0001461790-17-000005.txt : 20170215 0001461790-17-000005.hdr.sgml : 20170215 20170214174812 ACCESSION NUMBER: 0001461790-17-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170215 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170215 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: 17611343 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 12-31-2016 12-31-2016 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 02-14-2017 0 277 1058582 false INFORMATION TABLE 2 informationtable.xml AARONS INC COM PAR $0.50 002535300 288 9000 SH Put SOLE 9000 0 0 AARONS INC COM PAR $0.50 002535300 288 9000 SH SOLE 9000 0 0 ABRAXAS PETE CORP COM 003830106 386 150000 SH SOLE 150000 0 0 AEGERION PHARMACEUTICALS INC NOTE 2.000 8/1 00767EAB8 4350 6000 PRN SOLE 6000 0 0 AGRIUM INC COM 008916108 5023 49958 SH SOLE 49958 0 0 ALLERGAN PLC SHS G0177J108 2100 10000 SH Call SOLE 10000 0 0 ALLIANCE DATA SYSTEMS CORP COM 018581108 1143 5000 SH Call SOLE 5000 0 0 ALLIANCE DATA SYSTEMS CORP COM 018581108 5484 24000 SH SOLE 24000 0 0 ALLIED WRLD ASSUR COM HLDG A SHS H01531104 5818 108325 SH SOLE 108325 0 0 ALPHABET INC CAP STK CL A 02079K305 16087 20300 SH Call SOLE 20300 0 0 ALPHABET INC CAP STK CL A 02079K305 15057 19000 SH Put SOLE 19000 0 0 ALPHABET INC CAP STK CL A 02079K305 18226 23000 SH SOLE 23000 0 0 AMERICAN AXLE AND MFG HLDGS IN COM 024061103 5328 276000 SH Put SOLE 276000 0 0 AMERICAN AXLE AND MFG HLDGS IN COM 024061103 193 10000 SH SOLE 10000 0 0 AMERICAN CAP LTD COM 02503Y103 25000 1395078 SH SOLE 1395078 0 0 ANDINA ACQUISITION CORP II SHS G0441P104 416 41901 SH SOLE 41901 0 0 APOLLO ED GROUP INC CL A 037604105 316 31882 SH SOLE 31882 0 0 ARALEZ PHARMACEUTICALS INC COM 03852X100 435 98578 SH SOLE 98578 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 1088 443887 SH SOLE 443887 0 0 ARES CAP CORP COM 04010L103 1475 89500 SH Put SOLE 89500 0 0 ATANDT INC COM 00206R102 7017 165000 SH Put SOLE 165000 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 423 201522 SH SOLE 201522 0 0 AVISTA HEALTHCARE PUB ACQ CO UNIT 99/99/9999 G0726L109 3544 350000 SH SOLE 350000 0 0 AXALTA COATING SYS LTD COM G0750C108 873 32103 SH SOLE 32103 0 0 B2GOLD CORP NOTE 3.25010/0 11777QAB6 11673 11500 PRN SOLE 11500 0 0 BALL CORP COM 058498106 878 11700 SH Call SOLE 11700 0 0 BALL CORP COM 058498106 233 3100 SH SOLE 3100 0 0 BARCLAYS PLC ADR 06738E204 275 25000 SH Call SOLE 25000 0 0 BASIC ENERGY SVCS INC NEW COM NEW 06985P209 354 10000 SH Call SOLE 10000 0 0 BASIC ENERGY SVCS INC NEW COM NEW 06985P209 1573 44500 SH Put SOLE 44500 0 0 BASIC ENERGY SVCS INC NEW COM NEW 06985P209 10359 293033 SH SOLE 293033 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 772 4738 SH SOLE 4738 0 0 BGC PARTNERS INC CL A 05541T101 143 14000 SH Call SOLE 14000 0 0 BGC PARTNERS INC CL A 05541T101 1158 113219 SH SOLE 113219 0 0 BIOGEN INC COM 09062X103 681 2400 SH SOLE 2400 0 0 BLACKROCK INC COM 09247X101 2727 7167 SH SOLE 7167 0 0 BLUE NILE INC COM 09578R103 328 8065 SH SOLE 8065 0 0 BORGWARNER INC COM 099724106 820 20800 SH Call SOLE 20800 0 0 BORGWARNER INC COM 099724106 4102 104000 SH Put SOLE 104000 0 0 BOYD GAMING CORP COM 103304101 329 16300 SH SOLE 16300 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 1461 25000 SH Call SOLE 25000 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 2629 45000 SH Put SOLE 45000 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 8163 139690 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SOFTWARE