President

0001461790-22-000025.txt : 20221114 0001461790-22-000025.hdr.sgml : 20221114 20221114161625 ACCESSION NUMBER: 0001461790-22-000025 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221114 DATE AS OF CHANGE: 20221114 EFFECTIVENESS DATE: 20221114 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: 221385593 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 09-30-2022 09-30-2022 K2 PRINCIPAL FUND, L.P.

2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2

13F HOLDINGS REPORT 028-16812 N Todd Sikorski President 416-365-2155 /s/Todd Sikorski TORONTO A6 11-14-2022 0 287 870911 false INFORMATION TABLE 2 informationtable.xml 10X CAP VENTURE ACQSTN CORP W EXP 04/19/202 G87076116 4 134569 SH SOLE 134569 0 0 1LIFE HEALTHCARE INC NOTE 3.000 6/1 68269GAB3 7946 8150 PRN SOLE 8150 0 0 1LIFE HEALTHCARE INC COM 68269G107 429 25000 SH Call SOLE 25000 0 0 A SPAC I ACQUISITION CORP W EXP 05/21/202 G0542S130 6 156216 SH SOLE 156216 0 0 ABRI SPAC I INC W EXP 09/18/202 00085X113 28 327492 SH SOLE 327492 0 0 ACCRETION ACQUISITION CORP W EXP 03/01/202 00438Y115 12 250000 SH SOLE 250000 0 0 ACCRETION ACQUISITION CORP RIGHT 03/01/2028 00438Y123 38 500000 SH SOLE 500000 0 0 ACHARI VENTURES HLDGS CORP I W EXP 01/01/202 00444X119 25 500000 SH SOLE 500000 0 0 ACUITYADS HLDGS INC COM 00510L106 4935 2869407 SH SOLE 2869407 0 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 10 10391 SH SOLE 10391 0 0 ADVISORSHARES TR PSYCHEDELICS ETF 00768Y362 38 13312 SH SOLE 13312 0 0 AESTHER HEALTHCARE ACQSTN CO W EXP 09/14/202 00809L114 25 125000 SH SOLE 125000 0 0 AFFIRM HLDGS INC COM CL A 00827B106 1124 59900 SH Call SOLE 59900 0 0 AFFIRM HLDGS INC COM CL A 00827B106 7178 382600 SH Put SOLE 382600 0 0 AFFIRM HLDGS INC COM CL A 00827B106 546 29107 SH SOLE 29107 0 0 AFRICAN GOLD ACQUISITION COR W EXP 03/31/202 G0112R124 58 1456944 SH SOLE 1456944 0 0 AIRBNB INC COM CL A 009066101 764 7269 SH SOLE 7269 0 0 AIRBNB INC COM CL A 009066101 8529 81200 SH Call SOLE 81200 0 0 ALCOA CORP COM 013872106 4460 132500 SH Put SOLE 132500 0 0 ALCOA CORP COM 013872106 1178 35000 SH SOLE 35000 0 0 ALPHA STAR ACQUISITION CORP W EXP 12/13/202 G0230C116 4 95965 SH SOLE 95965 0 0 ALTITUDE ACQUISITION CORP W EXP 11/30/202 02156Y111 6 100000 SH SOLE 100000 0 0 AMBEV SA SPONSORED ADR 02319V103 1910 675036 SH SOLE 675036 0 0 AMERICAN ACQUISITION OPPT IN W EXP 05/28/202 02369M110 22 222660 SH SOLE 222660 0 0 AMERICAS GOLD AND SILVER COR COM 03062D100 871 2124000 SH SOLE 2124000 0 0 ANNEXON INC COM 03589W102 305 49331 SH SOLE 49331 0 0 AQUABOUNTY TECHNOLOGIES INC COM NEW 03842K200 437 559508 SH SOLE 559508 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L203 8263 415000 SH Put SOLE 415000 