0001461790-18-000028.txt : 20180514 0001461790-18-000028.hdr.sgml : 20180514 20180514141952 ACCESSION NUMBER: 0001461790-18-000028 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180514 DATE AS OF CHANGE: 20180514 EFFECTIVENESS DATE: 20180514 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: 18829911 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 03-31-2018 03-31-2018 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 05-14-2018 0 386 1755837 false INFORMATION TABLE 2 informationtable.xml ABB LTD SPONSORED ADR 000375204 4273 180000 SH SOLE 180000 0 0 ADIENT PLC ORD SH G0084W101 2390 40000 SH SOLE 40000 0 0 AEROJET ROCKETDYNE HLDGS INC NOTE 2.250%12/1 007800AB1 5702 4500 PRN SOLE 4500 0 0 AETNA INC NEW COM 00817Y108 18345 108549 SH SOLE 108549 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 9177 50000 SH Call SOLE 50000 0 0 ALMOST FAMILY INC COM 020409108 1160 20713 SH SOLE 20713 0 0 ALPHABET INC CAP STK CL A 02079K305 5186 5000 SH Call SOLE 5000 0 0 ALPHABET INC CAP STK CL A 02079K305 19187 18500 SH Call SOLE 18500 0 0 ALPHABET INC CAP STK CL A 02079K305 51857 50000 SH Call SOLE 50000 0 0 ALPHABET INC CAP STK CL A 02079K305 3111 3000 SH Call SOLE 3000 0 0 ALPHABET INC CAP STK CL C 02079K107 10318 10000 SH Put SOLE 10000 0 0 ALPHABET INC CAP STK CL A 02079K305 5186 5000 SH Put SOLE 5000 0 0 ALPHABET INC CAP 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2045959 SH SOLE 2045959 0 0 NATIONSTAR MTG HLDGS INC COM 63861C109 886 49350 SH SOLE 49350 0 0 NCR CORP NEW COM 62886E108 3820 121200 SH Call SOLE 121200 0 0 NCR CORP NEW COM 62886E108 5358 170000 SH Put SOLE 170000 0 0 NCR CORP NEW COM 62886E108 630 20000 SH SOLE 20000 0 0 NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1088 107500 SH SOLE 107500 0 0 NEVSUN RES LTD COM 64156L101 48 20000 SH Call SOLE 20000 0 0 NEWS CORP NEW CL B 65249B208 1771 110000 SH SOLE 110000 0 0 NEXEO SOLUTIONS INC W EXP 06/09/202 65342H110 217 297917 SH SOLE 297917 0 0 NEXTDECADE CORP COM 65342K105 198 40000 SH SOLE 40000 0 0 NVIDIA CORP COM 67066G104 5790 25000 SH Call SOLE 25000 0 0 NVIDIA CORP COM 67066G104 5790 25000 SH Put SOLE 25000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 1170 10000 SH Put SOLE 10000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 5850 50000 SH Put SOLE 50000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 25740 220000 SH SOLE 220000 0 0 NXSTAGE MEDICAL INC COM 67072V103 3774 151794 SH SOLE 151794 0 0 ONE MADISON CORP UNIT 99/99/9999 G6772P118 9600 959998 SH SOLE 959998 0 0 OPES ACQUISITION CORP UNIT 03/07/2023 68373P209 5544 551400 SH SOLE 551400 0 0 ORBOTECH LTD ORD M75253100 2487 40000 SH SOLE 40000 0 0 PALO ALTO NETWORKS INC COM 697435105 2723 15000 SH Put SOLE 15000 0 0 PANGAEA LOGISTICS SOLUTION L SH G6891L105 238 89725 SH SOLE 89725 0 0 PAPA JOHNS INTL INC COM 698813102 681 11891 SH SOLE 11891 0 0 PATTERN ENERGY GROUP INC CL A 70338P100 2166 125300 SH SOLE 125300 0 0 PENN NATL GAMING INC COM 707569109 515 19606 SH SOLE 19606 0 0 PENSARE ACQUISITION CORP RIGHT 99/99/9999 70957E121 21 41026 SH SOLE 41026 0 0 PENSARE ACQUISITION CORP COM 70957E105 5062 520807 SH SOLE 520807 0 0 PENSARE ACQUISITION CORP W EXP 07/27/202 70957E113 336 671900 SH SOLE 671900 0 0 PLATINUM EAGLE ACQUISITIN CO UNIT 01/09/2023 G7126L126 5280 520200 SH SOLE 520200 0 0 PLY GEM HLDGS INC COM 72941W100 1655 76623 SH SOLE 76623 0 0 POTBELLY CORP COM 73754Y100 210 17439 SH SOLE 17439 0 0 PRETIUM RES INC COM 74139C102 714 107200 SH Put SOLE 107200 0 0 PRETIUM RES INC COM 74139C102 