0001461790-18-000016.txt : 20180212 0001461790-18-000016.hdr.sgml : 20180212 20180212165625 ACCESSION NUMBER: 0001461790-18-000016 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180212 DATE AS OF CHANGE: 20180212 EFFECTIVENESS DATE: 20180212 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: 18597284 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 12-31-2017 12-31-2017 K2 PRINCIPAL FUND, L.P.

2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2

13F HOLDINGS REPORT 028-16812 N Daniel Gosselin 416-365-2155 /s/Daniel Gosselin TORONTO A6 02-12-2018 0 322 1381984 false INFORMATION TABLE 2 informationtable.xml ALTABA INC COM 021346101 22530 322552 SH SOLE 322552 0 0 ALTABA INC COM 021346101 1991 28500 SH Call SOLE 28500 0 0 APPLE INC COM 037833100 6346 37500 SH SOLE 37500 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 1320 261326 SH SOLE 261326 0 0 ATLANTIC COAST FINL CORP COM 048426100 1016 107732 SH SOLE 107732 0 0 ACTUA CORP COM 005094107 857 54906 SH SOLE 54906 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 8016 200000 SH Put SOLE 200000 0 0 AUTODESK INC COM 052769106 786 7500 SH SOLE 7500 0 0 AUTODESK INC COM 052769106 1572 15000 SH Call SOLE 15000 0 0 AETNA INC NEW COM 00817Y108 2706 15000 SH SOLE 15000 0 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 4374 440934 SH SOLE 440934 0 0 AVISTA HEALTHCARE PUB ACQ CO W EXP 99/99/999 G0726L117 96 344286 SH SOLE 344286 0 0 ALLY FINL INC COM 02005N100 2070 71000 SH SOLE 71000 0 0 AMC ENTMT HLDGS 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20000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 9340 35000 SH Put SOLE 35000 0 0 SERITAGE GROWTH PPTYS CL A 81752R100 754 18640 SH SOLE 18640 0 0 SERITAGE GROWTH PPTYS CL A 81752R100 809 20000 SH Put SOLE 20000 0 0 SILVER RUN ACQUISITION COM CL A 82812A103 4495 453560 SH SOLE 453560 0 0 SILVER RUN ACQUISITION W EXP 03/28/202 82812A111 261 175444 SH SOLE 175444 0 0 SILVER SPRING NETWORKS INC COM 82817Q103 820 50492 SH SOLE 50492 0 0 STELLAR ACQUISITION III INC COM Y8172W107 1608 157511 SH SOLE 157511 0 0 STELLAR ACQUISITION III INC W EXP 03/22/202 Y8172W115 10 32000 SH SOLE 32000 0 0 STRAIGHT PATH COMMUNICATNS I CL B 862578101 877 4823 SH SOLE 4823 0 0 SYNCHRONY FINL COM 87165B103 965 25000 SH Call SOLE 25000 0 0 SYNCHRONY FINL COM 87165B103 4568 118300 SH Call SOLE 118300 0 0 AT&T INC COM 00206R102 2916 75000 SH Call SOLE 75000 0 0 AT&T INC COM 00206R102 1944 50000 SH Call SOLE 50000 0 0 AT&T INC COM 00206R102 311 8000 SH Put SOLE 8000 0 0 TRANSALTA CORP COM 89346D107 1788 240050 SH SOLE 240050 0 0 TERADYNE INC COM 880770102 4363 104200 SH SOLE 104200 0 0 THOR INDS INC COM 885160101 1248 8281 SH SOLE 8281 0 0 TJX COS INC NEW COM 872540109 421 5500 SH Put SOLE 5500 0 0 ISHARES TR 20 YR TR BD ETF 464287432 38058 300000 SH Put SOLE 300000 0 0 DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 2958 42100 SH Put SOLE 42100 0 0 TPG PACE ENERGY HLDGS CORP CL A 872656103 17033 1748799 SH SOLE 1748799 0 0 TPG PACE ENERGY HLDGS