0001461790-20-000009.txt : 20200213
0001461790-20-000009.hdr.sgml : 20200213
20200213163726
ACCESSION NUMBER: 0001461790-20-000009
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200213
DATE AS OF CHANGE: 20200213
EFFECTIVENESS DATE: 20200213
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: 20611325
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
12-31-2019
12-31-2019
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
02-13-2020
0
308
1155896
false
INFORMATION TABLE
2
informationtable.xml
ISHARES TR
CORE US AGGBD ET
464287226
16856
150000
SH
Put
SOLE
150000
0
0
ALLERGAN PLC
SH
G0177J108
6213
32500
SH
SOLE
32500
0
0
AEROJET ROCKETDYNE HLDGS INC
NOTE 2.25012/1
007800AB1
5439
3000
PRN
SOLE
3000
0
0
ALBERTON ACQUISITION CORP
ORD SH
G35006108
354
34244
SH
SOLE
34244
0
0
ALBERTON ACQUISITION CORP
RIGHT 10/04/2020
G35006132
125
570019
SH
SOLE
570019
0
0
ALBERTON ACQUISITION CORP
UNIT 04/22/2020
G35006116
1827
171520
SH
SOLE
171520
0
0
ALBERTON ACQUISITION CORP
W EXP 04/26/202
G35006124
14
234800
SH
SOLE
234800
0
0
ALLEGRO MERGER CORP
COM
01749N103
184
17996
SH
SOLE
17996
0
0
ALUSSA ENERGY ACQUISITION CO
UNIT 10/31/2026
G0232J127
4032
400000
SH
SOLE
400000
0
0
AMCI ACQUISITION CORP
UNIT 01/07/2019
00165R200
5195
500000
SH
SOLE
500000
0
0
AMCI ACQUISITION CORP
W EXP 05/20/202
00165R119
26
82510
SH
SOLE
82510
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
1147
25000
SH
Call
SOLE
25000
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
5045
110000
SH
Put
SOLE
110000
0
0
APEX TECHNOLOGY ACQUISITN CO
UNIT 06/11/2026
03768F201
8114
775010
SH
SOLE
775010
0
0
ARYA SCIENCES ACQUISITION CO
UNIT 10/04/2023
G3165V117
4507
391875
SH
SOLE
391875
0
0
AURINIA PHARMACEUTICALS INC
COM
05156V102
2249
111000
SH
Put
SOLE
111000
0
0
AVISTA CORP
COM
05379B107
3745
77885
SH
SOLE
77885
0
0
AVX CORP NEW
COM
002444107
701
34240
SH
SOLE
34240
0
0
AVAYA HLDGS CORP
NOTE 2.250 6/1
05351XAB7
6167
6950
PRN
SOLE
6950
0
0
ALTERYX INC
COM CL A
02156B103
3502
35000
SH
SOLE
35000
0
0
ALTERYX INC
COM CL A
02156B103
7005
70000
SH
Call
SOLE
70000
0
0
LIBERTY MEDIA CORP DELAWARE
COM C BRAVES GRP
531229888
689
23308
SH
SOLE
23308
0
0
BLACKBERRY LTD
DEBT 3.75011/1
C10268AC1
8880
8763
PRN
SOLE
8763
0
0
BROWN FORMAN CORP
CL A
115637100
6456
102848
SH
SOLE
102848
0
0
BUNGE LIMITED
COM
G16962105
5784
100500
SH
SOLE
100500
0
0
BUNGE LIMITED
COM
G16962105
7798
135500
SH
Call
SOLE
135500
0
0
BGC PARTNERS INC
CL A
05541T101
132
22201
SH
SOLE
22201
0
0
BHP GROUP LTD
SPONSORED ADS
088606108
547
10000
SH
Put
SOLE
10000
0
0
BRISTOL MYERS SQUIBB CO
RIGHT 99/99/9999
110122157
151
50300
SH
SOLE
50300
0
0
AUDENTES THERAPEUTICS INC
COM
05070R104
1537
25680
SH
SOLE
25680
0
0
BROOKFIELD PROPERTY REIT INC
CL A
11282X103
5534
300000
SH
SOLE
300000
0
0
BROOGE HLDGS LTD
SH
G1611B107
1133
128257
SH
SOLE
128257
