0001461790-17-000005.txt : 20170215
0001461790-17-000005.hdr.sgml : 20170215
20170214174812
ACCESSION NUMBER: 0001461790-17-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170215
DATE AS OF CHANGE: 20170214
EFFECTIVENESS DATE: 20170215
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: 17611343
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
12-31-2016
12-31-2016
K2 PRINCIPAL FUND, L.P.
2 BLOOR STREET WEST
SUITE 801
TORONTO
A6
M4W 3E2
13F HOLDINGS REPORT
028-16812
N
Shawn Kimel
President
416-365-2155
/s/Shawn Kimel
TORONTO
A6
02-14-2017
0
277
1058582
false
INFORMATION TABLE
2
informationtable.xml
AARONS INC
COM PAR $0.50
002535300
288
9000
SH
Put
SOLE
9000
0
0
AARONS INC
COM PAR $0.50
002535300
288
9000
SH
SOLE
9000
0
0
ABRAXAS PETE CORP
COM
003830106
386
150000
SH
SOLE
150000
0
0
AEGERION PHARMACEUTICALS INC
NOTE 2.000 8/1
00767EAB8
4350
6000
PRN
SOLE
6000
0
0
AGRIUM INC
COM
008916108
5023
49958
SH
SOLE
49958
0
0
ALLERGAN PLC
SHS
G0177J108
2100
10000
SH
Call
SOLE
10000
0
0
ALLIANCE DATA SYSTEMS CORP
COM
018581108
1143
5000
SH
Call
SOLE
5000
0
0
ALLIANCE DATA SYSTEMS CORP
COM
018581108
5484
24000
SH
SOLE
24000
0
0
ALLIED WRLD ASSUR COM HLDG A
SHS
H01531104
5818
108325
SH
SOLE
108325
0
0
ALPHABET INC
CAP STK CL A
02079K305
16087
20300
SH
Call
SOLE
20300
0
0
ALPHABET INC
CAP STK CL A
02079K305
15057
19000
SH
Put
SOLE
19000
0
0
ALPHABET INC
CAP STK CL A
02079K305
18226
23000
SH
SOLE
23000
0
0
AMERICAN AXLE AND MFG HLDGS IN
COM
024061103
5328
276000
SH
Put
SOLE
276000
0
0
AMERICAN AXLE AND MFG HLDGS IN
COM
024061103
193
10000
SH
SOLE
10000
0
0
AMERICAN CAP LTD
COM
02503Y103
25000
1395078
SH
SOLE
1395078
0
0
ANDINA ACQUISITION CORP II
SHS
G0441P104
416
41901
SH
SOLE
41901
0
0
APOLLO ED GROUP INC
CL A
037604105
316
31882
SH
SOLE
31882
0
0
ARALEZ PHARMACEUTICALS INC
COM
03852X100
435
98578
SH
SOLE
98578
0
0
ARBUTUS BIOPHARMA CORP
COM
03879J100
1088
443887
SH
SOLE
443887
0
0
ARES CAP CORP
COM
04010L103
1475
89500
SH
Put
SOLE
89500
0
0
ATANDT INC
COM
00206R102
7017
165000
SH
Put
SOLE
165000
0
0
AURINIA PHARMACEUTICALS INC
COM
05156V102
423
201522
SH
SOLE
201522
0
0
AVISTA HEALTHCARE PUB ACQ CO
UNIT 99/99/9999
G0726L109
3544
350000
SH
SOLE
350000
0
0
AXALTA COATING SYS LTD
COM
G0750C108
873
32103
SH
SOLE
32103
0
0
B2GOLD CORP
NOTE 3.25010/0
11777QAB6
11673
11500
PRN
SOLE
11500
0
0
BALL CORP
COM
058498106
878
11700
SH
Call
SOLE
11700
0
0
BALL CORP
COM
058498106
233
3100
SH
SOLE
3100
0
0
BARCLAYS PLC
ADR
06738E204
275
25000
SH
Call
SOLE
25000
0
0
BASIC ENERGY SVCS INC NEW
COM NEW
06985P209
354
10000
SH
Call
SOLE
10000
0
0
BASIC ENERGY SVCS INC NEW
COM NEW
06985P209
1573
44500
SH
Put
SOLE
44500
0
0
BASIC ENERGY SVCS INC NEW
COM NEW
06985P209
10359
293033
SH
SOLE
293033
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
