President

0001461790-21-000035.txt : 20210813 0001461790-21-000035.hdr.sgml : 20210813 20210813155407 ACCESSION NUMBER: 0001461790-21-000035 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210813 DATE AS OF CHANGE: 20210813 EFFECTIVENESS DATE: 20210813 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: 211171925 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 06-30-2021 06-30-2021 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 08-13-2021 0 364 1203041 false INFORMATION TABLE 2 informationtable.xml 7GC & CO HOLDINGS INC COM CL A 81786A107 4203 434166 SH SOLE 434166 0 0 890 5TH AVE PARTNERS INC COM CL A 28250A105 5657 573749 SH SOLE 573749 0 0 ARES ACQUISITION CORPORATION W EXP 99/99/999 G33032122 25 20232 SH Call SOLE 20232 0 0 ACCELERATE ACQUISITION CORP COM CL A 00439D102 1124 116019 SH SOLE 116019 0 0 ACE CONVERGENCE ACQU CORP CL A G0083D120 4083 410178 SH SOLE 410178 0 0 ACE GLOBAL BUSINESS ACQU LTD ORDINARY SHARES G0083E102 1608 160000 SH SOLE 160000 0 0 ACE GLOBAL BUSINESS ACQU LTD W EXP 02/20/202 G0083E110 104 210932 SH Call SOLE 210932 0 0 ACKRELL SPAC PARTNERS I CO UNIT 99/99/9999 00461L303 1505 151379 SH SOLE 151379 0 0 ACKRELL SPAC PARTNERS I CO W EXP 12/01/202 00461L113 53 85353 SH Call SOLE 85353 0 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 3144 898307 SH SOLE 898307 0 0 AEROJET ROCKETDYNE HLDGS INC NOTE 2.250 12/1 007800AB1 5676 3062 PRN SOLE 3062 0 0 AF ACQUISITION CORP CLASS A COM 001040104 2927 300000 SH SOLE 300000 0 0 AF ACQUISITION CORP W EXP 03/23/202 001040112 88 100000 SH Call SOLE 100000 0 0 AFRICAN GOLD ACQUISITION COR SHS CL A G0112R108 966 100083 SH SOLE 100083 0 0 AFRICAN GOLD ACQUISITION COR UNIT 99/99/9999 G0112R116 5055 500000 SH SOLE 500000 0 0 AFRICAN GOLD ACQUISITION COR W EXP 03/31/202 G0112R124 409 649827 SH Call SOLE 649827 0 0 AGBA ACQUISITION LTD SH G0120M109 1495 139362 SH SOLE 139362 0 0 ALASKA COMMUNICATIONS SYS GR COM 01167P101 2361 708875 SH SOLE 708875 0 0 ALBERTON ACQUISITION CORP ORD SHS G35006108 1154 103231 SH SOLE 103231 0 0 ALBERTON ACQUISITION CORP RIGHT 10/26/2021 G35006132 362 646340 SH Call SOLE 646340 0 0 ALBERTON ACQUISITION CORP W EXP 04/26/202 G35006124 190 463516 SH Call SOLE 463516 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 6389 34777 SH SOLE 34777 0 0 ALKURI GLOBAL ACQUISITION CO COM CL A 66981N103 2639 266882 SH SOLE 266882 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G27029100 475 49059 SH SOLE 49059 0 0 DIAMOND S SHIPPING INC COM Y20676105 1362 136709 SH SOLE 136709 0 0 DILA CAPITAL ACQUISITION COR UNIT 99/99/9999 254028202 1899 188600 SH SOLE 188600 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25460G880 2155 112486 SH SOLE 112486 0 0 