0001461790-17-000013.txt : 20170511 0001461790-17-000013.hdr.sgml : 20170511 20170511141548 ACCESSION NUMBER: 0001461790-17-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170511 DATE AS OF CHANGE: 20170511 EFFECTIVENESS DATE: 20170511 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: 17833677 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 03-31-2017 03-31-2017 K2 PRINCIPAL FUND, L.P.

2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2

13F HOLDINGS REPORT 028-16812 N Shawn Kimel 416-365-2155 /s/Shawn Kimel TORONTO A6 05-11-2017 0 378 1204514 false INFORMATION TABLE 2 informationtable.xml AEGEAN MARINE PETROLEUM NETW SHS Y0017S102 1958 162500 SH SOLE 162500 0 0 AEGERION PHARMACEUTICALS INC NOTE 2.000 8/1 00767EAB8 5670 7000 PRN SOLE 7000 0 0 AGNICO EAGLE MINES LTD COM 008474108 1074 25300 SH SOLE 25300 0 0 AIR METHODS CORP COM PAR $.06 009128307 1406 32700 SH Call SOLE 32700 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 382 6400 SH Call SOLE 6400 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1078 10000 SH Put SOLE 10000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1617 15000 SH Put SOLE 15000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3774 35000 SH Put SOLE 35000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2157 20000 SH Put SOLE 20000 0 0 ALLIED WRLD ASSUR COM HLDG A SHS H01531104 8510 160270 SH SOLE 160270 0 0 ALON USA ENERGY INC COM 020520102 550 45087 SH SOLE 45087 0 0 ALPHABET INC CAP STK CL 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PLAYA HOTELS AND RESORTS NV SHS N70544106 146 13946 SH SOLE 13946 0 0 PLAYA HOTELS AND RESORTS NV *W EXP 03/10/202 N70544114 134 174900 SH SOLE 174900 0 0 POTASH CORP SASK INC COM 73755L107 1708 100000 SH Call SOLE 100000 0 0 POTLATCH CORP NEW COM 737630103 3428 75000 SH SOLE 75000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 13238 100000 SH Call SOLE 100000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 65674 496100 SH Put SOLE 496100 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 52952 400000 SH Put SOLE 400000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 3310 25000 SH Put SOLE 25000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 3971 30000 SH Put SOLE 30000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 5295 40000 SH Put SOLE 40000 0 0 PRIVATEBANCORP INC COM 742962103 1019 17159 SH SOLE 17159 0 0 PROSHARES TR ULTRAPRO QQQ 74347X831 1279 14500 SH Put SOLE 14500 0 0 PROSHARES TR ULTRAPRO SHORT Q 74348A160 371 10000 SH Put SOLE 10000 0 0 PROSHARES TR ULTRAPRO SHORT Q 74348A160 445 12000 SH SOLE 12000 0 0 PULTE GROUP INC COM 745867101 5770 245000 SH Call SOLE 245000 0 0 QUALCOMM INC COM 747525103 287 5000 SH Call SOLE 5000 0 0 QUINPARIO ACQUISITION CORP 2 COM 74874U101 2083 208957 SH SOLE 208957 0 0 RED ROBIN GOURMET BURGERS IN COM 75689M101 3722 63672 SH SOLE 63672 0 0 REPUBLIC SVCS INC COM 760759100 2274 36200 SH Put SOLE 36200 0 0 REPUBLIC SVCS INC COM 760759100 2512 40000 SH Put SOLE 40000 0 0 REPUBLIC SVCS INC COM 760759100 628 10000 SH Put SOLE 10000 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 1115 20000 SH Put SOLE 20000 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 1672 30000 SH SOLE 30000 0 0 REYNOLDS AMERICAN INC COM 761713106 5043 80020 SH SOLE 80020 0 0 RIO TINTO PLC SPONSORED ADR 767204100 407 10000 SH Call SOLE 10000 0 0 RIO TINTO PLC SPONSORED ADR 767204100 207 5100 SH Put SOLE 5100 0 0 RITE AID CORP COM 767754104 319 75000 SH Put SOLE 75000 0 0 RITE AID CORP COM 767754104 1446 340272 SH SOLE 340272 0 0 RPX CORP COM 74972G103 569 47425 SH SOLE 47425 0 0 SABAN CAP ACQUISITION CORP COM CL A 78516C106 4496 450000 SH SOLE 450000 0 0 SABAN CAP ACQUISITION CORP *W EXP 09/21/202 78516C114 304 225000 SH SOLE 225000 0 0 SEARS HLDGS CORP COM 812350106 3348 291400 SH Put SOLE 291400 0 0 SEARS HLDGS CORP COM 812350106 793 69000 SH Put SOLE 69000 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 350 5000 SH Put SOLE 5000 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1748 25000 SH Put SOLE 25000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 7119 300000 SH Call SOLE 300000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3560 150000 SH Call SOLE 150000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 4746 200000 SH Put SOLE 200000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 5479 230900 SH Put SOLE 230900 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 5916 249300 SH Put SOLE 249300 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 21357 900000 SH SOLE 900000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 3848 75000 SH Put SOLE 75000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2309 45000 SH Put SOLE 45000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 