0
0
BROOGE HLDGS LTD
W EXP 12/20/202
G1611B115
902
1218881
SH
SOLE
1218881
0
0
BIG ROCK PARTNERS ACQUISI CO
COM
089482103
2047
193091
SH
SOLE
193091
0
0
BIG ROCK PARTNERS ACQUISI CO
RIGHT 12/01/2022
089482129
105
421503
SH
SOLE
421503
0
0
BIG ROCK PARTNERS ACQUISI CO
UNIT 11/20/2022
089482202
2623
240000
SH
SOLE
240000
0
0
BIG ROCK PARTNERS ACQUISI CO
W EXP 12/01/202
089482111
16
101200
SH
SOLE
101200
0
0
B RILEY PRINCIPAL MERGER COR
CL A
05586Y106
3989
398521
SH
SOLE
398521
0
0
B RILEY PRINCIPAL MERGER COR
UNIT 99/99/9999
05586Y205
2100
200400
SH
SOLE
200400
0
0
B RILEY PRINCIPAL MERGER COR
W EXP 04/08/202
05586Y114
559
682133
SH
SOLE
682133
0
0
BLUEGREEN VACATIONS CORP
COM
09629F108
1374
132927
SH
SOLE
132927
0
0
CONTINENTAL BLDG PRODS INC
COM
211171103
546
15000
SH
SOLE
15000
0
0
COLLIER CREEK HOLDINGS
COM CL A
G22707106
399
38799
SH
SOLE
38799
0
0
COLLIER CREEK HOLDINGS
UNIT 99/99/9999
G22707122
7202
678188
SH
SOLE
678188
0
0
CHURCHILL CAP CORP II
CL A
17143G106
1883
182300
SH
SOLE
182300
0
0
CHURCHILL CAP CORP II
UNIT 99/99/9999
17143G205
2902
269200
SH
SOLE
269200
0
0
CONDOR HOSPITALITY TR INC
COM NEW
20676Y403
1426
129202
SH
SOLE
129202
0
0
CENTRAL EUROPEAN MEDIA ENTRP
CL A NEW
G20045202
426
94080
SH
SOLE
94080
0
0
CF FIN ACQUISITION CORP
COM CL A
12528N107
1393
136149
SH
SOLE
136149
0
0
CF FIN ACQUISITION CORP
UNIT 04/30/2025
12528N206
9749
895233
SH
SOLE
895233
0
0
CF FIN ACQUISITION CORP
W EXP 04/30/202
12528N115
998
1146623
SH
SOLE
1146623
0
0
CHP MERGER CORP
UNIT 11/22/2024
12558Y205
6102
600000
SH
SOLE
600000
0
0
CISION LTD
SH
G1992S109
7364
738631
SH
SOLE
738631
0
0
SEACOR HOLDINGS INC
NOTE 3.00011/1
81170YAB5
3718
3745
PRN
SOLE
3745
0
0
CLOUDERA INC
COM
18914U100
3466
298000
SH
SOLE
298000
0
0
CALLON PETE CO DEL
COM
13123X102
1050
217369
SH
SOLE
217369
0
0
CARE COM INC
COM
141633107
420
27951
SH
SOLE
27951
0
0
SALESFORCE COM INC
COM
79466L302
7319
45000
SH
Put
SOLE
45000
0
0
CRESCENT ACQUISITION CORP
UNIT 99/99/9999
22564L204
865
84500
SH
SOLE
84500
0
0
CHASERG TECHNLGY ACQUISITN C
CLASS A
16166A103
2371
218515
SH
SOLE
218515
0
0
CHASERG TECHNLGY ACQUISITN C
W EXP 04/10/202
16166A111
358
162500
SH
SOLE
162500
0
0
CARNIVAL PLC
ADR
14365C103
5538
115000
SH
SOLE
115000
0
0
CYPRESS SEMICONDUCTOR CORP
NOTE 2.000 2/0
232806AP4
3626
3000
PRN
SOLE
3000
0
0
CYPRESS SEMICONDUCTOR CORP
NOTE 4.500 1/1
232806AM1
7779
4490
PRN
SOLE
4490
0
0
CAESARS ENTMT CORP
COM
127686103
1485
109200
SH
Call
SOLE
109200
0
0
CAESARS ENTMT CORP
NOTE 5.00010/0
127686AA1
3842
2000
PRN
SOLE
2000
0
0
DD3 ACQUISITION CORP
SH
G2692M103
4524
442668
SH
SOLE
442668
0
0
DD3 ACQUISITION CORP
W EXP 10/20/202
G2692M111
115
255800
SH
SOLE
255800
0
0
DELL TECHNOLOGIES INC
CL C
24703L202
838
16316
SH
SOLE
16316
0
0
LGL SYS ACQUISITION CORP
UNIT 10/24/2024
50201G205
2040
200000
SH
SOLE
200000
0
0