DISCOVERY INC COM SER C 25470F302 1430 49337 SH SOLE 49337 0 0 DOMTAR CORP COM NEW 257559203 846 15400 SH SOLE 15400 0 0 DPCM CAP INC COM CL A 23344P101 4524 457942 SH SOLE 457942 0 0 DRAGONEER GROWTH OPPTY CORP SHS CL A G28314105 2697 267037 SH SOLE 267037 0 0 DYCOM INDS INC NOTE 0.750 9/1 267475AB7 9128 9155 PRN SOLE 9155 0 0 EAST RES ACQUISITION CO COM CL A 274681105 1952 200000 SH SOLE 200000 0 0 EAST STONE ACQUISITION CORP SH G2911D108 545 54032 SH SOLE 54032 0 0 EDIFY ACQUISITION CORP CL A 28059Q103 966 100000 SH SOLE 100000 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 21817 405000 SH Call SOLE 405000 0 0 EPIPHANY TECHNOLOGY ACQUISIT W EXP 01/12/202 29429X117 81 72559 SH Call SOLE 72559 0 0 ESM ACQUISITION CORPORATION SHS CL A G3195H104 2898 300000 SH SOLE 300000 0 0 ESM ACQUISITION CORPORATION W EXP 02/02/202 G3195H112 101 100000 SH Call SOLE 100000 0 0 EXFO INC SUB VTG SHS 302046107 857 144029 SH SOLE 144029 0 0 EXTRACTION OIL & GAS INC COM 30227M303 1007 18346 SH SOLE 18346 0 0 FALCON CAPITAL ACQUISITN COR COM CL A 30606L108 189 18865 SH SOLE 18865 0 0 FG NEW AMER ACQUISITION CORP COM 30259V106 5489 537613 SH SOLE 537613 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 459 12500 SH Put SOLE 12500 0 0 FINTECH ACQUISITION CORP VI UNIT 06/24/2026 31811H205 3027 300000 SH SOLE 300000 0 0 FLAGSTAR BANCORP INC COM PAR .001 337930705 1088 25748 SH SOLE 25748 0 0 FLY LEASING LTD SPONSORED ADR 34407D109 1903 112318 SH SOLE 112318 0 0 FOCUS FINL PARTNERS INC COM CL A 34417P100 1984 40900 SH Call SOLE 40900 0 0 FOCUS FINL PARTNERS INC COM CL A 34417P100 1833 37800 SH Put SOLE 37800 0 0 FOCUS FINL PARTNERS INC COM CL A 34417P100 434 8953 SH SOLE 8953 0 0 FORUM MERGER IV CORP CLASS A COM 349875104 1074 109892 SH SOLE 109892 0 0 FREEPORT-MCMORAN INC CL B 35671D857 1484 40000 SH Put SOLE 40000 0 0 FTAC HERA ACQUISITION CORP W EXP 02/28/202 G3728Y111 121 91597 SH Call SOLE 91597 0 0 FTAC PARNASSUS ACQUISITN COR CLASS A COM 30319B108 2440 250000 SH SOLE 250000 0 0 FTAC PARNASSUS ACQUISITN COR W EXP 03/10/202 30319B116 69 62500 SH Call SOLE 62500 0 0 FUSION ACQUISITION CORP II COM CL A 36118N102 1046 108225 SH SOLE 108225 0 0 FUSION ACQUISITION CORP II W EXP 02/29/202 36118N110 35 36075 SH Call SOLE 36075 0 0 FUSION ACQUISITION CORP CL A 36118H105 811 81484 SH SOLE 81484 0 0 GALILEO ACQUISITION CORP SH G3770A102 2837 283671 SH SOLE 283671 0 0 GAMING & HOSPITALITY ACQU CO W EXP 02/04/202 364681114 46 43906 SH Call SOLE 43906 0 0 GCM GROSVENOR INC W EXP 11/17/202 36831E116 3330 2162099 SH Call SOLE 2162099 0 0 GENESIS PK ACQUISITION CORP SHS CL A G38245109 840 81433 SH SOLE 81433 0 0 GLOBAL CONSUMER ACQUISITN CO UNIT 05/21/2026 37892B207 12243 1225489 SH SOLE 