772
4738
SH
SOLE
4738
0
0
BGC PARTNERS INC
CL A
05541T101
143
14000
SH
Call
SOLE
14000
0
0
BGC PARTNERS INC
CL A
05541T101
1158
113219
SH
SOLE
113219
0
0
BIOGEN INC
COM
09062X103
681
2400
SH
SOLE
2400
0
0
BLACKROCK INC
COM
09247X101
2727
7167
SH
SOLE
7167
0
0
BLUE NILE INC
COM
09578R103
328
8065
SH
SOLE
8065
0
0
BORGWARNER INC
COM
099724106
820
20800
SH
Call
SOLE
20800
0
0
BORGWARNER INC
COM
099724106
4102
104000
SH
Put
SOLE
104000
0
0
BOYD GAMING CORP
COM
103304101
329
16300
SH
SOLE
16300
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
1461
25000
SH
Call
SOLE
25000
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
2629
45000
SH
Put
SOLE
45000
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
8163
139690
SH
SOLE
139690
0
0
BROCADE COMMUNICATIONS SYS I
NOTE 1.375 1/0
111621AQ1
10601
10533
PRN
SOLE
10533
0
0
CABELAS INC
COM
126804301
993
16958
SH
SOLE
16958
0
0
CARDINAL HEALTH INC
COM
14149Y108
3599
50000
SH
Call
SOLE
50000
0
0
CARDINAL HEALTH INC
COM
14149Y108
2368
32900
SH
SOLE
32900
0
0
CBOE HLDGS INC
COM
12503M108
946
12804
SH
SOLE
12804
0
0
CELESTICA INC
SUB VTG SHS
15101Q108
119
10000
SH
SOLE
10000
0
0
CELGENE CORP
COM
151020104
903
7800
SH
SOLE
7800
0
0
CENTENNIAL RESOURCE DEV INC
CL A
15136A102
493
25000
SH
Put
SOLE
25000
0
0
CENTENNIAL RESOURCE DEV INC
CL A
15136A102
6170
404837
SH
SOLE
404837
0
0
CENTURYLINK INC
COM
156700106
832
35000
SH
Call
SOLE
35000
0
0
CENTURYLINK INC
COM
156700106
2992
125800
SH
SOLE
125800
0
0
CF CORP
SHS CL A
G20307107
3968
400000
SH
SOLE
400000
0
0
CF CORP
UNIT 99/99/9999E
G20307123
220
21000
SH
SOLE
21000
0
0
CF CORP
W EXP 05/25/202
G20307115
248
200000
SH
SOLE
200000
0
0
CF INDS HLDGS INC
COM
125269100
3702
117600
SH
Put
SOLE
117600
0
0
CHECK POINT SOFTWARE TECH LT
ORD
M22465104
2112
25000
SH
Call
SOLE
25000
0
0
CHEESECAKE FACTORY INC
COM
163072101
629
10500
SH
Put
SOLE
10500
0
0
CITIGROUP INC
COM NEW
172967424
8320
140000
SH
Call
SOLE
140000
0
0
CITIGROUP INC
COM NEW
172967424
3269
55000
SH
Put
SOLE
55000
0
0
CITIGROUP INC
COM NEW
172967424
6537
110000
SH
SOLE
110000
0
0
CLARCOR INC
COM
179895107
2214
26850
SH
SOLE
26850
0
0
COEUR MNG INC
COM NEW
192108504
1808
199000
SH
Call
SOLE
199000
0
0
COEUR MNG INC
COM NEW
192108504
182
20000
SH
Put
SOLE
20000
0
0
CONYERS PK ACQUISITION
CL A COM
212894109
1635
200000
SH
SOLE
200000
0
0
CSX CORP
COM
126408103
1078
30000
SH
Put
SOLE
30000
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
1144
100000
SH
Put
SOLE
100000
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
13156
1150000
SH
SOLE
1150000
0
0
D R HORTON INC
COM
23331A109
1563
57200
SH
Put
SOLE
57200
0
0
DELL TECHNOLOGIES INC
COM CL V
24703L103
3610
65678
SH
SOLE
65678
0
0
DELPHI AUTOMOTIVE PLC
SHS
G27823106
875
13000
SH
Call
SOLE
13000
0
0