0 0 ARCH RESOURCES INC CL A 03940R107 2372 20000 SH Call SOLE 20000 0 0 ARISZ ACQUISITION CORP RIGHT 99/99/9999 040450124 32 541408 SH SOLE 541408 0 0 ASBURY AUTOMOTIVE GROUP INC COM 043436104 332 2200 SH SOLE 2200 0 0 ATEA PHARMACEUTICALS INC COM 04683R106 3445 605419 SH SOLE 605419 0 0 ATLAS AIR WORLDWIDE HLDGS IN NOTE 1.875 6/0 049164BJ4 13892 8692 PRN SOLE 8692 0 0 ATLAS CORP SHARES Y0436Q109 695 50000 SH Call SOLE 50000 0 0 ATLAS CORP SHARES Y0436Q109 411 29600 SH SOLE 29600 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 442 58772 SH SOLE 58772 0 0 AURORA ACQUISITION CORP CLASS A ORD SHS G0698L103 2403 242991 SH SOLE 242991 0 0 AUSTERLITZ ACQUISITION CORP W EXP 02/19/202 G0633U127 170 1695575 SH SOLE 1695575 0 0 AVALARA INC NOTE 0.250 8/0 05338GAB2 968 1000 PRN SOLE 1000 0 0 AVALON ACQUISITION INC W EXP 12/31/202 05338E119 25 256406 SH SOLE 256406 0 0 AVROBIO INC COM 05455M100 1759 2738410 SH SOLE 2738410 0 0 AXIOS SUSTAINABLE GRW ACQ CO RIGHT 99/99/9999 G0703K124 33 500000 SH SOLE 500000 0 0 B RILEY PRIN 250 MERGER CORP W EXP 04/01/202 05602L112 27 245465 SH SOLE 245465 0 0 BANNIX ACQUISITION CORP W EXP 07/31/202 066644113 12 300000 SH SOLE 300000 0 0 BANNIX ACQUISITION CORP RIGHT 07/31/2026 066644121 15 300000 SH SOLE 300000 0 0 BARCLAYS BANK PLC IPTH SR B SP 06747R477 1060 50000 SH SOLE 50000 0 0 BARCLAYS BANK PLC IPTH SR B SP 06747R477 2121 100000 SH Call SOLE 100000 0 0 BENESSERE CAPITAL ACQUSTN CO RIGHT 99/99/9999 08179B129 120 885316 SH SOLE 885316 0 0 BGC PARTNERS INC CL A 05541T101 242 77131 SH SOLE 77131 0 0 BLACK DIAMOND THERAPEUTICS I COM 09203E105 1743 1031511 SH SOLE 1031511 0 0 BLACK MOUNTAIN ACQ CORP W EXP 10/15/202 09216A116 2 25000 SH SOLE 25000 0 0 BLACK SPADE ACQUISITION CO W EXP 99/99/999 G11537118 45 388920 SH SOLE 388920 0 0 BLOCKCHAIN MOON ACQUISITN CO RIGHT 10/14/2026 09370F117 96 1619409 SH SOLE 1619409 0 0 BLOCKCHAIN MOON ACQUISITN CO W EXP 10/14/202 09370F125 24 716182 SH SOLE 716182 0 0 BLUE WORLD ACQUISITION CORP W EXP 01/10/202 G1263E136 16 478087 SH SOLE 478087 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 1685 41200 SH SOLE 41200 0 0 BROOKFIELD BUSINESS PARTNERS UNIT LTD L P G16234109 467 23976 SH SOLE 23976 0 0 CARNIVAL CORP COMMON STOCK 143658300 1230 175000 SH Put SOLE 175000 0 0 CARVANA CO CL A 146869102 5633 277500 SH Call SOLE 277500 0 0 CARVANA CO CL A 146869102 2424 119400 SH Put SOLE 119400 0 0 CARVANA CO CL A 146869102 621 30582 SH SOLE 30582 0 0 CC NEUBERGER PRINCIPAL HOLDN W EXP 99/99/999 G1992N126 99 551323 SH SOLE 551323 0 0 CENTERRA GOLD INC COM 152006102 44 10000 SH SOLE 10000 0 0 CF ACQUISITION CORP IV W EXP 12/31/202 12520T110 18 363527 SH SOLE 363527 0 0 CF ACQUISITION CORP