1225489 0 0 GLOBAL SPAC PARTNERS CO UNIT 03/12/2026 G3934K103 4361 440954 SH SOLE 440954 0 0 GLOBAL SPAC PARTNERS CO W EXP 11/30/202 G3934K111 121 220477 SH Call SOLE 220477 0 0 GLOBAL SYNERGY ACQUISIT CORP W EXP 99/99/999 G3934J122 210 265360 SH Call SOLE 265360 0 0 GLOBIS ACQUISITION CORP W EXP 11/01/202 379582117 675 978633 SH Call SOLE 978633 0 0 GOAL ACQUISITIONS CORP COM 38021H107 929 96323 SH SOLE 96323 0 0 GOAL ACQUISITIONS CORP W EXP 02/11/202 38021H115 424 661973 SH Call SOLE 661973 0 0 GOGO INC COM 38046C109 1185 104116 SH SOLE 104116 0 0 GOPRO INC NOTE 3.500 4/1 38268TAB9 14053 11000 PRN SOLE 11000 0 0 GORES HOLDINGS VII INC W EXP 02/25/202 38286T119 22 16125 SH Call SOLE 16125 0 0 GORES METROPOULOS II INC CL A 382873107 10114 1022688 SH SOLE 1022688 0 0 GREENVISION ACQUISITION CORP RIGHT 06/01/2021 39678G129 324 594364 SH Call SOLE 594364 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 693 5500 SH Put SOLE 5500 0 0 HEALTH SCIENCES ACQ CORP 2 ORD SHS G4411D109 3268 320349 SH SOLE 320349 0 0 HEALTHCARE CAPITAL CORP COM CL A 42228C101 240 24884 SH SOLE 24884 0 0 HEALTHCARE SERVICES ACQU COR COM CL A 42227K104 5273 544777 SH SOLE 544777 0 0 HEALTHCARE SERVICES ACQU COR W EXP 99/99/999 42227K112 453 509096 SH Call SOLE 509096 0 0 HENNESSY CAPITAL INVS CORP V COM CL A 42589T107 4093 404862 SH SOLE 404862 0 0 HENNESSY CAPITAL INVS CORP V W EXP 01/20/202 42589T115 100 40807 SH Call SOLE 40807 0 0 HORIZON ACQUISITION CORPORAT SHS CL A G46044106 7831 801494 SH SOLE 801494 0 0 HORIZON ACQUISITION CORPORAT W EXP 10/19/202 G46044114 293 250512 SH Call SOLE 250512 0 0 HORIZON ACQUISITION CORP COM CL A G46049105 4763 478735 SH SOLE 478735 0 0 HORIZON ACQUISITION CORP W EXP 08/19/202 G46049113 278 156041 SH Call SOLE 156041 0 0 HOWARD HUGHES CORP COM 44267D107 20524 210594 SH SOLE 210594 0 0 IAMGOLD CORP COM 450913108 1479 501300 SH SOLE 501300 0 0 IGNYTE ACQUISITION CORP COM 45175H106 3333 344328 SH SOLE 344328 0 0 IHS MARKIT LTD SH G47567105 7974 70779 SH SOLE 70779 0 0 II-VI INC NOTE 0.250 9/0 902104AB4 5567 3510 PRN SOLE 3510 0 0 IMPERIAL OIL LTD COM NEW 453038408 9120 300000 SH Put SOLE 300000 0 0 INMODE LTD SH M5425M103 28783 304000 SH Call SOLE 304000 0 0 INMODE LTD SH M5425M103 1884 19900 SH Put SOLE 19900 0 0 INMODE LTD SH M5425M103 8878 93768 SH SOLE 93768 0 0 INSU ACQUISITION CORP III COM CL A 457817104 2788 287167 SH SOLE 287167 0 0 COLONY STARWOOD HOMES NOTE 3.500 1/1 19625XAB8 13200 8075 PRN SOLE 8075 0 0 BARCLAYS BANK PLC IPTH SR B S&P 06747R477 1131 38387 SH SOLE 38387 0 0 IRONWOOD PHARMACEUTICALS INC DBCV 2.250 6/1 46333XAD0 9953 9000 PRN SOLE 9000 0 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 193 15000 SH Put SOLE 