DISNEY WALT CO
COM DISNEY
254687106
2097
14500
SH
Call
SOLE
14500
0
0
DISCOVERY INC
COM SER C
25470F302
4540
148903
SH
SOLE
148903
0
0
DOLLAR TREE INC
COM
256746108
619
6578
SH
SOLE
6578
0
0
DOLLAR TREE INC
COM
256746108
3386
36000
SH
Call
SOLE
36000
0
0
PURE ACQUISITION CORP
W EXP 04/17/202
74621Q114
2340
2373491
SH
SOLE
2373491
0
0
DOCUSIGN INC
NOTE 0.500 9/1
256163AB2
7465
6000
PRN
SOLE
6000
0
0
DIAMONDPEAK HLDGS COR
W EXP 02/22/202
25280H118
12
15233
SH
SOLE
15233
0
0
DEXCOM INC
NOTE 0.750 5/1
252131AF4
6670
3000
PRN
SOLE
3000
0
0
DYCOM INDS INC
NOTE 0.750 9/1
267475AB7
1937
2000
PRN
SOLE
2000
0
0
US ECOLOGY INC
W EXP 10/17/202
91734M111
1296
111720
SH
SOLE
111720
0
0
EDTECHX HLDGS ACQUISITION CO
COM
28138X103
526
51200
SH
SOLE
51200
0
0
EDTECHX HLDGS ACQUISITION CO
W EXP 12/31/202
28138X111
61
168753
SH
SOLE
168753
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
1795
40000
SH
Call
SOLE
40000
0
0
SEACOR HOLDINGS INC
NOTE 2.50012/1
811904AM3
2517
2625
PRN
SOLE
2625
0
0
ELDORADO RESORTS INC
COM
28470R102
1193
20000
SH
Call
SOLE
20000
0
0
FITBIT INC
CL A
33812L102
2454
373502
SH
SOLE
373502
0
0
FORUM MERGER II CORP
CL A
34986F103
766
75000
SH
SOLE
75000
0
0
FORUM MERGER II CORP
UNIT 09/30/2025
34986F202
3206
299600
SH
SOLE
299600
0
0
FORUM MERGER II CORP
W EXP 09/30/202
34986F111
18
39400
SH
SOLE
39400
0
0
FRANCO NEVADA CORP
COM
351858105
3099
30000
SH
Put
SOLE
30000
0
0
FOX CORP
CL B COM
35137L204
1324
36378
SH
SOLE
36378
0
0
FAR PT ACQUISITION CORP
COM CL A
30734W109
2321
225369
SH
SOLE
225369
0
0
FAR PT ACQUISITION CORP
UNIT 06/01/2025
30734W208
9899
916597
SH
SOLE
916597
0
0
FAR PT ACQUISITION CORP
W EXP 06/01/202
30734W117
528
409634
SH
SOLE
409634
0
0
FIRST MAJESTIC SILVER CORP
NOTE 1.875 3/0
32076VAB9
4264
3000
PRN
SOLE
3000
0
0
FINSERV ACQUISITION CORP
UNIT 12/31/2026
318085206
5105
500000
SH
SOLE
500000
0
0
FINTECH ACQUISITION CORP III
COM CL A
31811A101
1640
162039
SH
SOLE
162039
0
0
FINTECH ACQUISITION CORP III
UNIT 12/01/2023
31811A309
8063
750000
SH
SOLE
750000
0
0
LIBERTY MEDIA CORP DELAWARE
COM SER A FRMLA
531229870
3464
79125
SH
SOLE
79125
0
0
GANNETT CO INC NEW
COM
36472T109
1264
198144
SH
SOLE
198144
0
0
GANNETT CO INC NEW
COM
36472T109
706
110700
SH
Put
SOLE
110700
0
0
GIGCAPITAL2 INC
COM
375036100
3972
400000
SH
SOLE
400000
0
0
GIGCAPITAL2 INC
W EXP 02/28/202
375036118
124
400000
SH
SOLE
400000
0
0
SPDR GOLD TRUST
GOLD SH
78463V107
30581
214000
SH
Put
SOLE
214000
0
0
GORES METROPOULOS INC
UNIT 99/99/9999
382872208
2141
202000
SH
SOLE
202000
0
0
GOGO INC
COM
38046C109
896
140000
SH
Put
SOLE
140000
0
0
ALPHABET INC
CAP STK CL A
02079K305
15869
11848
SH
SOLE
11848
0
0
CANADA GOOSE HOLDINGS INC
SHS SUB VTG
135086106
924
25500
SH
Call
SOLE
25500
0
0
CANADA GOOSE HOLDINGS INC
SHS SUB VTG
135086106
525
14500
SH
Put
SOLE
14500
0
0
GRAF INDL CORP
COM