CORP W EXP 99/99/999 872656111 758 583333 SH SOLE 583333 0 0 TPG PACE HLDGS CORP CL A G89827128 6711 689700 SH SOLE 689700 0 0 TPG PACE HLDGS CORP W EXP 99/99/999 G89827110 465 300000 SH SOLE 300000 0 0 TRIBUNE MEDIA CO CL A 896047503 2495 58752 SH SOLE 58752 0 0 THOMSON REUTERS CORP COM 884903105 218 5000 SH SOLE 5000 0 0 THOMSON REUTERS CORP COM 884903105 1096 20000 SH SOLE 20000 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 220 2000 SH SOLE 2000 0 0 HOSTESS BRANDS INC W EXP 11/04/202 44109J114 419 180000 SH SOLE 180000 0 0 TIME WARNER INC COM NEW 887317303 27031 295516 SH SOLE 295516 0 0 UNITED TECHNOLOGIES CORP COM 913017109 651 5100 SH Put SOLE 5100 0 0 UNITED TECHNOLOGIES CORP COM 913017109 995 7800 SH Put SOLE 7800 0 0 BROADSOFT INC NOTE 1.000 9/0 11133BAD4 12591 8500 PRN SOLE 8500 0 0 VANTAGE ENERGY ACQUISITION COM CL A 92211L105 11161 1148280 SH SOLE 1148280 0 0 VANTAGE ENERGY ACQUISITION W EXP 04/12/202 92211L113 917 833333 SH SOLE 833333 0 0 VERMILION ENERGY INC COM 923725105 1599 35000 SH SOLE 35000 0 0 VMWARE INC CL A COM 928563402 13860 110600 SH Put SOLE 110600 0 0 VITAMIN SHOPPE INC COM 92849E101 308 70000 SH Call SOLE 70000 0 0 WASTE CONNECTIONS INC COM 94106B101 4392 61906 SH SOLE 61906 0 0 WASTE CONNECTIONS INC COM 94106B101 17770 199300 SH SOLE 199300 0 0 WASHINGTONFIRST BANKSHARES I COM 940730104 582 17000 SH SOLE 17000 0 0 WGL HLDGS INC COM 92924F106 644 7500 SH SOLE 7500 0 0 WGL HLDGS INC COM 92924F106 858 10000 SH Put SOLE 10000 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 2087 75100 SH SOLE 75100 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 8299 375000 SH Call SOLE 375000 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 6924 312900 SH Call SOLE 312900 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 4426 200000 SH Call SOLE 200000 0 0 PENSARE ACQUISITION CORP COM 70957E105 9935 1028507 SH SOLE 1028507 0 0 PENSARE ACQUISITION CORP W EXP 07/27/202 70957E113 370 671900 SH SOLE 671900 0 0 WILLSCOT CORP W EXP 09/10/202 971375118 792 549840 SH SOLE 549840 0 0 SELECT ENERGY SVCS INC CL A COM 81617J301 6675 365969 SH SOLE 365969 0 0 XENITH BANKSHARES INC NEW COM NEW 984102202 1531 45255 SH SOLE 45255 0 0 XENON PHARMACEUTICALS INC COM 98420N105 620 219543 SH SOLE 219543 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 6978 250000 SH Put SOLE 250000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3489 125000 SH Put SOLE 125000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 56372 881500 SH Put SOLE 881500 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 26859 420000 SH Put SOLE 420000 0 0 XILINX INC COM 983919101 3708 55000 SH SOLE 55000 0 0 XILINX INC COM 983919101 13484 200000 SH Call SOLE 200000 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 5112 137500 SH Put SOLE 137500 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 5525 148600 SH Put SOLE 148600 0 0 YUME INC COM 98872B104 373 77980 SH SOLE 77980 0 0 ZILLOW GROUP INC NOTE 2.00012/0 98954MAB7 10900 10000 PRN SOLE 10000 0 0