15000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 6351 44000 SH Put SOLE 44000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 2317 50000 SH Call SOLE 50000 0 0 ISHARES GOLD TR ISHARES NEW 464285204 11463 340050 SH Call SOLE 340050 0 0 ISHARES GOLD TR ISHARES NEW 464285204 1686 50000 SH Put SOLE 50000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 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INC COM NEW 498904200 1904 73274 SH SOLE 73274 0 0 KNOWLES CORP NOTE 3.250 11/0 49926DAB5 9544 8545 PRN SOLE 8545 0 0 LAKESHORE ACQUISITION I CORP UNIT 06/04/2026 G53521129 3066 300000 SH SOLE 300000 0 0 LEGATO MERGER CORP COM 52473X106 1128 112607 SH SOLE 112607 0 0 LIBERTY MEDIA CORP DEL NOTE 1.000 1/3 531229AF9 8176 6000 PRN SOLE 6000 0 0 LIFESCI ACQUISITION II CORP COM 53229E103 4187 418727 SH SOLE 418727 0 0 THE LION ELECTRIC COMPANY COMMON STOCK 536221104 3361 182000 SH SOLE 182000 0 0 LIONHEART ACQUISITION CORP I COM CL A 53625R104 1586 160657 SH SOLE 160657 0 0 LIONHEART ACQUISITION CORP I W EXP 02/14/202 53625R112 95 100000 SH Call SOLE 100000 0 0 LOUISIANA PAC CORP COM 546347105 9508 157700 SH Call SOLE 157700 0 0 LUMINEX CORP DEL NOTE 3.000 5/1 55027EAA0 10080 10009 PRN SOLE 10009 0 0 LUMINEX CORP DEL COM 55027E102 5997 162949 SH SOLE 162949 0 0 MACQUARIE INFRASTRUCTURE COR COM 55608B105 957 25000 SH Call SOLE 25000 0 0 MAGELLAN HEALTH INC COM NEW 559079207 8409 89269 SH SOLE 89269 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 239 10000 SH Call SOLE 10000 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 477 20000 SH SOLE 20000 0 0 MALLARD ACQUISITION CORP COM 561204108 4775 481820 SH SOLE 481820 0 0 MALLARD ACQUISITION CORP W EXP 06/30/202 561204116 207 436713 SH Call SOLE 436713 0 0 MAQUIA CAPITAL ACQUISITION C CLASS A COM 56564V101 1167 118620 SH SOLE 118620 0 0 MAQUIA CAPITAL ACQUISITION C UNIT 99/99/9999 56564V200 5465 539452 SH SOLE 539452 0 0 MAQUIA CAPITAL ACQUISITION C W EXP 05/05/202 56564V119 167 315000 SH Call SOLE 315000 0 0 MARQUEE RAINE ACQUISITION CO CL A SHS G58442107 1485 150000 SH SOLE 150000 0 0 MARRIOTT VACATIONS WORLDWIDE NOTE 1.500 9/1 57164YAB3 8705 7252 PRN SOLE 7252 0 0 MARRIOTT VACATIONS WORLDWIDE COM 57164Y107 797 5000 SH Call SOLE 5000 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 7933 75292 SH SOLE 75292 0 0 MCAP ACQUISITION CORP COM CL A 55282T109 962 99999 SH SOLE 99999 0 0 MCAP ACQUISITION CORP W EXP 03/02/202 55282T117 35 33333 SH Call SOLE 33333 0 0 MDH ACQUISITION CORP COM CL A 55283P106 1972 204554 SH SOLE 204554 0 0 MDH ACQUISITION CORP W EXP 02/02/202 55283P114 133 190427 SH Call SOLE 190427 0 0 MERCER INTL INC COM 588056101 8834 692900 SH Call SOLE 692900 0 0 MERCER INTL INC COM 588056101 7014 