384278107
6437
631716
SH
SOLE
631716
0
0
GRAF INDL CORP
W EXP 12/31/202
384278115
14
31968
SH
SOLE
31968
0
0
GORES HOLDINGS III INC
CLASS A
38286G109
5075
490780
SH
SOLE
490780
0
0
GORES HOLDINGS III INC
W EXP 09/11/202
38286G117
235
151682
SH
SOLE
151682
0
0
GS ACQUISITION HLDGS CORP
COM CL A
36255F102
181
16434
SH
SOLE
16434
0
0
GS ACQUISITION HLDGS CORP
W EXP 06/12/202
36255F110
329
142686
SH
SOLE
142686
0
0
GREENLAND TECHNOLOGS HLDG CO
SHS NEW
G4095T107
25
10000
SH
SOLE
10000
0
0
GX ACQUISITION CORP
UNIT 05/24/2026
36251A206
6578
637994
SH
SOLE
637994
0
0
HENNESSY CAP ACQUSTION CORP
UNIT 99/99/9999
42589C203
1810
169156
SH
SOLE
169156
0
0
HENNESSY CAP ACQUSTION CORP
W EXP 09/05/202
42589C112
40
50000
SH
SOLE
50000
0
0
WARRIOR MET COAL INC
COM
93627C101
528
25000
SH
Call
SOLE
25000
0
0
HL ACQUISITIONS CORP
SH
G4603R106
382
36987
SH
SOLE
36987
0
0
HEALTHCARE MERGER CORP
UNIT 12/17/2021
42227L201
3105
300000
SH
SOLE
300000
0
0
HOME DEPOT INC
COM
437076102
4160
19049
SH
SOLE
19049
0
0
HOME DEPOT INC
COM
437076102
655
3000
SH
Call
SOLE
3000
0
0
HEICO CORP NEW
CL A
422806208
4524
50525
SH
SOLE
50525
0
0
WEALTHBRIDGE ACQUISITION LTD
RIGHT 11/02/2023
G4887W136
15
44774
SH
SOLE
44774
0
0
HUBSPOT INC
NOTE 0.250 6/0
443573AB6
4325
2500
PRN
SOLE
2500
0
0
HAYMAKER ACQUISITION CORP II
UNIT 10/31/2026
42087L200
6038
575000
SH
SOLE
575000
0
0
ISHARES TR
IBOXX HI YD ETF
464288513
13191
150000
SH
Put
SOLE
150000
0
0
ISHARES TR
EXPANDED TECH
464287515
42180
181000
SH
Put
SOLE
181000
0
0
INNOVATIVE INDL PPTYS INC
COM
45781V101
759
10000
SH
Put
SOLE
10000
0
0
IMMUNOVANT INC
W EXP 12/18/202
45258J110
332
166200
SH
SOLE
166200
0
0
INSURANCE ACQUISITION CORP
UNIT 03/31/2024
457867307
7406
700000
SH
SOLE
700000
0
0
COLONY STARWOOD HOMES
NOTE 3.500 1/1
19625XAB8
10098
7500
PRN
SOLE
7500
0
0
INTERXION HOLDING N.V
SH
N47279109
4255
50765
SH
SOLE
50765
0
0
INNOPHOS HOLDINGS INC
COM
45774N108
2032
63555
SH
SOLE
63555
0
0
JUST ENERGY GROUP INC
COM
48213W101
126
75000
SH
Call
SOLE
75000
0
0
JUST ENERGY GROUP INC
COM
48213W101
114
67600
SH
Put
SOLE
67600
0
0
8I ENTERPRISES ACQUISITIN CO
SH
G2956M104
3397
339000
SH
SOLE
339000
0
0
8I ENTERPRISES ACQUISITIN CO
RIGHT 10/29/2020
G2956M120
139
364000
SH
SOLE
364000
0
0
8I ENTERPRISES ACQUISITIN CO
W EXP 10/29/202
G2956M112
49
140493
SH
SOLE
140493
0
0
JUNIPER INDL HLDGS INC
UNIT 11/13/2026
48205G205
2993
294000
SH
SOLE
294000
0
0
KNIGHT SWIFT TRANSN HLDGS IN
CL A
499049104
358
10000
SH
SOLE
10000
0
0
LEISURE ACQUISITION CORP
COM
52539T107
1146
110000
SH
SOLE
110000
0
0
LEISURE ACQUISITION CORP
UNIT 99/99/9999
52539T206
3199
294007
SH
SOLE
294007
0
0
LEISURE ACQUISITION CORP
W EXP 12/05/201
52539T115
37
35400
SH
SOLE
35400
0
0
UNION ACQUISITION CORP II
UNIT 99/99/9999
G9402Q118
3563
350000
SH
SOLE
350000
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
