President

0001461790-19-000036.txt : 20191115 0001461790-19-000036.hdr.sgml : 20191115 20191114174555 ACCESSION NUMBER: 0001461790-19-000036 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191115 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191115 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: 191221861 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 09-30-2019 09-30-2019 K2 PRINCIPAL FUND, L.P.

2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2

13F HOLDINGS REPORT 028-16812 N Daniel Gosselin President 416-365-2155 /s/Daniel Gosselin TORONTO A6 11-14-2019 0 303 924600 false INFORMATION TABLE 2 informationtable.xml 8I ENTERPRISES ACQUISITIN CO SH G2956M104 328 32800 SH SOLE 32800 0 0 8I ENTERPRISES ACQUISITIN CO W EXP 10/29/202 G2956M112 25 63311 SH Call SOLE 63311 0 0 8I ENTERPRISES ACQUISITIN CO RIGHT 10/29/2020 G2956M120 64 150000 SH Call SOLE 150000 0 0 8I ENTERPRISES ACQUISITIN CO UNIT 99/99/9999 G2956M138 2273 214000 SH SOLE 214000 0 0 ADVANCED DISP SVCS INC DEL COM 00790X101 5790 177760 SH SOLE 177760 0 0 ADVANCED MICRO DEVICES INC COM 007903107 8117 280000 SH SOLE 280000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 4783 165000 SH Put SOLE 165000 0 0 AEROJET ROCKETDYNE HLDGS INC NOTE 2.25012/1 007800AB1 9978 5000 PRN SOLE 5000 0 0 ALBERTON ACQUISITION CORP ORD SHS G35006108 351 34244 SH SOLE 34244 0 0 ALBERTON ACQUISITION CORP UNIT 04/22/2020 G35006116 1810 171520 SH SOLE 171520 0 0 ALBERTON ACQUISITION CORP W EXP 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