550088 SH SOLE 550088 0 0 MERIDIAN BANCORP INC MD COM 58958U103 1122 54845 SH SOLE 54845 0 0 MODEL PERFORMANCE ACQU CORP RIGHT 04/29/2026 G6246M121 107 300000 SH Call SOLE 300000 0 0 MODEL PERFORMANCE ACQU CORP CLASS A ORD SHS G6246M105 1955 198253 SH SOLE 198253 0 0 MODEL PERFORMANCE ACQU CORP W EXP 04/29/202 G6246M139 53 105506 SH Call SOLE 105506 0 0 MONGODB INC CL A 60937P106 1808 5000 SH Call SOLE 5000 0 0 MONMOUTH REAL ESTATE INVT CO CL A 609720107 2866 153118 SH SOLE 153118 0 0 MONTES ARCHIMEDES ACQUISITIO COM CL A 612657106 2767 279782 SH SOLE 279782 0 0 MOUNTAIN CREST ACQUSTN CORP RIGHT 04/07/2022 62402D113 166 194839 SH Call SOLE 194839 0 0 MOUNTAIN CREST ACQSTN CORP I COMMON STOCK 62402U107 2193 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COM 712704105 1041 60754 SH SOLE 60754 0 0 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 325 14265 SH SOLE 14265 0 0 PETRA ACQUISITION INC COM 716421102 267 26583 SH SOLE 26583 0 0 PG&E CORP COM 69331C108 548 53861 SH SOLE 53861 0 0 PIVOTAL INVESTMENT CORP III COM CL A 72582M106 1176 120660 SH SOLE 120660 0 0 PIVOTAL INVESTMENT CORP III W EXP 01/28/202 72582M114 35 29132 SH Call SOLE 29132 0 0 PLANET FITNESS INC CL A 72703H101 753 10000 SH Call SOLE 10000 0 0 PLANET FITNESS INC CL A 72703H101 2295 30500 SH Put SOLE 30500 0 0 PLUM ACQUISITION CORP I CLASS A ORD SHS G7134L126 364 37507 SH SOLE 37507 0 0 PLUM ACQUISITION CORP I W EXP 03/15/202 G7134L118 23 20000 SH Call SOLE 20000 0 0 PNM RES INC COM 69349H107 4911 100703 SH SOLE 100703 0 0 POEMA GLOBAL HOLDINGS CORP W EXP 01/08/202 G7154B115 90 117658 SH Call SOLE 117658 0 0 PPD INC COM 69355F102 5875 127469 SH SOLE 127469 0 0 PRA HEALTH SCIENCES INC COM 69354M108 6263 37907 SH SOLE 37907 0 0 PRICELINE GRP INC NOTE 0.900 9/1 741503AX4 6549 6000 PRN SOLE 6000 0 0 PROGRESS ACQUISITION CORP COM CL A 74327P105 977 100374 SH SOLE 100374 0 0 PROGRESS ACQUISITION CORP W EXP 11/11/202 74327P113 35 50187 SH Call SOLE 50187 0 0 PROPTECH INVESTMENT CORP II COM CL A 743497109 2107 216290 SH SOLE 216290 0 0 PTK ACQUISITION CORP COM 69375F108 4792 483563 SH SOLE 483563 0 0 PTK ACQUISITION CORP W EXP 12/12/202 69375F116 434 835470 SH Call SOLE 835470 0 0 PURE STORAGE INC NOTE 0.125 4/1 74624MAB8 9666 9200 PRN SOLE 9200 0 0 QUANTUM FINTECH ACQUISTIN CO W EXP 01/30/202 74767A113 75 226093 SH Call SOLE 226093 0 0 RAMBUS INC DEL NOTE 1.375 2/0 750917AG1 9891 7500 PRN SOLE 7500 0 0 REDBALL ACQUISITION CORP COM CL A G7417R105 6301 644980 SH SOLE 644980 0 0 REDBALL ACQUISITION CORP UNIT 99/99/9999 G7417R121 101 10000 SH SOLE 10000 0 0 RINGCENTRAL INC CL A 76680R206 2267 7800 SH Call SOLE 7800 0 0 RINGCENTRAL INC CL A 76680R206 7265 25000 SH Put SOLE 25000 0 0 RMG ACQUISITION