5096
40910
SH
SOLE
40910
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
2456
112705
SH
SOLE
112705
0
0
LANDCADIA HLDGS II INC
UNIT 05/09/2026
51476X204
4099
405046
SH
SOLE
405046
0
0
LENNAR CORP
CL B
526057302
2660
59517
SH
SOLE
59517
0
0
LF CAP ACQUISITION CORP
CL A
50200K108
774
75000
SH
SOLE
75000
0
0
LF CAP ACQUISITION CORP
UNIT 06/19/2025
50200K207
2934
277305
SH
SOLE
277305
0
0
LEGACY ACQUISITION CORP
COM CL A
524643103
771
75069
SH
SOLE
75069
0
0
LIONS GATE ENTMNT CORP
CL B NON VTG
535919500
4300
432988
SH
SOLE
432988
0
0
LEO HOLDINGS CORP
W EXP 02/07/202
G5463L113
100
150245
SH
SOLE
150245
0
0
LIBERTY LATIN AMERICA LTD
COM CL A
G9001E102
195
10087
SH
SOLE
10087
0
0
LIV CAP ACQUISITION CORP
UNIT 99/99/9999
G5510C124
2012
200000
SH
SOLE
200000
0
0
LONGEVITY ACQUISITION CORP
UNIT 08/29/2024
G56372108
2140
200000
SH
SOLE
200000
0
0
LONGEVITY ACQUISITION CORP
W EXP 07/31/202
G56372116
59
657746
SH
SOLE
657746
0
0
LOWES COS INC
COM
548661107
1317
11000
SH
Put
SOLE
11000
0
0
LIBERTY PPTY TR
SH BEN INT
531172104
330
5493
SH
SOLE
5493
0
0
ISHARES TR
IBOXX INV CP ETF
464287242
39770
310800
SH
Put
SOLE
310800
0
0
LIBERTY MEDIA CORP DELAWARE
COM A SIRIUSXM
531229409
754
15600
SH
SOLE
15600
0
0
LADENBURG THALMAN FIN SVCS I
COM
50575Q102
1148
330000
SH
SOLE
330000
0
0
MAXAR TECHNOLOGIES INC
COM
57778K105
1987
126800
SH
Call
SOLE
126800
0
0
MCDONALDS CORP
COM
580135101
11210
56728
SH
SOLE
56728
0
0
MCDONALDS CORP
COM
580135101
9070
45900
SH
Call
SOLE
45900
0
0
MCDONALDS CORP
COM
580135101
4249
21500
SH
Put
SOLE
21500
0
0
MONGODB INC
CL A
60937P106
5922
45000
SH
SOLE
45000
0
0
MONGODB INC
CL A
60937P106
3290
25000
SH
Put
SOLE
25000
0
0
MEDICINES CO
NOTE 2.750 7/1
584688AG0
12189
7000
PRN
SOLE
7000
0
0
MEGALITH FINL ACQUISITION CO
CL A COM
58518F109
2687
261865
SH
SOLE
261865
0
0
MEGALITH FINL ACQUISITION CO
W EXP 08/26/202
58518F117
141
441992
SH
SOLE
441992
0
0
3M CO
COM
88579Y101
8143
46158
SH
SOLE
46158
0
0
3M CO
COM
88579Y101
21770
123400
SH
Call
SOLE
123400
0
0
MONOCLE ACQUISITION CORP
COM
609754106
2566
252049
SH
SOLE
252049
0
0
MONOCLE ACQUISITION CORP
UNIT 99/99/9999
609754205
1362
125500
SH
SOLE
125500
0
0
MOSAIC ACQUISITION CORP
COM CL A
61946M100
11682
1135849
SH
SOLE
1135849
0
0
MICROSOFT CORP
COM
594918104
17860
113250
SH
SOLE
113250
0
0
MICROSOFT CORP
COM
594918104
8752
55500
SH
Call
SOLE
55500
0
0
MICROSOFT CORP
COM
594918104
11197
71000
SH
Put
SOLE
71000
0
0
MADISON SQUARE GARDEN CO NEW
CL A
55825T103
1030
3500
SH
SOLE
3500
0
0
MADISON SQUARE GARDEN CO NEW
CL A
55825T103
735
2500
SH
Call
SOLE
2500
0
0
MUDRICK CAP ACQUISITION CORP
COM CLASS A
624745105
1719
166594
SH
SOLE
166594
0
0
MAGNACHIP SEMICONDUCTOR CORP
COM
55933J203
4943
425790
SH
SOLE
425790
0
0
MAGNACHIP SEMICONDUCTOR CORP
COM
55933J203
5026
432900
SH
Call
SOLE
432900
0
0
