 WELLS FARGO & CO NEW COM 949746101 4428 100000 SH SOLE 100000 0 0 WERNER ENTERPRISES INC COM 950755108 2184 93850 SH SOLE 93850 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 555 34150 SH SOLE 34150 0 0 WHITEWAVE FOODS CO COM 966244105 10693 196452 SH SOLE 196452 0 0 WINNEBAGO INDS INC COM 974637100 471 20000 SH SOLE 20000 0 0 XENON PHARMACEUTICALS INC COM 98420N105 122 15000 SH SOLE 15000 0 0 XILINX INC COM 983919101 1359 25000 SH Call SOLE 25000 0 0 YAHOO INC COM 984332106 21441 497466 SH SOLE 497466 0 0