CORP II CL A SHS G76083107 5959 598941 SH SOLE 598941 0 0 ROCKET COS INC COM CL A 77311W101 1869 96600 SH Put SOLE 96600 0 0 ROMAN DBDR TECH ACQUISITION COM CL A 77584N101 2218 219360 SH SOLE 219360 0 0 ROSS ACQUISITION CORP II SHS CL A G7641C106 485 49998 SH SOLE 49998 0 0 ROSS ACQUISITION CORP II W EXP 02/01/202 G7641C114 16 16666 SH Call SOLE 16666 0 0 ROTH CH ACQUISITION II CO COM 778673103 4339 436932 SH SOLE 436932 0 0 ROTOR ACQUISITION CORP COM 77879W105 5334 534511 SH SOLE 534511 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 4444 110000 SH Call SOLE 110000 0 0 SANDBRIDGE ACQUISITION CORP COM CL A 799793104 2411 241573 SH SOLE 241573 0 0 SC HEALTH CORP COM CL A G78516203 504 50000 SH SOLE 50000 0 0 SCION TECH GROWTH I CL A SHS G31067104 268 27442 SH SOLE 27442 0 0 SCORPIO TANKERS INC NOTE 3.000 5/1 80918TAB5 2009 2000 PRN SOLE 2000 0 0 SCVX CORP COM G79448208 112 11275 SH SOLE 11275 0 0 SEAPORT GLOBAL ACQUISITN COR COM CL A 812227106 1020 102445 SH SOLE 102445 0 0 SEAPORT GLOBAL ACQUISITN COR W EXP 12/15/202 812227114 391 455198 SH Call SOLE 455198 0 0 SENIOR CONNECT ACQUISITN COR W EXP 12/31/202 81723H116 192 225885 SH Call SOLE 225885 0 0 SENSEONICS HLDGS INC COM 81727U105 38 10000 SH Call SOLE 10000 0 0 SEVEN OAKS ACQUISITION CORP COM CL A 81787X106 8784 888206 SH SOLE 888206 0 0 SEVEN OAKS ACQUISITION CORP W EXP 12/22/202 81787X114 524 444103 SH Call SOLE 444103 0 0 SLACK TECHNOLOGIES INC COM CL A 83088V102 5324 120183 SH SOLE 120183 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253T106 1517 150000 SH SOLE 150000 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 1518 150000 SH SOLE 150000 0 0 SOCIAL CAP SUVRETTA HLD CRPI CLASS A ORD SHS G8253W109 1517 150000 SH SOLE 150000 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 1515 150000 SH SOLE 150000 0 0 SOLITON INC COM 834251100 1589 70650 SH SOLE 70650 0 0 SOUTHWEST AIRLS CO NOTE 1.250 5/0 844741BG2 11874 7838 PRN SOLE 7838 0 0 SPARTACUS ACQUISITION CORP CL A 84677L109 1253 124687 SH SOLE 124687 0 0 SPARTAN ACQUISITION CORP II COM 846775104 2497 249949 SH SOLE 249949 0 0 SPDR SER TR BLMBRG BRC CNVRT 78464A359 2819 32500 SH Put SOLE 32500 0 0 SPDR GOLD TR GOLD SHS 78463V107 1656 10000 SH Call SOLE 10000 0 0 SPDR GOLD TR GOLD SHS 78463V107 25673 155000 SH Put SOLE 155000 0 0 SPK AQUISITION CORP UNIT 05/13/2026 848651204 2753 275000 SH SOLE 275000 0 0 SPLUNK INC NOTE 0.500 9/1 848637AC8 8992 7719 PRN SOLE 7719 0 0 SPLUNK INC COM 848637104 1446 10000 SH Call SOLE 10000 0 0 SPORTSMANS WHSE HLDGS INC COM 84920Y106 5353 301222 SH SOLE 301222 0 0 SPROTT INC COM NEW 852066208 3383 86005 SH SOLE 86005 0 0 SSR MNG INC NOTE 2.500 4/0 784730AB9 8143 6822 PRN SOLE 6822 0 0 STARBOARD VALUE