VIII W EXP 03/31/202 12520C117 21 298277 SH SOLE 298277 0 0 CF INDS HLDGS INC COM 125269100 4812 50000 SH Call SOLE 50000 0 0 CHATHAM LODGING TR COM 16208T102 493 50000 SH Call SOLE 50000 0 0 CHAVANT CAPITAL ACQUISITN CO W EXP 99/99/999 G2058L111 17 368500 SH SOLE 368500 0 0 CI FINL CORP COM 125491100 20327 1535300 SH Call SOLE 1535300 0 0 CI FINL CORP COM 125491100 29385 3070510 SH SOLE 3070510 0 0 CLEVELAND-CLIFFS INC NEW COM 185899101 2155 160000 SH Call SOLE 160000 0 0 CLEVELAND-CLIFFS INC NEW COM 185899101 11375 844500 SH Put SOLE 844500 0 0 CLEVELAND-CLIFFS INC NEW COM 185899101 135 10000 SH SOLE 10000 0 0 CLOVER LEAF CAPITAL CORP RIGHT 05/31/2028 18915E121 80 1721812 SH SOLE 1721812 0 0 COINBASE GLOBAL INC COM CL A 19260Q107 11415 177000 SH Call SOLE 177000 0 0 COINBASE GLOBAL INC COM CL A 19260Q107 267 4145 SH SOLE 4145 0 0 CONSILIUM ACQUISITN CORP I L W EXP 06/01/202 G2365L119 3 66000 SH SOLE 66000 0 0 COVA ACQUISITION CORP W EXP 02/05/202 G2554Y120 5 210523 SH SOLE 210523 0 0 CRYPTO 1 ACQUISITION CORP W EXP 04/30/202 G3168A110 24 243750 SH SOLE 243750 0 0 CUSHMAN WAKEFIELD PLC SHS G2717B108 664 58000 SH Call SOLE 58000 0 0 DATA KNIGHTS ACQUISITION COR W EXP 11/11/202 237699111 15 335408 SH SOLE 335408 0 0 DEEP MEDICINE ACQUISITION CO RIGHT 09/30/2028 243733110 19 475000 SH SOLE 475000 0 0 DIGITAL WORLD ACQUISITION CO CLASS A COM 25400Q105 3170 188600 SH Put SOLE 188600 0 0 DIRECT SELLING ACQUISITIN CO W EXP 09/30/202 25460L111 8 125000 SH SOLE 125000 0 0 DOORDASH INC CL A 25809K105 8243 166700 SH Call SOLE 166700 0 0 DOORDASH INC CL A 25809K105 3729 75400 SH Put SOLE 75400 0 0 DOORDASH INC CL A 25809K105 5622 113698 SH SOLE 113698 0 0 DRAFTKINGS INC NEW COM CL A 26142V105 1151 76000 SH Call SOLE 76000 0 0 DRAFTKINGS INC NEW COM CL A 26142V105 1136 75000 SH Put SOLE 75000 0 0 DRIVE SHACK INC COM 262077100 221 357124 SH SOLE 357124 0 0 DROPBOX INC NOTE 3/0 26210CAC8 12178 13859 PRN SOLE 13859 0 0 DUKE REALTY CORP COM NEW 264411505 2465 51139 SH SOLE 51139 0 0 DUOLINGO INC CL A COM 26603R106 3202 33626 SH SOLE 33626 0 0 EMERGING MARKETS HORIZON COR W EXP 11/16/202 G3033X121 22 310000 SH SOLE 310000 0 0 ENERGEM CORP W EXP 11/15/202 G30449121 53 527749 SH SOLE 527749 0 0 EQUINOR ASA SPONSORED ADR 29446M102 1656 50000 SH Call SOLE 50000 0 0 EXTERRAN CORP COM 30227H106 1136 273102 SH SOLE 273102 0 0 FAT PROJECTS ACQUISITION COR W EXP 08/31/202 G3400W110 39 771779 SH SOLE 771779 0 0 FIRST HORIZON CORPORATION COM 320517105 1245 54349 SH SOLE 54349 0 0 FLAME ACQUISITION CORP W EXP 02/26/202 33850F116 40 287746 SH SOLE 287746 0 0 FOCUS FINL PARTNERS INC COM CL A 34417P100 725 23000 SH Call SOLE 23000 0 0 FOOT LOCKER INC COM 344849104 249 8000 SH