NATIONAL ENERGY SERVICES REU
W EXP 05/05/202
G6375R115
777
863281
SH
SOLE
863281
0
0
NETFIN ACQUISITION CORP
UNIT 08/01/2024
G6455A123
4076
400000
SH
SOLE
400000
0
0
NETFIN ACQUISITION CORP
W EXP 08/01/202
G6455A115
92
307000
SH
SOLE
307000
0
0
NETFLIX INC
COM
64110L106
3883
12000
SH
Call
SOLE
12000
0
0
NETFLIX INC
COM
64110L106
1294
4000
SH
Put
SOLE
4000
0
0
NORTHROP GRUMMAN CORP
COM
666807102
1660
4825
SH
SOLE
4825
0
0
NORTHROP GRUMMAN CORP
COM
666807102
860
2500
SH
Call
SOLE
2500
0
0
NORTHROP GRUMMAN CORP
COM
666807102
1032
3000
SH
Put
SOLE
3000
0
0
NEW PROVIDENCE ACQUISITIN CO
UNIT 09/01/2024
64822P205
3075
300000
SH
SOLE
300000
0
0
DIREXION SHS ETF TR
DLY GOLD INDX 3X
25460E844
784
22500
SH
Put
SOLE
22500
0
0
NUVASIVE INC
NOTE 2.250 3/1
670704AG0
5251
3939
PRN
SOLE
3939
0
0
NVIDIA CORP
COM
67066G104
14118
60000
SH
Call
SOLE
60000
0
0
NVIDIA CORP
COM
67066G104
5647
24000
SH
Put
SOLE
24000
0
0
NEWS CORP NEW
CL A
65249B109
1397
98816
SH
SOLE
98816
0
0
OAKTREE ACQUISITION CORP
UNIT 99/99/9999
G67145121
4081
400106
SH
SOLE
400106
0
0
OMNOVA SOLUTIONS INC
COM
682129101
2464
243757
SH
SOLE
243757
0
0
OPES ACQUISITION CORP
COM
68373P100
6049
575000
SH
SOLE
575000
0
0
ORGANOGENESIS HLDGS INC
COM
68621F102
429
89191
SH
SOLE
89191
0
0
ORISUN ACQUISITION CORP
UNIT 99/99/9999
68632T208
1778
175000
SH
SOLE
175000
0
0
PACIFIC BIOSCIENCES CALIF IN
COM
69404D108
79
15300
SH
SOLE
15300
0
0
PACIFIC BIOSCIENCES CALIF IN
COM
69404D108
257
50000
SH
Call
SOLE
50000
0
0
RANPAK HLDGS CORP
W EXP 06/03/202
75321W111
103
90492
SH
SOLE
90492
0
0
PURE ACQUISITION CORP
CL A
74621Q106
11171
1077250
SH
SOLE
1077250
0
0
PARSLEY ENERGY INC
CL A
701877102
1471
77792
SH
SOLE
77792
0
0
PATTERN ENERGY GROUP INC
CL A
70338P100
1226
45832
SH
SOLE
45832
0
0
PATTERN ENERGY GROUP INC
NOTE 4.000 7/1
70338PAB6
11139
11025
PRN
SOLE
11025
0
0
PROOFPOINT INC
COM
743424103
5796
50500
SH
SOLE
50500
0
0
PROOFPOINT INC
COM
743424103
9756
85000
SH
Call
SOLE
85000
0
0
BIOMX INC
COM
09090D103
161
16608
SH
SOLE
16608
0
0
BIOMX INC
W EXP 10/16/202
09090D111
227
472211
SH
SOLE
472211
0
0
PIVOTAL INVT CORP II
UNIT 06/01/2025
72582K209
4080
400000
SH
SOLE
400000
0
0
PROPTECH ACQUISITION CORPORA
UNIT 10/01/2026
74349F200
3186
311101
SH
SOLE
311101
0
0
PRETIUM RES INC
COM
74139C102
752
67600
SH
Put
SOLE
67600
0
0
PAYPAL HLDGS INC
COM
70450Y103
2163
20000
SH
SOLE
20000
0
0
QUALCOMM INC
COM
747525103
5294
60000
SH
SOLE
60000
0
0
QUALCOMM INC
COM
747525103
8823
100000
SH
Call
SOLE
100000
0
0
ROBERT HALF INTL INC
COM
770323103
404
6400
SH
SOLE
6400
0
0
ROBERT HALF INTL INC
COM
770323103
1137
18000
SH
Call
SOLE
18000
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
2642
44500
SH
Put
SOLE
44500
0
0
ROSEHILL RES INC
W EXP 04/27/202
777385113
80
864548
SH
SOLE
864548
0
0
REPLAY ACQUISITION CORP
UNIT 03/01/2024
G75130123
4134
398605
SH
SOLE
