0001461790-17-000045.txt : 20170811 0001461790-17-000045.hdr.sgml : 20170811 20170811150345 ACCESSION NUMBER: 0001461790-17-000045 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170811 DATE AS OF CHANGE: 20170811 EFFECTIVENESS DATE: 20170811 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: 171024609 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 06-30-2017 06-30-2017 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 08-11-2017 0 414 1508440 false INFORMATION TABLE 2 informationtable.xml ALTABA INC COM 021346101 22497 412937 SH SOLE 412937 0 0 ALTABA INC COM 021346101 1553 28500 SH Call SOLE 28500 0 0 AARONS INC COM PAR $0.50 002535300 584 15000 SH Put SOLE 15000 0 0 AARONS INC COM PAR $0.50 002535300 595 15300 SH Put SOLE 15300 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 700 6000 SH Put SOLE 6000 0 0 APPLE INC COM 037833100 6476 44964 SH SOLE 44964 0 0 APPLE INC COM 037833100 2880 20000 SH Call SOLE 20000 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 1353 375854 SH SOLE 375854 0 0 AEGERION PHARMACEUTICALS INC NOTE 2.000 8/1 00767EAB8 2686 3400 PRN SOLE 3400 0 0 AETERNA ZENTARIS INC COM PAR 007975402 60 60226 SH SOLE 60226 0 0 ASTORIA FINL CORP COM 046265104 3442 170797 SH SOLE 170797 0 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 3448 350000 SH SOLE 350000 0 0 AVISTA HEALTHCARE PUB ACQ CO W EXP 99/99/999 G0726L117 158 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G68588105 2012 201153 SH SOLE 201153 0 0 PANGAEA LOGISTICS SOLUTION L SHS G6891L105 708 254794 SH SOLE 254794 0 0 PACIFIC CONTINENTAL CORP COM 69412V108 825 32272 SH SOLE 32272 0 0 PRICELINE GRP INC NOTE 0.900 9/1 741503AX4 2868 2500 PRN SOLE 2500 0 0 PATTERN ENERGY GROUP INC CL A 70338P100 418 17554 SH SOLE 17554 0 0 PFIZER INC COM 717081103 725 21575 SH SOLE 21575 0 0 PANERA BREAD CO CL A 69840W108 6156 19564 SH SOLE 19564 0 0 PAREXEL INTL CORP COM 699462107 521 6000 SH SOLE 6000 0 0 PATHEON N V SHS N6865W105 719 20613 SH SOLE 20613 0 0 PRAXAIR INC COM 74005P104 4083 30800 SH SOLE 30800 0 0 PAYPAL HLDGS INC COM 70450Y103 8040 149800 SH Call SOLE 149800 0 0 PAYPAL HLDGS INC COM 70450Y103 4294 80000 SH Put SOLE 80000 0 0 QUALCOMM INC COM 747525103 2485 45000 SH SOLE 45000 0 0 QUALCOMM INC COM 747525103 3589 65000 SH Call SOLE 65000 0 0 QUALCOMM INC COM 747525103 1104 20000 SH Call SOLE 20000 0 0 QUINPARIO ACQUISITION CORP 2 COM 74874U101 2073 208957 SH SOLE 208957 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 3441 25000 SH Put SOLE 25000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 42668 310000 SH Call SOLE 310000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 6882 50000 SH Put SOLE 50000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 17893 130000 SH Call SOLE 130000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 11011 80000 SH Call SOLE 80000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 27528 200000 SH Put SOLE 200000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 9635 70000 SH Put SOLE 70000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 34410 250000 SH Call SOLE 250000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 6882 50000 SH Put SOLE 50000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 19270 140000 SH Put SOLE 140000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 13268 96400 SH Put SOLE 96400 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 1625 25982 SH SOLE 25982 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 1251 20000 SH Put SOLE 20000 0 0 REYNOLDS AMERICAN INC COM 761713106 10445 160595 SH SOLE 160595 0 0 RICE ENERGY INC COM 762760106 10880 408568 SH SOLE 408568 0 0 RLJ LODGING TR COM 74965L101 219 11000 SH Put SOLE 11000 0 0 RINGCENTRAL INC CL A 76680R206 366 10000 SH Put SOLE 10000 0 0 ROSEHILL RES INC CL A 777385105 4068 487820 SH SOLE 487820 0 0 ROSEHILL RES INC W EXP 09/16/202 777385113 1282 1165848 SH SOLE 1165848 0 0 ROSS STORES INC COM 778296103 577 10000 SH SOLE 10000 0 0 REPUBLIC SVCS INC COM 760759100 637 10000 SH Put SOLE 10000 0 0 SPRINT CORP COM SER 1 85207U105 811 98800 SH SOLE 