SOLE 8000 0 0 FREEPORT-MCMORAN INC CL B 35671D857 7352 269000 SH Call SOLE 269000 0 0 FREEPORT-MCMORAN INC CL B 35671D857 20429 747500 SH Put SOLE 747500 0 0 FRESHPET INC COM 358039105 1818 36300 SH Call SOLE 36300 0 0 FRESHPET INC COM 358039105 9397 187600 SH Put SOLE 187600 0 0 GALAPAGOS NV SPON ADR 36315X101 235 5500 SH SOLE 5500 0 0 GAMESTOP CORP NEW CL A 36467W109 377 15000 SH Call SOLE 15000 0 0 GAMESTOP CORP NEW CL A 36467W109 298 11875 SH SOLE 11875 0 0 GARDINER HEALTHCARE ACQTS CO W EXP 07/30/202 365506112 25 424800 SH SOLE 424800 0 0 GEMINI THERAPEUTICS INC COM 36870G105 317 193124 SH SOLE 193124 0 0 GIGCAPITAL 5 INC W EXP 03/28/202 37519U117 24 919200 SH SOLE 919200 0 0 GLADSTONE ACQUISITION CORP W EXP 04/01/202 37653T116 23 457825 SH SOLE 457825 0 0 GLOBALINK INVT INC W EXP 12/03/202 37892F125 24 400000 SH SOLE 400000 0 0 GLOBALINK INVT INC RIGHT 12/06/2026 37892F117 49 400000 SH SOLE 400000 0 0 GOAL ACQUISITIONS CORP W EXP 02/11/202 38021H115 56 1362053 SH SOLE 1362053 0 0 GOOD WKS II ACQUISITION CORP W EXP 02/01/202 38216G112 84 381241 SH SOLE 381241 0 0 GORES TECHNOLOGY PARTNERS II W EXP 03/16/202 38287L115 10 60406 SH SOLE 60406 0 0 GREEN VISOR FIN TEC ACQ CORP W EXP 10/27/202 G4166K126 13 218796 SH SOLE 218796 0 0 GREENCITY ACQUISITION CORP W EXP 04/28/202 G4086B123 2 123945 SH SOLE 123945 0 0 HCM ACQUISITION CO W EXP 01/20/202 G4365A127 26 364998 SH SOLE 364998 0 0 HEARTLAND MEDIA ACQUISITION W EXP 99/99/999 42237V116 13 117098 SH SOLE 117098 0 0 HENNESSY CAPITAL INVS CORP V W EXP 01/20/202 42589T115 37 379873 SH SOLE 379873 0 0 HERTZ GLOBAL HLDGS INC W EXP 06/30/205 42806J148 13244 1488111 SH SOLE 1488111 0 0 HORIZON ACQUISITION CORPORAT W EXP 10/19/202 G46044114 277 1988286 SH SOLE 1988286 0 0 HOWARD HUGHES CORP COM 44267D107 222 4000 SH Call SOLE 4000 0 0 INDUSTRIAL HUMAN CAPITAL INC W EXP 11/27/202 45617P112 29 1444240 SH SOLE 1444240 0 0 INNOVATIVE INDL PPTYS INC COM 45781V101 4151 46900 SH Put SOLE 46900 0 0 INSPIRE MED SYS INC COM 457730109 1596 9000 SH Call SOLE 9000 0 0 INSPIRE MED SYS INC COM 457730109 3264 18400 SH Put SOLE 18400 0 0 INSU ACQUISITION CORP III W EXP 12/31/202 457817112 6 154411 SH SOLE 154411 0 0 INTERNATIONAL MEDIA ACQUISIT RIGHT 99/99/9999 459867123 24 400000 SH SOLE 400000 0 0 INTERNATIONAL MEDIA ACQUISIT W EXP 07/21/202 459867115 26 777272 SH SOLE 777272 0 0 INTERPRIVATE II ACQUISITION W EXP 03/09/202 46064Q116 6 100000 SH SOLE 100000 0 0 IROBOT CORP COM 462726100 3031 53800 SH SOLE 53800 0 0 IRONSOURCE LTD CL A ORD SHS M5R75Y101 363 105494 SH SOLE 105494 0 0 ISHARES GOLD TR ISHARES NEW 464285204 7883 250000 SH Call SOLE 250000 0 0 ISHARES INC MSCI CDA ETF 464286509 6152 200000 SH Put SOLE 200000 0 0 