DELPHI AUTOMOTIVE PLC
SHS
G27823106
269
4000
SH
Put
SOLE
4000
0
0
DEPOMED INC
COM
249908104
261
14500
SH
SOLE
14500
0
0
DICKS SPORTING GOODS INC
COM
253393102
3037
57200
SH
Call
SOLE
57200
0
0
DICKS SPORTING GOODS INC
COM
253393102
398
7500
SH
SOLE
7500
0
0
DIEBOLD NXDF INC
COM
253651103
3647
145000
SH
Call
SOLE
145000
0
0
DIREXION SHS ETF TR
DAILY GOLD MINER
25490K570
245
32100
SH
Call
SOLE
32100
0
0
DIREXION SHS ETF TR
DAILY GOLD MINER
25490K133
2081
43000
SH
Put
SOLE
43000
0
0
DIREXION SHS ETF TR
DAILY GOLD MINER
25490K570
8306
1087000
SH
Put
SOLE
1087000
0
0
DIREXION SHS ETF TR
DLY SMCAP BULL3X
25459W847
3338
33000
SH
Put
SOLE
33000
0
0
DOLLAR TREE INC
COM
256746108
3550
460000
SH
Call
SOLE
460000
0
0
DOLLAR TREE INC
COM
256746108
541
7016
SH
SOLE
7016
0
0
DOMINION DIAMOND CORP
COM
257287102
123
12700
SH
Call
SOLE
12700
0
0
DOMINION DIAMOND CORP
COM
257287102
24261
2506350
SH
SOLE
2506350
0
0
DOUBLE EAGLE ACQUISITION COR
COM
G28195124
3024
305451
SH
SOLE
305451
0
0
DOUBLE EAGLE ACQUISITION COR
W EXP 09/16/202
G28195116
139
294917
SH
SOLE
294917
0
0
EARTHLINK HLDGS CORP
COM
27033X101
102
18000
SH
SOLE
18000
0
0
ECOPETROL S A
SPONSORED ADS
279158109
480
53000
SH
Put
SOLE
53000
0
0
ELECTRUM SPL ACQUISITION COR
SHS
G3105C104
3393
342697
SH
SOLE
342697
0
0
ELECTRUM SPL ACQUISITION COR
W EXP 99/99/999
G3105C112
88
315000
SH
SOLE
315000
0
0
ENBRIDGE INC
COM
29250N105
356
8448
SH
SOLE
8448
0
0
ETF MANAGERS TR
PUREFUNDS ISE CY
26924G201
5949
225000
SH
Put
SOLE
225000
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
702
10200
SH
Call
SOLE
10200
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
735
10679
SH
SOLE
10679
0
0
FACEBOOK INC
CL A
30303M102
2301
20000
SH
Call
SOLE
20000
0
0
FACEBOOK INC
CL A
30303M102
288
2500
SH
Put
SOLE
2500
0
0
FACEBOOK INC
CL A
30303M102
1726
15000
SH
SOLE
15000
0
0
FAIRMOUNT SANTROL HLDGS INC
COM
30555Q108
2486
210827
SH
SOLE
210827
0
0
FELCOR LODGING TR INC
COM
31430F101
626
78119
SH
SOLE
78119
0
0
FORD MTR CO DEL
COM PAR $0.01
345370860
3413
281300
SH
Put
SOLE
281300
0
0
FORESTAR GROUP INC
COM
346233109
415
31170
SH
SOLE
31170
0
0
G AND K SVCS INC
CL A
361268105
246
2554
SH
SOLE
2554
0
0
GANNETT CO INC
COM
36473H104
283
29186
SH
SOLE
29186
0
0
GAS NAT INC
COM
367204104
3909
311459
SH
SOLE
311459
0
0
GASTAR EXPL INC NEW
COM
36729W202
1085
700000
SH
SOLE
700000
0
0
GENERAL MLS INC
COM
370334104
1236
20000
SH
Call
SOLE
20000
0
0
GENERAL MLS INC
COM
370334104
318
5146
SH
SOLE
5146
0
0
GENERAL MTRS CO
COM
37045V100
12542
360000
SH
Put
SOLE
360000
0
0
GP INVTS ACQUISITION COR
SHS
G40357124
2957
298700
SH
SOLE
298700
0
0
GP INVTS ACQUISITION COR
W EXP 05/19/202
G40357108
54
120250
SH
SOLE
120250
0
0
GTY TECHNOLOGY HOLDINGS INC
UNIT 99/99/9999
G4182A110
3961
377260
SH
SOLE
377260
0
0
GUESS INC
COM