98800 0 0 SPRINT CORP COM SER 1 85207U105 3603 438800 SH Call SOLE 438800 0 0 SEABRIDGE GOLD INC COM 811916105 327 30300 SH Put SOLE 30300 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 251 64900 SH Put SOLE 64900 0 0 SPIRIT AIRLS INC COM 848577102 3284 63584 SH SOLE 63584 0 0 SABAN CAP ACQUISITION CORP COM CL A 78516C106 4500 450000 SH SOLE 450000 0 0 SABAN CAP ACQUISITION CORP W EXP 09/21/202 78516C114 281 225000 SH SOLE 225000 0 0 SEARS HLDGS CORP COM 812350106 532 60000 SH Put SOLE 60000 0 0 SEARS HLDGS CORP COM 812350106 2582 291400 SH Put SOLE 291400 0 0 SHORETEL INC COM 825211105 9556 1647642 SH SOLE 1647642 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 3535 225000 SH Put SOLE 225000 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 4713 300000 SH Put SOLE 300000 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 1964 125000 SH Put SOLE 125000 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 1964 125000 SH Put SOLE 125000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 18435 225200 SH Put SOLE 225200 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 1637 20000 SH Put SOLE 20000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 1228 15000 SH Put SOLE 15000 0 0 SNAP INC CL A 83304A106 234 13158 SH SOLE 13158 0 0 SNAP INC CL A 83304A106 435 24500 SH Call SOLE 24500 0 0 SNAP INC CL A 83304A106 1427 80300 SH Put SOLE 80300 0 0 SNAP INC CL A 83304A106 528 29700 SH Put SOLE 29700 0 0 INTRAWEST RESORTS HLDGS INC COM 46090K109 1813 76389 SH SOLE 76389 0 0 STAPLES INC COM 855030102 4596 456400 SH SOLE 456400 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 967 4000 SH Put SOLE 4000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 6045 25000 SH Put SOLE 25000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3627 15000 SH Put SOLE 15000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1257 5200 SH Put SOLE 5200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1451 6000 SH Put SOLE 6000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 8463 35000 SH Call SOLE 35000 0 0 SILVER RUN ACQUISITION COM CL A 82812A103 5817 574260 SH SOLE 574260 0 0 SILVER RUN ACQUISITION W EXP 03/28/202 82812A111 317 176666 SH SOLE 176666 0 0 SILVER STD RES INC NOTE 2.875 2/0 82823LAC0 5820 6000 PRN SOLE 6000 0 0 STELLAR ACQUISITION III INC COM Y8172W107 321 32000 SH SOLE 32000 0 0 STELLAR ACQUISITION III INC W EXP 03/22/202 Y8172W115 10 32000 SH SOLE 32000 0 0 SYNCHRONY FINL COM 87165B103 1649 55300 SH Call SOLE 55300 0 0 SYNCHRONY FINL COM 87165B103 784 26300 SH Call SOLE 26300 0 0 SYNCHRONY FINL COM 87165B103 1446 48500 SH Call SOLE 48500 0 0 AT&T INC COM 00206R102 943 25000 SH Call SOLE 25000 0 0 AT&T INC COM 00206R102 6980 185000 SH Put SOLE 185000 0 0 AT&T INC COM 00206R102 13055 346000 SH Put SOLE 346000 0 0 AT&T INC COM 00206R102 2641 70000 SH Put SOLE 70000 0 0 AT&T INC COM 00206R102 4528 120000 SH Put SOLE 120000 0 0 AT&T INC COM 00206R102 566 15000 SH Put SOLE 15000 0 0 TUCOWS INC COM NEW 898697206 433 8100 SH SOLE 8100 0 0 TRANSDIGM GROUP INC COM 893641100 2689 10000 SH Call SOLE 10000 0 0 TRANSDIGM GROUP INC COM 893641100 1344 5000 SH Put SOLE 5000 0 0 THOR INDS INC COM 885160101 1144 10950 SH SOLE 10950 0 0 THOR INDS INC COM 885160101 1307 12500 SH Call SOLE 12500 0 0 TJX COS INC NEW COM 872540109 3705 51342 SH SOLE 51342 0 0 TJX COS INC NEW COM 872540109 729 10100 SH Call SOLE 10100 0 0 TJX COS INC NEW COM 872540109 505 7000 SH Call SOLE 7000 0 0 TJX COS INC NEW COM 872540109 1083 15000 SH Put SOLE 15000 0 0 TURKISH INVT FD INC COM 900145103 1715 177872 SH SOLE 177872 0 0 ISHARES TR 20 YR TR BD ETF 464287432 14389 115000 SH Put SOLE 115000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 26988 215700 SH Put SOLE 215700 0 0 DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 335 6000 SH Put SOLE 6000 0 0 DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 335 6000 SH Put SOLE 6000 0 0 TPG PACE ENERGY HLDGS CORP CL A 872656103 17605 1749999 SH SOLE 1749999 0 0 TPG PACE ENERGY HLDGS CORP W EXP 99/99/999 872656111 822 583333 SH SOLE 583333 0 0 TPG PACE HLDGS