1337 200700 SH Put SOLE 200700 0 0 PRETIUM RES INC COM 74139C102 333 50000 SH Put SOLE 50000 0 0 PRETIUM RES INC COM 74139C102 133 20000 SH Put SOLE 20000 0 0 QUALCOMM INC COM 747525103 2771 50000 SH Call SOLE 50000 0 0 QUALCOMM INC COM 747525103 554 10000 SH SOLE 10000 0 0 RANDGOLD RES LTD ADR 752344309 832 9999 SH SOLE 9999 0 0 RAPID7 INC COM 753422104 2557 100000 SH SOLE 100000 0 0 REGALWOOD GLOBAL ENERGY LTD UNIT 99/99/9999 G74760110 3251 322542 SH SOLE 322542 0 0 RENT A CTR INC NEW COM 76009N100 173 20000 SH Call SOLE 20000 0 0 RENT A CTR INC NEW COM 76009N100 1640 190000 SH Call SOLE 190000 0 0 RENT A CTR INC NEW COM 76009N100 2602 301531 SH SOLE 301531 0 0 RENT A CTR INC NEW COM 76009N100 906 105000 SH Put SOLE 105000 0 0 RENT A CTR INC NEW COM 76009N100 617 71500 SH Put SOLE 71500 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 393 6900 SH SOLE 6900 0 0 RINGCENTRAL INC CL A 76680R206 1270 20000 SH Put SOLE 20000 0 0 RINGCENTRAL INC CL A 76680R206 1524 24000 SH Put SOLE 24000 0 0 RLJ LODGING TR COM 74965L101 577 29700 SH SOLE 29700 0 0 ROCKWELL COLLINS INC COM 774341101 10294 76339 SH SOLE 76339 0 0 ROSEHILL RES INC CL A 777385105 1901 460615 SH SOLE 460615 0 0 ROSEHILL RES INC W EXP 09/16/202 777385113 870 1164548 SH SOLE 1164548 0 0 RPX CORP COM 74972G103 267 25000 SH SOLE 25000 0 0 RSP PERMIAN INC COM 74978Q105 1406 30000 SH SOLE 30000 0 0 SABAN CAP ACQUISITION CORP COM CL A 78516C106 4237 426236 SH SOLE 426236 0 0 SABAN CAP ACQUISITION CORP W EXP 09/21/202 78516C114 163 125000 SH SOLE 125000 0 0 SELECT ENERGY SVCS INC CL A COM 81617J301 1957 155059 SH SOLE 155059 0 0 SELECT ENERGY SVCS INC CL A COM 81617J301 6034 478162 SH SOLE 478162 0 0 SENSEONICS HLDGS INC NOTE 5.250% 2/0 81727UAA3 3248 3000 PRN SOLE 3000 0 0 SENTINEL ENERGY SVCS INC UNIT 11/02/2022 G8062D128 5257 529956 SH SOLE 529956 0 0 SERITAGE GROWTH PPTYS CL A 81752R100 559 15736 SH SOLE 15736 0 0 SIGMA DESIGNS INC COM 826565103 5475 883101 SH SOLE 883101 0 0 SILICON LABORATORIES INC NOTE 1.375% 3/0 826919AB8 4631 4000 PRN SOLE 4000 0 0 SIMON PPTY GROUP INC NEW COM 828806109 926 6000 SH SOLE 6000 0 0 SJW GROUP COM 784305104 1682 31913 SH SOLE 31913 0 0 SNAP INC CL A 83304A106 794 50000 SH Put SOLE 50000 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 1560 155570 SH SOLE 155570 0 0 SPARTON CORP COM 847235108 2821 162029 SH SOLE 162029 0 0 SPDR S AND P 500 ETF TR TR UNIT 78462F103 5263 20000 SH Call SOLE 20000 0 0 SPDR S AND P 500 ETF TR TR UNIT 78462F103 6579 25000 SH Call SOLE 25000 0 0 SPDR S AND P 500 ETF TR TR UNIT 78462F103 5263 20000 SH Call SOLE 20000 0 0 SPDR S AND P 500 ETF TR TR UNIT 78462F103 2632 10000 SH Put SOLE 10000 0 0 SPDR S AND P 500 ETF TR TR UNIT 78462F103 13158 50000 SH Put SOLE 50000 0 0 SPDR SERIES TRUST S AND P OILGAS EXP 78464A730 1884 53500 SH Call SOLE 53500 0 0 SPDR SERIES TRUST S AND P OILGAS EXP 78464A730 2184 62000 SH Call SOLE 62000 0 0 SPROTT PHYSICAL GOLD AND SILVE TR UNIT 85208R101 4477 339156 SH SOLE 339156 0 0 STARBUCKS CORP COM 855244109 521 9000 SH SOLE 9000 0 0 STELLAR ACQUISITION III INC COM Y8172W107 1630 157483 SH SOLE 157483 0 0 SVB FINL GROUP COM 78486Q101 4776 19900 SH Put SOLE 19900 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 38303 585500 SH Call SOLE 585500 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 4907 75000 SH Call SOLE 75000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3271 50000 SH Call SOLE 50000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3271 50000 SH Put SOLE 