401617105
198
16400
SH
SOLE
16400
0
0
HARMONY MERGER CORP
COM
413247107
9108
900000
SH
SOLE
900000
0
0
HARMONY MERGER CORP
UNIT 99/99/9999
413247206
6180
600000
SH
SOLE
600000
0
0
HARMONY MERGER CORP
W EXP 01/01/202
413247123
311
890270
SH
SOLE
890270
0
0
HECLA MNG CO
COM
422704106
170
32400
SH
Put
SOLE
32400
0
0
HENNESSY CAP ACQUISITION COR
COM
42588J100
1140
113172
SH
SOLE
113172
0
0
HILTON WORLDWIDE HLDGS INC
WHEN ISSUED
43300A203
783
28800
SH
SOLE
28800
0
0
HORIZON PHARMA INVT LTD
NOTE 2.500 3/1
44052TAB7
1906
2000
PRN
SOLE
2000
0
0
HORIZON PHARMA PLC
SHS
G4617B105
1003
62000
SH
Call
SOLE
62000
0
0
HORMEL FOODS CORP
COM
440452100
1392
40000
SH
SOLE
40000
0
0
HOSTESS BRANDS INC
CL A
44109J106
315
180000
SH
SOLE
180000
0
0
HRG GROUP INC
COM
40434J100
156
10000
SH
SOLE
10000
0
0
IAMGOLD CORP
COM
450913108
85
22000
SH
Put
SOLE
22000
0
0
IAMGOLD CORP
COM
450913108
263
68346
SH
SOLE
68346
0
0
IHS MARKIT LTD
SHS
G47567105
354
10000
SH
Call
SOLE
10000
0
0
IHS MARKIT LTD
SHS
G47567105
354
10000
SH
Put
SOLE
10000
0
0
IHS MARKIT LTD
SHS
G47567105
2131
60176
SH
SOLE
60176
0
0
INTERNATIONAL GAME TECHNOLOG
SHS USD
G4863A108
875
34300
SH
Put
SOLE
34300
0
0
INTERNATIONAL GAME TECHNOLOG
SHS USD
G4863A108
255
10000
SH
SOLE
10000
0
0
INTEROIL CORP
COM
460951106
14559
305993
SH
SOLE
305993
0
0
ISHARES
MSCI MEX CAP ETF
464286822
1847
42000
SH
Put
SOLE
42000
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
3030
200500
SH
Put
SOLE
200500
0
0
ISHARES TR
20 YR TR BD ETF
464287432
8935
75000
SH
Call
SOLE
75000
0
0
ISHARES TR
CHINA LG-CAP ETF
464287184
5380
155000
SH
Put
SOLE
155000
0
0
ISHARES TR
LATN AMER 40 ETF
464287390
207
7500
SH
Put
SOLE
7500
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
24273
180000
SH
Put
SOLE
180000
0
0
ISHARES TR
20 YR TR BD ETF
464287432
14892
125000
SH
Put
SOLE
125000
0
0
ISLE OF CAPRI CASINOS INC
COM
464592104
1728
70000
SH
SOLE
70000
0
0
JPMORGAN CHASE AND CO
COM
46625H100
877
10167
SH
SOLE
10167
0
0
KEYCORP NEW
PFD 7.75 SR A
493267405
368
2726
SH
SOLE
2726
0
0
KLA-TENCOR CORP
COM
482480100
6828
86782
SH
SOLE
86782
0
0
KLR ENERGY ACQUISITION CORP
CL A
49877M108
5960
1006742
SH
SOLE
1006742
0
0
KNIGHT TRANSN INC
COM
499064103
430
13000
SH
Put
SOLE
13000
0
0
KRAFT HEINZ CO
COM
500754106
289
3306
SH
SOLE
3306
0
0
LANDCADIA HLDGS INC
CL A
51476W107
2613
500000
SH
SOLE
500000
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
753
13358
SH
SOLE
13358
0
0
LILLY ELI AND CO
COM
532457108
1471
20000
SH
SOLE
20000
0
0
LIONBRIDGE TECHNOLOGIES INC
COM
536252109
121
20800
SH
SOLE
20800
0
0
LKQ CORP
COM
501889208
588
19200
SH
Put
SOLE
19200
0
0
LOUISIANA PAC CORP
COM
546347105
947
50000
SH
Call
SOLE
50000
0
0
LOUISIANA PAC CORP
COM
546347105
1893
100000
SH
Put
SOLE
100000
0
0
LOUISIANA PAC CORP
COM
546347105