398605
0
0
REPUBLIC SVCS INC
COM
760759100
493
5500
SH
Put
SOLE
5500
0
0
RUBICON PROJ INC
COM
78112V102
140
17163
SH
SOLE
17163
0
0
SOFTWARE ACQUISITION GROUP I
UNIT 10/01/2026
83406B200
2032
200000
SH
SOLE
200000
0
0
THE CHARLES SCHWAB CORPORATI
COM
808513105
1795
37734
SH
SOLE
37734
0
0
SC HEALTH CORP
UNIT 99/99/9999
G78516302
5180
500000
SH
SOLE
500000
0
0
OSPREY TECHNLGY AQUISTION CO
UNIT 10/30/2024
68839R401
5090
500000
SH
SOLE
500000
0
0
SIRIUS INTERNATIONAL INSURAN
COM
G8196D101
470
53813
SH
SOLE
53813
0
0
SHAKE SHACK INC
CL A
819047101
298
5000
SH
Call
SOLE
5000
0
0
SHAKE SHACK INC
CL A
819047101
1042
17500
SH
Put
SOLE
17500
0
0
SILICON LABORATORIES INC
NOTE 1.375 3/0
826919AB8
6660
5000
PRN
SOLE
5000
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
1251
75000
SH
Put
SOLE
75000
0
0
VANECK VECTORS ETF TRUST
SEMICONDUCTOR ET
92189F676
42338
299400
SH
Put
SOLE
299400
0
0
SPARTAN ENERGY ACQUISITON CO
CL A COM STK
846784106
559
55000
SH
SOLE
55000
0
0
SPARTAN ENERGY ACQUISITON CO
UNIT 99/99/9999
846784114
3661
358900
SH
SOLE
358900
0
0
SPARTAN ENERGY ACQUISITON CO
W EXP 08/27/202
846784122
83
150000
SH
SOLE
150000
0
0
VIRGIN GALACTIC HOLDINGS INC
W EXP 11/25/202
92766K114
394
117592
SH
SOLE
117592
0
0
SPLUNK INC
COM
848637104
4119
27500
SH
Call
SOLE
27500
0
0
STABLE RD ACQUISITION CORP
UNIT 05/15/2026
85236Q208
5672
551240
SH
SOLE
551240
0
0
SRC ENERGY INC
COM
78470V108
5986
1452867
SH
SOLE
1452867
0
0
STEWART INFORMATION SVCS COR
COM
860372101
938
22999
SH
SOLE
22999
0
0
SCORPIO TANKERS INC
NOTE 3.000 5/1
80918TAB5
5525
4500
PRN
SOLE
4500
0
0
SIERRA WIRELESS INC
COM
826516106
3508
367300
SH
Put
SOLE
367300
0
0
SKYWORKS SOLUTIONS INC
COM
83088M102
12221
101100
SH
Put
SOLE
101100
0
0
TEXAS CAPITAL BANCSHARES INC
COM
88224Q107
568
10000
SH
SOLE
10000
0
0
TRIDENT ACQUISITIONS CORP
COM
89615T106
287
27215
SH
SOLE
27215
0
0
TRIDENT ACQUISITIONS CORP
W EXP 05/09/202
89615T114
4
36510
SH
SOLE
36510
0
0
TECH DATA CORP
COM
878237106
2636
18358
SH
SOLE
18358
0
0
TALLGRASS ENERGY LP
CLASS A SH
874696107
2573
116301
SH
SOLE
116301
0
0
THUNDER BRDG ACQUISTION II L
CL A SH
G8857S116
1500
150800
SH
SOLE
150800
0
0
THUNDER BRDG ACQUISTION II L
UNIT 99/99/9999
G8857S124
608
58201
SH
SOLE
58201
0
0
THUNDER BRDG ACQUISTION II L
W EXP 11/30/202
G8857S108
380
422000
SH
SOLE
422000
0
0
TUSCAN HLDGS CORP II
COM
90070A103
3827
388115
SH
SOLE
388115
0
0
TUSCAN HLDGS CORP II
UNIT 04/01/2026
90070A202
4894
486458
SH
SOLE
486458
0
0
TUSCAN HLDGS CORP II
W EXP 99/99/999
90070A111
115
288327
SH
SOLE
288327
0
0
TUSCAN HOLDINGS CORP
COM
90069K104
1814
182130
SH
SOLE
182130
0
0
TUSCAN HOLDINGS CORP
UNIT 99/99/9999
90069K203
8406
799777
SH
SOLE
799777
0
0
TUSCAN HOLDINGS CORP
W EXP 04/01/202
90069K112
420
839778
SH
SOLE
839778
0
0
TARGET HOSPITALITY CORP
W EXP 03/15/202
87615L115
155
298220