TECH LT ORD M22465104 2112 25000 SH Call SOLE 25000 0 0 CHEESECAKE FACTORY INC COM 163072101 629 10500 SH Put SOLE 10500 0 0 CITIGROUP INC COM NEW 172967424 8320 140000 SH Call SOLE 140000 0 0 CITIGROUP INC COM NEW 172967424 3269 55000 SH Put SOLE 55000 0 0 CITIGROUP INC COM NEW 172967424 6537 110000 SH SOLE 110000 0 0 CLARCOR INC COM 179895107 2214 26850 SH SOLE 26850 0 0 COEUR MNG INC COM NEW 192108504 1808 199000 SH Call SOLE 199000 0 0 COEUR MNG INC COM NEW 192108504 182 20000 SH Put SOLE 20000 0 0 CONYERS PK ACQUISITION CL A COM 212894109 1635 200000 SH SOLE 200000 0 0 CSX CORP COM 126408103 1078 30000 SH Put SOLE 30000 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 1144 100000 SH Put SOLE 100000 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 13156 1150000 SH SOLE 1150000 0 0 D R HORTON INC COM 23331A109 1563 57200 SH Put SOLE 57200 0 0 DELL TECHNOLOGIES INC COM CL V 24703L103 3610 65678 SH SOLE 65678 0 0 DELPHI AUTOMOTIVE PLC SHS G27823106 875 13000 SH Call SOLE 13000 0 0 DELPHI AUTOMOTIVE PLC SHS G27823106 269 4000 SH Put SOLE 4000 0 0 DEPOMED INC COM 249908104 261 14500 SH SOLE 14500 0 0 DICKS SPORTING GOODS INC COM 253393102 3037 57200 SH Call SOLE 57200 0 0 DICKS SPORTING GOODS INC COM 253393102 398 7500 SH SOLE 7500 0 0 DIEBOLD NXDF INC COM 253651103 3647 145000 SH Call SOLE 145000 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25490K570 245 32100 SH Call SOLE 32100 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25490K133 2081 43000 SH Put SOLE 43000 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25490K570 8306 1087000 SH Put SOLE 1087000 0 0 DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 3338 33000 SH Put SOLE 33000 0 0 DOLLAR TREE INC COM 256746108 3550 460000 SH Call SOLE 460000 0 0 DOLLAR TREE INC COM 256746108 541 7016 SH SOLE 7016 0 0 DOMINION DIAMOND CORP COM 257287102 123 12700 SH Call SOLE 12700 0 0 DOMINION DIAMOND CORP COM 257287102 24261 2506350 SH SOLE 2506350 0 0 DOUBLE EAGLE ACQUISITION COR COM G28195124 3024 305451 SH SOLE 305451 0 0 DOUBLE EAGLE 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Put SOLE 281300 0 0 FORESTAR GROUP INC COM 346233109 415 31170 SH SOLE 31170 0 0 G AND K SVCS INC CL A 361268105 246 2554 SH SOLE 2554 0 0 GANNETT CO INC COM 36473H104 283 29186 SH SOLE 29186 0 0 GAS NAT INC COM 367204104 3909 311459 SH SOLE 311459 0 0 GASTAR EXPL INC NEW COM 36729W202 1085 700000 SH SOLE 700000 0 0 GENERAL MLS INC COM 370334104 1236 20000 SH Call SOLE 20000 0 0 GENERAL MLS INC COM 370334104 318 5146 SH SOLE 5146 0 0 GENERAL MTRS CO COM 37045V100 12542 360000 SH Put SOLE 360000 0 0 GP INVTS ACQUISITION COR SHS G40357124 2957 298700 SH SOLE 298700 0 0 GP INVTS ACQUISITION COR W EXP 05/19/202 G40357108 54 120250 SH SOLE 120250 0 0 GTY TECHNOLOGY HOLDINGS INC UNIT 99/99/9999 G4182A110 3961 377260 SH SOLE 377260 0 0 GUESS INC COM 401617105 198 16400 SH SOLE 16400 0 0 HARMONY MERGER CORP COM 413247107 9108 900000 SH SOLE 900000 0 0 HARMONY MERGER CORP UNIT 99/99/9999 413247206 6180 600000 SH SOLE 600000 0 0 HARMONY MERGER CORP W EXP 01/01/202 413247123 311 890270 SH SOLE 890270 0 0 HECLA MNG CO COM 422704106 170 32400 SH Put SOLE 32400 0 0 HENNESSY CAP ACQUISITION COR COM 42588J100 1140 113172 SH SOLE 113172 0 0 HILTON WORLDWIDE HLDGS INC WHEN ISSUED 43300A203 783 28800 SH SOLE 28800 0 0 HORIZON PHARMA INVT LTD NOTE 2.500 3/1 44052TAB7 1906 2000 PRN SOLE 2000 0 0 HORIZON PHARMA PLC SHS G4617B105 1003 62000 SH Call SOLE 