50000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 9813 150000 SH Put SOLE 150000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 12103 185000 SH Put SOLE 185000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 36962 565000 SH Put SOLE 565000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 14720 225000 SH Put SOLE 225000 0 0 TERADYNE INC COM 880770102 229 5000 SH SOLE 5000 0 0 THOR INDS INC COM 885160101 1152 10000 SH SOLE 10000 0 0 TIBERIUS ACQUISITION CORP UNIT 02/28/2021 88633A206 4509 450000 SH SOLE 450000 0 0 TIME WARNER INC COM NEW 887317303 5769 61000 SH Call SOLE 61000 0 0 TIME WARNER INC COM NEW 887317303 3197 33800 SH Call SOLE 33800 0 0 TIME WARNER INC COM NEW 887317303 24165 255500 SH SOLE 255500 0 0 TPG PACE ENERGY HLDGS CORP CL A 872656103 9664 955876 SH SOLE 955876 0 0 TPG PACE ENERGY HLDGS CORP W EXP 99/99/999 872656111 1079 583333 SH SOLE 583333 0 0 TPG PACE HLDGS CORP CL A G89827128 6053 620200 SH SOLE 620200 0 0 TPG PACE HLDGS CORP W EXP 06/27/202 G89827110 465 300000 SH SOLE 300000 0 0 TRIBUNE MEDIA CO CL A 896047503 8116 200352 SH SOLE 200352 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 3656 100520 SH SOLE 100520 0 0 TWITTER INC COM 90184L102 1613 55600 SH SOLE 55600 0 0 UNION ACQUISITION CORP UNIT 99/99/9999 G9366W119 4997 488500 SH SOLE 488500 0 0 UNITED TECHNOLOGIES CORP COM 913017109 642 5100 SH Put SOLE 5100 0 0 UNITED TECHNOLOGIES CORP COM 913017109 981 7800 SH Put SOLE 7800 0 0 UNIVERSAL DISPLAY CORP COM 91347P105 5050 50000 SH Call SOLE 50000 0 0 UNIVERSAL DISPLAY CORP COM 91347P105 2525 25000 SH Call SOLE 25000 0 0 UNIVERSAL DISPLAY CORP COM 91347P105 2525 25000 SH Call SOLE 25000 0 0 UNIVERSAL DISPLAY CORP COM 91347P105 6616 65500 SH SOLE 65500 0 0 U S G CORP COM NEW 903293405 2021 50000 SH Put SOLE 50000 0 0 U S G CORP COM NEW 903293405 404 10000 SH Put SOLE 10000 0 0 U S G CORP COM NEW 903293405 2212 54727 SH SOLE 54727 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 1194 50000 SH Call SOLE 50000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 5214 50000 SH Put SOLE 50000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 4171 40000 SH Put SOLE 40000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 3650 35000 SH Put SOLE 35000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 14599 140000 SH Put SOLE 140000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 521 5000 SH SOLE 5000 0 0 VANTAGE ENERGY ACQUISITION COM CL A 92211L105 9149 935508 SH SOLE 935508 0 0 VANTAGE ENERGY ACQUISITION W EXP 04/12/202 92211L113 1083 833333 SH SOLE 833333 0 0 VARONIS SYS INC COM 922280102 1137 18787 SH SOLE 18787 0 0 VITAMIN SHOPPE INC COM 92849E101 479 110100 SH Call SOLE 110100 0 0 VMWARE INC CL A COM 928563402 1213 10000 SH Call SOLE 10000 0 0 WALMART INC COM 931142103 596 6700 SH SOLE 6700 0 0 DISNEY WALT CO COM DISNEY 254687106 2511 25000 SH Call SOLE 25000 0 0 WELLS FARGO CO NEW COM 949746101 6551 125000 SH Call SOLE 125000 0 0 WELLS FARGO CO NEW COM 949746101 262 5000 SH SOLE 5000 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 12222 600000 SH Call SOLE 600000 0 0 WILLSCOT CORP W EXP 09/10/202 971375118 961 575623 SH SOLE 575623 0 0 XENON PHARMACEUTICALS INC COM 98420N105 495 101103 SH SOLE 101103 0 0 XILINX INC COM 983919101 10959 151700 SH Call SOLE 151700 0 0 XILINX INC COM 983919101 3612 50000 SH SOLE 50000 0 0 XL GROUP LTD COM G98294104 713 12900 SH SOLE 12900 0 0 ZILLOW GROUP INC NOTE 2.000%12/0 98954MAB7 12227 10000 PRN SOLE 10000 0 0 ZSCALER INC COM 98980G102 980 34899 SH SOLE 34899 0 0