257 5000 SH SOLE 5000 0 0 SHORETEL INC COM 825211105 10288 1672909 SH SOLE 1672909 0 0 SILVER RUN ACQUISITION UNIT 99/99/9999 82812A202 5215 500000 SH SOLE 500000 0 0 SILVER WHEATON CORP COM 828336107 1667 80000 SH Call SOLE 80000 0 0 SILVER WHEATON CORP COM 828336107 4268 204800 SH Call SOLE 204800 0 0 SILVER WHEATON CORP COM 828336107 1042 50000 SH Call SOLE 50000 0 0 SL GREEN RLTY CORP COM 78440X101 853 8000 SH Put SOLE 8000 0 0 SL GREEN RLTY CORP COM 78440X101 1446 13561 SH SOLE 13561 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 589 2500 SH Call SOLE 2500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4715 20000 SH Call SOLE 20000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5894 25000 SH Put SOLE 25000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7072 30000 SH Put SOLE 30000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2357 10000 SH Put SOLE 10000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4715 20000 SH Put SOLE 20000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 4160 60000 SH Put SOLE 60000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 3016 43500 SH Put SOLE 43500 0 0 STELLAR ACQUISITION III INC COM Y8172W107 322 32000 SH SOLE 32000 0 0 STELLAR ACQUISITION III INC *W EXP 03/22/202 Y8172W115 11 32000 SH SOLE 32000 0 0 STILLWATER MNG CO COM 86074Q102 851 49257 SH SOLE 49257 0 0 SYNGENTA AG SPONSORED ADR 87160A100 1204 13600 SH SOLE 13600 0 0 TD AMERITRADE HLDG CORP COM 87236Y108 649 16706 SH SOLE 16706 0 0 TESLA INC COM 88160R101 2087 7500 SH Call SOLE 7500 0 0 TESLA INC COM 88160R101 11132 40000 SH Put SOLE 40000 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 411 12800 SH Call SOLE 12800 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 1444 45000 SH Call SOLE 45000 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 963 30000 SH Call SOLE 30000 0 0 TEXAS INSTRS INC COM 882508104 2014 25000 SH Put SOLE 25000 0 0 TEXAS INSTRS INC COM 882508104 3222 40000 SH Put SOLE 40000 0 0 TIME WARNER INC COM NEW 887317303 3146 32200 SH Call SOLE 32200 0 0 TIME WARNER INC COM NEW 887317303 31773 325174 SH SOLE 325174 0 0 TRACTOR SUPPLY CO COM 892356106 1455 21100 SH Call SOLE 21100 0 0 TURKISH INVT FD INC COM 900145103 864 103919 SH SOLE 103919 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 636 20000 SH SOLE 20000 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 810 25000 SH Put SOLE 25000 0 0 UBIQUITI NETWORKS INC COM 90347A100 1508 30000 SH Call SOLE 30000 0 0 UBIQUITI NETWORKS INC COM 90347A100 1005 20000 SH Call SOLE 20000 0 0 UBIQUITI NETWORKS INC COM 90347A100 3322 66100 SH Put SOLE 66100 0 0 UBIQUITI NETWORKS INC COM 90347A100 3267 65000 SH SOLE 65000 0 0 UNITED CONTL HLDGS INC COM 910047109 1907 27000 SH SOLE 27000 0 0 VALSPAR CORP COM 920355104 1517 13676 SH SOLE 13676 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 1594 20000 SH Call SOLE 20000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 1594 20000 SH Put SOLE 20000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 1594 20000 SH Put SOLE 20000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 5978 75000 SH Put SOLE 75000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 1196 15000 SH Put SOLE 15000 0 0 VCA INC COM 918194101 925 10104 SH SOLE 10104 0 0 VIACOM INC NEW CL B 92553P201 1939 41600 SH Call SOLE 41600 0 0 VIACOM INC NEW CL B 92553P201 1399 30000 SH Put SOLE 30000 0 0 VISA INC COM CL A 92826C839 1173 13200 SH SOLE 13200 0 0 VMWARE INC CL A COM 928563402 276 3000 SH Put SOLE 3000 0 0 VMWARE INC CL A COM 928563402 921 10000 SH Put SOLE 10000 0 0 VMWARE INC CL A COM 928563402 7307 79300 SH Put SOLE 79300 0 0 WASTE MGMT INC DEL COM 94106L109 729 10000 SH Put SOLE 10000 0 0 WASTE MGMT INC DEL COM 94106L109 780 10700 SH Put SOLE 10700 0 0 WELLS FARGO AND CO NEW COM 949746101 2783 50000 SH Call SOLE 50000 0 0 WELLS FARGO AND CO NEW COM 949746101 9462 170000 SH SOLE 170000 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 853 55012 SH SOLE 55012 0 0 WESTERN REFNG INC COM 959319104 4286 122208 SH SOLE 122208 0 0 WEYERHAEUSER CO COM 962166104 1760 51800 SH SOLE 51800 0 0 WGL HLDGS INC COM 92924F106 1132 13712 SH SOLE 13712 0 0 WHITEWAVE FOODS CO COM 966244105 14646 260843 SH SOLE 260843 0 0 WILLIAMS CLAYTON ENERGY INC COM 969490101 17255 130638 SH SOLE 130638 0 0 WINDSTREAM HLDGS INC COM NEW 97382A200 106 19400 SH Put SOLE 19400 0 0 WINDSTREAM HLDGS INC COM NEW 97382A200 232 42612 SH SOLE 42612 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 206 4079 SH SOLE 4079 0 0 XENON PHARMACEUTICALS INC COM 98420N105 468 116975 SH SOLE 116975 0 0 YAHOO INC COM 984332106 27408 590555 SH SOLE 590555 0 0 ZELTIQ AESTHETICS INC COM 98933Q108 1069 19216 SH SOLE 19216 0 0