President

0001461790-21-000016.txt : 20210514 0001461790-21-000016.hdr.sgml : 20210514 20210514161456 ACCESSION NUMBER: 0001461790-21-000016 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210514 DATE AS OF CHANGE: 20210514 EFFECTIVENESS DATE: 20210514 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: 21924772 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 03-31-2021 03-31-2021 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 05-14-2021 0 300 1265453 false INFORMATION TABLE 2 informationtable.xml 4D PHARMA PLC W EXP 03/22/202 35085K117 601 550944 SH SOLE 550944 0 0 ARES ACQUISITION CORPORATION W EXP 99/99/999 G33032122 18 20232 SH SOLE 20232 0 0 ABBVIE INC COM 00287Y109 2164 20000 SH Call SOLE 20000 0 0 ACCELERATE ACQUISITION CORP UNIT 99/99/9999 00439D201 1490 150000 SH SOLE 150000 0 0 ACE CONVERGENCE ACQU CORP CL A G0083D120 497 49836 SH SOLE 49836 0 0 ACKRELL SPAC PARTNERS I CO UNIT 99/99/9999 00461L303 1557 157561 SH SOLE 157561 0 0 ACKRELL SPAC PARTNERS I CO W EXP 12/01/202 00461L113 43 85353 SH SOLE 85353 0 0 ADVANCED MICRO DEVICES INC COM 007903107 1963 25000 SH Call SOLE 25000 0 0 AEROJET ROCKETDYNE HLDGS INC NOTE 2.250 12/1 007800AB1 5514 3062 PRN SOLE 3062 0 0 AF ACQUISITION CORP UNIT 03/31/2028 001040203 2961 300000 SH SOLE 300000 0 0 AFRICAN GOLD ACQUISITION COR UNIT 99/99/9999 G0112R116 4940 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8327 6000 PRN SOLE 6000 0 0 GRACE W R & CO DEL NEW COM 38388F108 718 12000 SH SOLE 12000 0 0 GRACE W R & CO DEL NEW COM 38388F108 844 14100 SH Call SOLE 14100 0 0 GRAINGER W W INC COM 384802104 2005 5000 SH Call SOLE 5000 0 0 XILINX INC COM 983919101 2726 22000 SH SOLE 22000 0 0 YUNHONG INTL RIGHT 01/31/2027 G98882130 170 388435 SH SOLE 388435 0 0 YUNHONG INTL W EXP 01/31/202 G98882122 169 331827 SH SOLE 331827 0 0 ZANITE ACQUISITION CORP COM CL A 98907K103 587 58997 SH SOLE 58997 0 0 ZILLOW GROUP INC NOTE 1.500 7/0 98954MAC5 6115 3640 PRN SOLE 3640 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 601 4633 SH SOLE 4633 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 448 2800 SH SOLE 2800 0 0