9708
512828
SH
SOLE
512828
0
0
M I ACQUISITIONS INC
UNIT 99/99/9999
55304A203
4064
400000
SH
SOLE
400000
0
0
M III ACQUISITION CORP
COM
55378T104
1793
359000
SH
SOLE
359000
0
0
MAGNACHIP SEMICONDUCTOR CORP
COM
55933J203
1911
308280
SH
SOLE
308280
0
0
MAXIM INTEGRATED PRODS INC
COM
57772K101
1928
50000
SH
Call
SOLE
50000
0
0
MAXIM INTEGRATED PRODS INC
COM
57772K101
7151
185414
SH
SOLE
185414
0
0
MEDIA GEN INC NEW
COM
58441K100
648
34400
SH
SOLE
34400
0
0
MERCK AND CO INC
COM
58933Y105
706
12000
SH
SOLE
12000
0
0
METALDYNE PERFORMANCE GROUP
COM
59116R107
2449
106714
SH
SOLE
106714
0
0
MICROSOFT CORP
COM
594918104
560
9000
SH
Put
SOLE
9000
0
0
MICROSOFT CORP
COM
594918104
7387
118881
SH
SOLE
118881
0
0
MONSANTO CO NEW
COM
61166W101
358
3400
SH
SOLE
3400
0
0
MORNINGSTAR INC
COM
617700109
1022
13900
SH
Call
SOLE
13900
0
0
MOTOROLA SOLUTIONS INC
COM NEW
620076307
995
12000
SH
Call
SOLE
12000
0
0
MYLAN N V
SHS EURO
N59465109
11952
313300
SH
Call
SOLE
313300
0
0
MYLAN N V
SHS EURO
N59465109
7249
190000
SH
Put
SOLE
190000
0
0
NCR CORP NEW
COM
62886E108
9942
245100
SH
Put
SOLE
245100
0
0
NETFLIX INC
COM
64110L106
8666
70000
SH
Put
SOLE
70000
0
0
NEUSTAR INC
CL A
64126X201
2929
87680
SH
SOLE
87680
0
0
NEW YORK REIT INC
COM
64976L109
6536
645837
SH
SOLE
645837
0
0
NEXEO SOLUTIONS INC
COM SHS
65342H102
174
248817
SH
SOLE
248817
0
0
NIELSEN HLDGS PLC
SHS EUR
G6518L108
3566
85000
SH
Call
SOLE
85000
0
0
NIELSEN HLDGS PLC
SHS EUR
G6518L108
2937
70000
SH
SOLE
70000
0
0
NIKE INC
CL B
654106103
1012
19900
SH
SOLE
19900
0
0
NOVELION THERAPEUTICS INC
COM NEW
67001K202
2270
269536
SH
SOLE
269536
0
0
NVIDIA CORP
COM
67066G104
1601
15000
SH
Put
SOLE
15000
0
0
NVIDIA CORP
COM
67066G104
1025
9600
SH
SOLE
9600
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
392
4000
SH
Put
SOLE
4000
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
20582
210000
SH
SOLE
210000
0
0
OFFICE DEPOT INC
COM
676220106
83
18443
SH
SOLE
18443
0
0
OI S A
SPONSORED ADR NE
670851500
1835
462285
SH
SOLE
462285
0
0
PACE HLDGS CORP
CL A
G6865N103
1027
101500
SH
SOLE
101500
0
0
PACE HLDGS CORP
W EXP 99/99/999
G6865N111
80
134000
SH
SOLE
134000
0
0
PACIFIC SPL ACQUISITION CORP
SHS
G68588105
1052
102680
SH
SOLE
102680
0
0
PALO ALTO NETWORKS INC
COM
697435105
1250
10000
SH
Call
SOLE
10000
0
0
PALO ALTO NETWORKS INC
COM
697435105
1751
14000
SH
Put
SOLE
14000
0
0
PALO ALTO NETWORKS INC
COM
697435105
4589
36700
SH
SOLE
36700
0
0
PANGAEA LOGISTICS SOLUTION L
SHS
G6891L105
1235
363129
SH
SOLE
363129
0
0
PATTERN ENERGY GROUP INC
CL A
70338P100
273
14400
SH
Call
SOLE
14400
0
0
PATTERN ENERGY GROUP INC
CL A
70338P100
380
20000
SH
Put
SOLE
20000
0
0
PATTERN ENERGY GROUP INC
CL A
70338P100
1236
65094
SH
SOLE
65094
0
0
PAYPAL HLDGS INC
COM
70450Y103
592
15000
SH
SOLE
15000
0