SH
SOLE
298220
0
0
TIBERIUS ACQUISITION CORP
W EXP 02/28/202
88633A115
263
230707
SH
SOLE
230707
0
0
TIFFANY & CO NEW
COM
886547108
2077
15543
SH
SOLE
15543
0
0
TJX COS INC NEW
COM
872540109
2693
44110
SH
SOLE
44110
0
0
TJX COS INC NEW
COM
872540109
1056
17300
SH
Call
SOLE
17300
0
0
TJX COS INC NEW
COM
872540109
427
7000
SH
Put
SOLE
7000
0
0
TRINE ACQUISITION CORP
UNIT 03/31/2021
89628U207
4417
439100
SH
SOLE
439100
0
0
TRAVELERS COMPANIES INC
COM
89417E109
2479
18100
SH
Call
SOLE
18100
0
0
TRAVELERS COMPANIES INC
COM
89417E109
315
2300
SH
Put
SOLE
2300
0
0
STARS GROUP INC
COM
85570W100
1565
60000
SH
SOLE
60000
0
0
TWITTER INC
NOTE 0.250 6/1
90184LAF9
6775
7000
PRN
SOLE
7000
0
0
UNDER ARMOUR INC
CL C
904311206
1986
103569
SH
SOLE
103569
0
0
DOMTAR CORP
COM NEW
257559203
11633
304200
SH
Put
SOLE
304200
0
0
UNITED STATES OIL FUND LP
UNITS
91232N108
2882
225000
SH
SOLE
225000
0
0
UNITED STATES OIL FUND LP
UNITS
91232N108
1601
125000
SH
Call
SOLE
125000
0
0
VISA INC
COM CL A
92826C839
12297
65442
SH
SOLE
65442
0
0
VISA INC
COM CL A
92826C839
8587
45700
SH
Call
SOLE
45700
0
0
VISA INC
COM CL A
92826C839
4660
24800
SH
Put
SOLE
24800
0
0
MARRIOTT VACTINS WORLDWID CO
NOTE 1.500 9/1
57164YAB3
2130
2000
PRN
SOLE
2000
0
0
VALE S A
SPONSORED ADS
91912E105
158
12000
SH
Put
SOLE
12000
0
0
VIACOMCBS INC
CL B
92556H206
7949
189400
SH
Call
SOLE
189400
0
0
WESCO AIRCRAFT HLDGS INC
COM
950814103
5129
465444
SH
SOLE
465444
0
0
WABCO HLDGS INC
COM
92927K102
7645
56417
SH
SOLE
56417
0
0
WELLCARE HEALTH PLANS INC
COM
94946T106
2889
8750
SH
SOLE
8750
0
0
WASTE CONNECTIONS INC
COM
94106B101
2270
25000
SH
Put
SOLE
25000
0
0
WORKDAY INC
NOTE 0.25010/0
98138HAF8
7015
5485
PRN
SOLE
5485
0
0
LYON WILLIAM HOMES
CL A NEW
552074700
981
49084
SH
SOLE
49084
0
0
WASTE MGMT INC DEL
COM
94106L109
488
4280
SH
SOLE
4280
0
0
WASTE MGMT INC DEL
COM
94106L109
627
5500
SH
Put
SOLE
5500
0
0
WRIGHT MED GROUP N V
ORD SH
N96617118
914
30000
SH
Call
SOLE
30000
0
0
WRIGHT MED GROUP N V
NOTE 2.25011/1
98236JAB4
7254
5000
PRN
SOLE
5000
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
1055
35451
SH
SOLE
35451
0
0
WEYERHAEUSER CO
COM
962166104
4379
145000
SH
SOLE
145000
0
0
WEYERHAEUSER CO
COM
962166104
12080
400000
SH
Call
SOLE
400000
0
0
SELECT SECTOR SPDR TR
SBI INT-INDS
81369Y704
8147
100000
SH
Put
SOLE
100000
0
0
XILINX INC
COM
983919101
4400
45000
SH
SOLE
45000
0
0
XILINX INC
COM
983919101
7030
71900
SH
Call
SOLE
71900
0
0
XPERI CORP
COM
98421B100
210
11375
SH
SOLE
11375
0
0
YATRA ONLINE INC
ORD SH
G98338109
1103
350205
SH
SOLE
350205
0
0
ZILLOW GROUP INC
NOTE 2.00012/0
98954MAB7
4474
4000
PRN
SOLE
4000
0
0
ZAYO GROUP HLDGS INC
COM
98919V105
5262
151855
SH
SOLE
151855
0
0
ZILLOW GROUP INC
CL A
98954M101
1756
38380
SH
SOLE
38380
0
0
ZOOM VIDEO COMMUNICATIONS IN
CL A
98980L101
1939
28500
SH
Put
SOLE
28500
0
0