62000 0 0 HORMEL FOODS CORP COM 440452100 1392 40000 SH SOLE 40000 0 0 HOSTESS BRANDS INC CL A 44109J106 315 180000 SH SOLE 180000 0 0 HRG GROUP INC COM 40434J100 156 10000 SH SOLE 10000 0 0 IAMGOLD CORP COM 450913108 85 22000 SH Put SOLE 22000 0 0 IAMGOLD CORP COM 450913108 263 68346 SH SOLE 68346 0 0 IHS MARKIT LTD SHS G47567105 354 10000 SH Call SOLE 10000 0 0 IHS MARKIT LTD SHS G47567105 354 10000 SH Put SOLE 10000 0 0 IHS MARKIT LTD SHS G47567105 2131 60176 SH SOLE 60176 0 0 INTERNATIONAL GAME TECHNOLOG SHS USD G4863A108 875 34300 SH Put SOLE 34300 0 0 INTERNATIONAL GAME TECHNOLOG SHS USD G4863A108 255 10000 SH SOLE 10000 0 0 INTEROIL CORP COM 460951106 14559 305993 SH SOLE 305993 0 0 ISHARES MSCI MEX CAP ETF 464286822 1847 42000 SH Put SOLE 42000 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 3030 200500 SH Put SOLE 200500 0 0 ISHARES TR 20 YR TR BD ETF 464287432 8935 75000 SH Call SOLE 75000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 5380 155000 SH Put SOLE 155000 0 0 ISHARES TR LATN AMER 40 ETF 464287390 207 7500 SH Put SOLE 7500 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 24273 180000 SH Put SOLE 180000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 14892 125000 SH Put SOLE 125000 0 0 ISLE OF CAPRI CASINOS INC COM 464592104 1728 70000 SH SOLE 70000 0 0 JPMORGAN CHASE AND CO COM 46625H100 877 10167 SH SOLE 10167 0 0 KEYCORP NEW PFD 7.75 SR A 493267405 368 2726 SH SOLE 2726 0 0 KLA-TENCOR CORP COM 482480100 6828 86782 SH SOLE 86782 0 0 KLR ENERGY ACQUISITION CORP CL A 49877M108 5960 1006742 SH SOLE 1006742 0 0 KNIGHT TRANSN INC COM 499064103 430 13000 SH Put SOLE 13000 0 0 KRAFT HEINZ CO COM 500754106 289 3306 SH SOLE 3306 0 0 LANDCADIA HLDGS INC CL A 51476W107 2613 500000 SH SOLE 500000 0 0 LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 753 13358 SH SOLE 13358 0 0 LILLY ELI AND CO COM 532457108 1471 20000 SH SOLE 20000 0 0 LIONBRIDGE TECHNOLOGIES INC COM 536252109 121 20800 SH SOLE 20800 0 0 LKQ CORP COM 501889208 588 19200 SH Put SOLE 19200 0 0 LOUISIANA PAC CORP COM 546347105 947 50000 SH Call SOLE 50000 0 0 LOUISIANA PAC CORP COM 546347105 1893 100000 SH Put SOLE 100000 0 0 LOUISIANA PAC CORP COM 546347105 9708 512828 SH SOLE 512828 0 0 M I ACQUISITIONS INC UNIT 99/99/9999 55304A203 4064 400000 SH SOLE 400000 0 0 M III ACQUISITION CORP COM 55378T104 1793 359000 SH SOLE 359000 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 1911 308280 SH SOLE 308280 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 1928 50000 SH Call SOLE 50000 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 7151 185414 SH SOLE 185414 0 0 MEDIA GEN INC NEW COM 58441K100 648 34400 SH SOLE 34400 0 0 MERCK AND CO INC COM 58933Y105 706 12000 SH SOLE 12000 0 0 METALDYNE PERFORMANCE GROUP COM 59116R107 2449 106714 SH SOLE 106714 0 0 MICROSOFT CORP COM 594918104 560 9000 SH Put SOLE 9000 0 0 MICROSOFT CORP COM 594918104 7387 118881 SH SOLE 118881 0 0 MONSANTO CO NEW COM 61166W101 358 3400 SH SOLE 3400 0 0 MORNINGSTAR INC COM 617700109 1022 13900 SH Call SOLE 13900 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 995 12000 SH Call SOLE 12000 0 0 MYLAN N V SHS EURO N59465109 11952 313300 SH Call SOLE 313300 0 0 MYLAN N V SHS EURO N59465109 7249 190000 SH Put SOLE 190000 0 0 NCR CORP NEW COM 62886E108 9942 245100 SH Put SOLE 245100 0 0 NETFLIX INC COM 64110L106 8666 70000 SH Put SOLE 70000 0 0 NEUSTAR INC CL A 64126X201 2929 87680 SH SOLE 87680 0 0 NEW YORK REIT INC COM 