0
PERRIGO CO PLC
SHS
G97822103
3452
41479
SH
SOLE
41479
0
0
PFIZER INC
COM
717081103
260
8000
SH
Call
SOLE
8000
0
0
PFIZER INC
COM
717081103
526
16200
SH
SOLE
16200
0
0
PHILLIPS 66
COM
718546104
605
7000
SH
SOLE
7000
0
0
POTASH CORP SASK INC
COM
73755L107
7390
408500
SH
Call
SOLE
408500
0
0
POTASH CORP SASK INC
COM
73755L107
1008
55729
SH
SOLE
55729
0
0
POTLATCH CORP NEW
COM
737630103
1560
37463
SH
SOLE
37463
0
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
32583
275000
SH
Call
SOLE
275000
0
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
95969
810000
SH
Put
SOLE
810000
0
0
PROSHARES TR
ULTRAPRO QQQ
74347X831
1781
14000
SH
Put
SOLE
14000
0
0
PULTE GROUP INC
COM
745867101
5661
308000
SH
Call
SOLE
308000
0
0
PULTE GROUP INC
COM
745867101
5551
302035
SH
SOLE
302035
0
0
QUAD / GRAPHICS INC
COM CL A
747301109
277
10300
SH
Call
SOLE
10300
0
0
QUINPARIO ACQUISITION CORP 2
COM
74874U101
2099
406957
SH
SOLE
406957
0
0
RANGE RES CORP
COM
75281A109
1890
55000
SH
SOLE
55000
0
0
RED ROBIN GOURMET BURGERS IN
COM
75689M101
2143
38000
SH
Call
SOLE
38000
0
0
RED ROBIN GOURMET BURGERS IN
COM
75689M101
917
16252
SH
SOLE
16252
0
0
REPUBLIC SVCS INC
COM
760759100
6133
107500
SH
Put
SOLE
107500
0
0
RESTAURANT BRANDS INTL INC
COM
76131D103
858
18000
SH
Call
SOLE
18000
0
0
RINGCENTRAL INC
CL A
76680R206
229
11100
SH
Put
SOLE
11100
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
1154
30000
SH
Call
SOLE
30000
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
5865
152500
SH
Put
SOLE
152500
0
0
RITE AID CORP
COM
767754104
5996
727703
SH
SOLE
727703
0
0
RPX CORP
COM
74972G103
747
69152
SH
SOLE
69152
0
0
SABAN CAP ACQUISITION CORP
UNIT 99/99/9999
78516C205
4680
450000
SH
SOLE
450000
0
0
SANDSTORM GOLD LTD
COM NEW
80013R206
129
33000
SH
Put
SOLE
33000
0
0
SEARS HLDGS CORP
COM
812350106
2830
304600
SH
Put
SOLE
304600
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
4420
190100
SH
Call
SOLE
190100
0
0
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
6800
140000
SH
Put
SOLE
140000
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
16219
697600
SH
SOLE
697600
0
0
SELECT SECTOR SPDR TR
RL EST SEL SEC
81369Y860
333
10825
SH
SOLE
10825
0
0
SHORETEL INC
COM
825211105
11961
1672909
SH
SOLE
1672909
0
0
SILVER WHEATON CORP
COM
828336107
3290
170300
SH
Call
SOLE
170300
0
0
SILVER WHEATON CORP
COM
828336107
431
22292
SH
SOLE
22292
0
0
SL GREEN RLTY CORP
COM
78440X101
1829
17000
SH
Call
SOLE
17000
0
0
SL GREEN RLTY CORP
COM
78440X101
6066
56400
SH
Put
SOLE
56400
0
0
SL GREEN RLTY CORP
COM
78440X101
313
2908
SH
SOLE
2908
0
0
SOTHEBYS
COM
835898107
558
14000
SH
Put
SOLE
14000
0
0
SOUTHWESTERN ENERGY CO
COM
845467109
1515
140000
SH
SOLE
140000
0
0
SPDR SANDP 500 ETF TR
TR UNIT
78462F103
9388
42000
SH
Put
SOLE
42000
0
0