CORP UNIT 99/99/9999 G89827102 12312 1200000 SH SOLE 1200000 0 0 PROSHARES TR ULTRAPRO QQQ 74347X831 396 4059 SH SOLE 4059 0 0 PROSHARES TR ULTRAPRO QQQ 74347X831 1397 14300 SH Put SOLE 14300 0 0 TRIBUNE MEDIA CO CL A 896047503 1223 30000 SH SOLE 30000 0 0 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 264 60013 SH SOLE 60013 0 0 TESLA INC COM 88160R101 3797 10500 SH Call SOLE 10500 0 0 TESLA INC COM 88160R101 2170 6000 SH Put SOLE 6000 0 0 HOSTESS BRANDS INC W EXP 11/04/202 44109J114 524 180000 SH SOLE 180000 0 0 TWITTER INC COM 90184L102 536 30000 SH SOLE 30000 0 0 TIME WARNER INC COM NEW 887317303 38156 380000 SH SOLE 380000 0 0 UNDER ARMOUR INC CL A 904311107 355 16300 SH SOLE 16300 0 0 UNITED CONTL HLDGS INC COM 910047109 1287 17100 SH SOLE 17100 0 0 UBIQUITI NETWORKS INC COM 90347A100 4052 77976 SH SOLE 77976 0 0 UBIQUITI NETWORKS INC COM 90347A100 2708 52100 SH Call SOLE 52100 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2123 19200 SH Call SOLE 19200 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2743 24800 SH Put SOLE 24800 0 0 VISA INC COM CL A 92826C839 1238 13200 SH SOLE 13200 0 0 VALE S A ADR 91912E105 613 70065 SH SOLE 70065 0 0 VANTAGE ENERGY ACQUISITION COM CL A 92211L105 24375 2499999 SH SOLE 2499999 0 0 VANTAGE ENERGY ACQUISITION W EXP 04/12/202 92211L113 1042 833333 SH SOLE 833333 0 0 VMWARE INC CL A COM 928563402 7012 80200 SH Put SOLE 80200 0 0 VMWARE INC CL A COM 928563402 498 5700 SH Put SOLE 5700 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 779 45000 SH Put SOLE 45000 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 779 45000 SH Put SOLE 45000 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 260 15000 SH Put SOLE 15000 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 891 51500 SH Put SOLE 51500 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 2699 156000 SH Put SOLE 156000 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 1512 87400 SH Put SOLE 87400 0 0 VWR CORP COM 91843L103 2614 79201 SH SOLE 79201 0 0 WOLVERINE BANCORP INC COM 977880103 1008 25124 SH SOLE 25124 0 0 WEBMD HEALTH CORP COM 94770V102 2346 40000 SH SOLE 40000 0 0 WASTE CONNECTIONS INC COM 94106B101 5254 81564 SH SOLE 81564 0 0 WELLS FARGO CO NEW COM 949746101 554 10000 SH SOLE 10000 0 0 WHOLE FOODS MKT INC COM 966837106 6380 151500 SH SOLE 151500 0 0 WHOLE FOODS MKT INC COM 966837106 253 6000 SH Call SOLE 6000 0 0 WHOLE FOODS MKT INC COM 966837106 2106 50000 SH Call SOLE 50000 0 0 WINNEBAGO INDS INC COM 974637100 1925 55000 SH Put SOLE 55000 0 0 WINNEBAGO INDS INC COM 974637100 1750 50000 SH Put SOLE 50000 0 0 WINNEBAGO INDS INC COM 974637100 326 9300 SH Put SOLE 9300 0 0 WINDSTREAM HLDGS INC COM NEW 97382A200 111 28694 SH SOLE 28694 0 0 WINDSTREAM HLDGS INC COM NEW 97382A200 75 19400 SH Put SOLE 19400 0 0 VCA INC COM 918194101 12979 140598 SH SOLE 140598 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 4216 211949 SH SOLE 211949 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 9945 500000 SH Call SOLE 500000 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 5712 287200 SH Call SOLE 287200 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 3005 151100 SH Call SOLE 151100 0 0 WESTAR ENERGY INC COM 95709T100 1591 30000 SH SOLE 30000 0 0 SELECT ENERGY SVCS INC CL A COM 81617J301 2219 182607 SH SOLE 182607 0 0 WEYERHAEUSER CO COM 962166104 1563 46645 SH SOLE 46645 0 0 UNITED STATES STL CORP NEW COM 912909108 332 15000 SH Call SOLE 15000 0 0 UNITED STATES STL CORP NEW COM 912909108 1107 50000 SH Call SOLE 50000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 21610 280000 SH Put SOLE 280000 0 0 XENON PHARMACEUTICALS INC COM 98420N105 518 164510 SH SOLE 164510 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 9868 400000 SH SOLE 400000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 12335 500000 SH Put SOLE 500000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 8018 325000 SH Call SOLE 325000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3330 135000 SH Put SOLE 135000 0 0 EXETER RES CORP COM 301835104 127 82223 SH SOLE 82223 0 0