64976L109 6536 645837 SH SOLE 645837 0 0 NEXEO SOLUTIONS INC COM SHS 65342H102 174 248817 SH SOLE 248817 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 3566 85000 SH Call SOLE 85000 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 2937 70000 SH SOLE 70000 0 0 NIKE INC CL B 654106103 1012 19900 SH SOLE 19900 0 0 NOVELION THERAPEUTICS INC COM NEW 67001K202 2270 269536 SH SOLE 269536 0 0 NVIDIA CORP COM 67066G104 1601 15000 SH Put SOLE 15000 0 0 NVIDIA CORP COM 67066G104 1025 9600 SH SOLE 9600 0 0 NXP SEMICONDUCTORS N V COM N6596X109 392 4000 SH Put SOLE 4000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 20582 210000 SH SOLE 210000 0 0 OFFICE DEPOT INC COM 676220106 83 18443 SH SOLE 18443 0 0 OI S A SPONSORED ADR NE 670851500 1835 462285 SH SOLE 462285 0 0 PACE HLDGS CORP CL A G6865N103 1027 101500 SH SOLE 101500 0 0 PACE HLDGS CORP W EXP 99/99/999 G6865N111 80 134000 SH SOLE 134000 0 0 PACIFIC SPL ACQUISITION CORP SHS G68588105 1052 102680 SH SOLE 102680 0 0 PALO ALTO NETWORKS INC COM 697435105 1250 10000 SH Call SOLE 10000 0 0 PALO ALTO NETWORKS INC COM 697435105 1751 14000 SH Put SOLE 14000 0 0 PALO ALTO NETWORKS INC COM 697435105 4589 36700 SH SOLE 36700 0 0 PANGAEA LOGISTICS SOLUTION L SHS G6891L105 1235 363129 SH SOLE 363129 0 0 PATTERN ENERGY GROUP INC CL A 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SOLE 302035 0 0 QUAD / GRAPHICS INC COM CL A 747301109 277 10300 SH Call SOLE 10300 0 0 QUINPARIO ACQUISITION CORP 2 COM 74874U101 2099 406957 SH SOLE 406957 0 0 RANGE RES CORP COM 75281A109 1890 55000 SH SOLE 55000 0 0 RED ROBIN GOURMET BURGERS IN COM 75689M101 2143 38000 SH Call SOLE 38000 0 0 RED ROBIN GOURMET BURGERS IN COM 75689M101 917 16252 SH SOLE 16252 0 0 REPUBLIC SVCS INC COM 760759100 6133 107500 SH Put SOLE 107500 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 858 18000 SH Call SOLE 18000 0 0 RINGCENTRAL INC CL A 76680R206 229 11100 SH Put SOLE 11100 0 0 RIO TINTO PLC SPONSORED ADR 767204100 1154 30000 SH Call SOLE 30000 0 0 RIO TINTO PLC SPONSORED ADR 767204100 5865 152500 SH Put SOLE 152500 0 0 RITE AID CORP COM 767754104 5996 727703 SH SOLE 727703 0 0 RPX CORP COM 74972G103 747 69152 SH SOLE 69152 0 0 SABAN CAP ACQUISITION CORP UNIT 99/99/9999 78516C205 4680 450000 SH SOLE 450000 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 129 33000 SH Put SOLE 33000 0 0 SEARS HLDGS CORP COM 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SOLE 10000 0 0 TURKISH INVT FD INC COM 900145103 285 42014 SH SOLE 42014 0 0 VALSPAR CORP COM 920355104 2512 24245 SH SOLE 24245 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 500 15000 SH Put SOLE 15000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 13612 190000 SH Put SOLE 190000 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1932 54000 SH Put SOLE 54000 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2090 58400 SH SOLE 58400 0 0 VERIFONE SYS INC COM 92342Y109 679 38300 SH Call SOLE 38300 0 0 VISA INC COM CL A 92826C839 1615 20700 SH SOLE 20700 0 0 VMWARE INC CL A COM 928563402 1532 19460 SH SOLE 19460 0 0 VONAGE HLDGS CORP COM 92886T201 90 13098 SH SOLE 13098 0 0 WASTE CONNECTIONS INC COM 94106B101 393 5000 SH Call SOLE 5000 0 0 WASTE CONNECTIONS INC COM 94106B101 511 6500 SH Put SOLE 6500 0 0 WASTE CONNECTIONS INC COM 94106B101 13625 173364 SH SOLE 173364 0 0 WASTE MGMT INC DEL COM 94106L109 496 7000 SH Call SOLE 7000 0 0 WASTE MGMT INC DEL COM 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