SPDR SERIES TRUST
SANDP BIOTECH
78464A870
2960
50000
SH
Put
SOLE
50000
0
0
ST JUDE MED INC
COM
790849103
31423
391861
SH
SOLE
391861
0
0
STAPLES INC
COM
855030102
597
66000
SH
Call
SOLE
66000
0
0
STELLAR ACQUISITION III INC
COM
Y8172W107
320
32000
SH
SOLE
32000
0
0
STELLAR ACQUISITION III INC
W EXP 03/22/202
Y8172W115
6
32000
SH
SOLE
32000
0
0
STILLWATER MNG CO
NOTE 1.75010/1
86074QAL6
2541
2000
PRN
SOLE
2000
0
0
SYNGENTA AG
SPONSORED ADR
87160A100
1075
13600
SH
SOLE
13600
0
0
TD AMERITRADE HLDG CORP
COM
87236Y108
916
21000
SH
Call
SOLE
21000
0
0
TEAM HEALTH HOLDINGS INC
COM
87817A107
3679
84663
SH
SOLE
84663
0
0
TESLA MTRS INC
COM
88160R101
5022
23500
SH
Put
SOLE
23500
0
0
TEXAS INSTRS INC
COM
882508104
13135
180000
SH
Put
SOLE
180000
0
0
TIME WARNER INC
COM NEW
887317303
9176
95054
SH
SOLE
95054
0
0
TRANSCANADA CORP
COM
89353D107
9721
215300
SH
Put
SOLE
215300
0
0
TRANSCANADA CORP
COM
89353D107
5445
120600
SH
SOLE
120600
0
0
TRILLIUM THERAPEUTICS INC
COM NEW
89620X506
92
16239
SH
SOLE
16239
0
0
TRIPADVISOR INC
COM
896945201
464
10000
SH
Call
SOLE
10000
0
0
TURKISH INVT FD INC
COM
900145103
285
42014
SH
SOLE
42014
0
0
VALSPAR CORP
COM
920355104
2512
24245
SH
SOLE
24245
0
0
VANECK VECTORS ETF TR
OIL SVCS ETF
92189F718
500
15000
SH
Put
SOLE
15000
0
0
VANECK VECTORS ETF TR
SEMICONDUCTOR ET
92189F676
13612
190000
SH
Put
SOLE
190000
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
1932
54000
SH
Put
SOLE
54000
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
2090
58400
SH
SOLE
58400
0
0
VERIFONE SYS INC
COM
92342Y109
679
38300
SH
Call
SOLE
38300
0
0
VISA INC
COM CL A
92826C839
1615
20700
SH
SOLE
20700
0
0
VMWARE INC
CL A COM
928563402
1532
19460
SH
SOLE
19460
0
0
VONAGE HLDGS CORP
COM
92886T201
90
13098
SH
SOLE
13098
0
0
WASTE CONNECTIONS INC
COM
94106B101
393
5000
SH
Call
SOLE
5000
0
0
WASTE CONNECTIONS INC
COM
94106B101
511
6500
SH
Put
SOLE
6500
0
0
WASTE CONNECTIONS INC
COM
94106B101
13625
173364
SH
SOLE
173364
0
0
WASTE MGMT INC DEL
COM
94106L109
496
7000
SH
Call
SOLE
7000
0
0
WASTE MGMT INC DEL
COM
94106L109
3616
51000
SH
Put
SOLE
51000
0
0
WCI CMNTYS INC
COM PAR $0.01
92923C807
715
30500
SH
SOLE
30500
0
0
WELLS FARGO AND CO NEW
COM
949746101
10196
185000
SH
Put
SOLE
185000
0
0
WELLS FARGO AND CO NEW
COM
949746101
8818
160000
SH
SOLE
160000
0
0
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
1319
89663
SH
SOLE
89663
0
0
WESTERN REFNG INC
COM
959319104
379
10000
SH
SOLE
10000
0
0
WESTPORT FUEL SYSTEMS INC
COM NEW
960908309
53
46679
SH
SOLE
46679
0
0
WHITEWAVE FOODS CO
COM
966244105
11836
212881
SH
SOLE
212881
0
0
XENON PHARMACEUTICALS INC
COM
98420N105
441
57228
SH
SOLE
57228
0
0
YAHOO INC
COM
984332106
18436
476743
SH
SOLE
476743
0
0
YRC WORLDWIDE INC
COM PAR $.01
984249607
876
66000
SH
Put
SOLE
66000
0
0