ACQUISITN CO COM CL A 85521J109 1989 198880 SH SOLE 198880 0 0 SUNCOR ENERGY INC NEW COM 867224107 4506 188000 SH Call SOLE 188000 0 0 TALEND S A ADS 874224207 4041 61608 SH SOLE 61608 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 517 3500 SH Put SOLE 3500 0 0 TEKKORP DIGITAL ACQUISITN CO W EXP 10/26/202 G8739H114 152 145000 SH Call SOLE 145000 0 0 THUNDER BRDG CAP PRTNRS IV I UNIT 06/30/2026 88605L206 1986 200000 SH SOLE 200000 0 0 TIGA ACQUISITION CORP SHS CL A G88672103 1188 118486 SH SOLE 118486 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 2596 88200 SH Call SOLE 88200 0 0 TUSCAN HLDGS CORP II COM 90070A103 3139 312362 SH SOLE 312362 0 0 TUSCAN HLDGS CORP II W EXP 04/01/202 90070A111 175 173072 SH Call SOLE 173072 0 0 TWITTER INC NOTE 1.000 9/1 90184LAD4 11105 10889 PRN SOLE 10889 0 0 TWITTER INC NOTE 0.250 6/1 90184LAF9 11426 8300 PRN SOLE 8300 0 0 TWITTER INC COM 90184L102 826 12000 SH Call SOLE 12000 0 0 UNDER ARMOUR INC CL C 904311206 2161 116390 SH SOLE 116390 0 0 UNION ACQUISITION CORP II W EXP 04/01/202 G9402Q126 176 193000 SH Call SOLE 193000 0 0 U S CONCRETE INC COM 90333L201 1476 20000 SH SOLE 20000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1897 30000 SH Call SOLE 30000 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 394 1000 SH Call SOLE 1000 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 394 1000 SH Put SOLE 1000 0 0 VEREIT INC COM 92339V308 5927 129046 SH SOLE 129046 0 0 VIVEON HEALTH ACQUISITION CO RIGHT 12/31/2025 92853V122 281 1041509 SH Call SOLE 1041509 0 0 VIVEON HEALTH ACQUISITION CO W EXP 99/99/999 92853V114 306 870447 SH Call SOLE 870447 0 0 VIVOS THERAPEUTICS INC COM 92859E108 320 64746 SH SOLE 64746 0 0 WATFORD HLDGS LTD SH G94787101 1984 56704 SH SOLE 56704 0 0 WEINGARTEN RLTY INVS SH BEN INT 948741103 2136 66589 SH SOLE 66589 0 0 WELBILT INC COM 949090104 2446 105649 SH SOLE 105649 0 0 WENDYS CO COM 95058W100 234 10000 SH Call SOLE 10000 0 0 WILLIS TOWERS WATSON PLC LTD SH G96629103 6280 27302 SH SOLE 27302 0 0 WINNEBAGO INDS INC NOTE 1.500 4/0 974637AB6 7717 6000 PRN SOLE 6000 0 0 WINNEBAGO INDS INC COM 974637100 680 10000 SH Call SOLE 10000 0 0 WISDOMTREE INVTS INC COM 97717P104 124 20000 SH Call SOLE 20000 0 0 GRACE W R & CO DEL NEW COM 38388F108 3724 53878 SH SOLE 53878 0 0 XILINX INC COM 983919101 4339 30000 SH SOLE 30000 0 0 YUNHONG INTL RIGHT 01/31/2027 G98882130 193 551721 SH Call SOLE 551721 0 0 YUNHONG INTL W EXP 01/31/202 G98882122 207 376255 SH Call SOLE 376255 0 0 ZANITE ACQUISITION CORP COM CL A 98907K103 1995 198276 SH SOLE 198276 0 0 ZILLOW GROUP INC NOTE 1.500 7/0 98954MAC5 7254 4640 PRN SOLE 4640 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 901 5600 SH SOLE 5600 0 0