ISHARES SILVER TR ISHARES 46428Q109 2188 125000 SH Call SOLE 125000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1488 9022 SH SOLE 9022 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 25713 225000 SH Put SOLE 225000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 20490 200000 SH Call SOLE 200000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 15367 150000 SH Put SOLE 150000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 3569 50000 SH Call SOLE 50000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 5354 75000 SH Put SOLE 75000 0 0 ISHARES TR IBOXX INV CP ETF 464287242 25612 250000 SH Put SOLE 250000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 10753 65200 SH Put SOLE 65200 0 0 ISHARES TR U.S. REAL ES ETF 464287739 4071 50000 SH Put SOLE 50000 0 0 JUPITER ACQUISITION CORP W EXP 08/17/202 482082112 12 113474 SH SOLE 113474 0 0 JUPITER WELLNESS ACQUISITION RIGHT 12/31/2028 48208E116 55 666100 SH SOLE 666100 0 0 KODIAK SCIENCES INC COM 50015M109 3624 468275 SH SOLE 468275 0 0 LAKESHORE ACQUISITION I CORP W EXP 07/15/202 G53521111 44 265780 SH SOLE 265780 0 0 LENNAR CORP CL A 526057104 1126 15100 SH Put SOLE 15100 0 0 LHC GROUP INC COM 50187A107 736 4500 SH SOLE 4500 0 0 LIONHEART III CORP W EXP 11/09/202 536262116 13 222628 SH SOLE 222628 0 0 LIV CAPITAL ACQUISITN CORP I W EXP 02/07/202 G5510R113 31 282790 SH SOLE 282790 0 0 LUCID GROUP INC COM 549498103 521 37286 SH SOLE 37286 0 0 LUMOS PHARMA INC COM 55028X109 494 55866 SH SOLE 55866 0 0 LYFT INC NOTE 1.500 5/1 55087PAB0 1710 2000 PRN SOLE 2000 0 0 M3 BRIGADE ACQUISITION III W EXP 07/31/202 55407R111 11 184626 SH SOLE 184626 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 2725 266148 SH SOLE 266148 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 1800 175800 SH Call SOLE 175800 0 0 MALIBU BOATS INC COM CL A 56117J100 3604 75100 SH Put SOLE 75100 0 0 MANA CAP ACQUISITION CORP W EXP 12/01/202 56168P120 12 92500 SH SOLE 92500 0 0 MARATHON PETE CORP COM 56585A102 4470 45000 SH Call SOLE 45000 0 0 MARINEMAX INC COM 567908108 298 10000 SH Call SOLE 10000 0 0 MAXPRO CAPITAL ACQUISITN COR W EXP 09/27/202 57778T114 38 325000 SH SOLE 325000 0 0 MCLAREN TECHNOLOGY ACQ CORP W EXP 11/01/202 58176U117 8 125000 SH SOLE 125000 0 0 MODEL PERFORMANCE ACQU CORP RIGHT 04/29/2026 G6246M121 23 244800 SH SOLE 244800 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 3935 45256 SH SOLE 45256 0 0 MONTEREY BIO ACQUISITION COR W EXP 10/05/202 61240F116 19 400000 SH SOLE 400000 0 0 MOUNT RAINIER ACQUISITION CO W EXP 11/27/202 623006111 75 499990 SH SOLE 499990 0 0 MOUNTAIN CREST ACQSITN CORP RIGHT 08/30/2022 62404B115 149 993400 SH SOLE 993400 0 0 MOUNTAIN CREST ACQSTN CORP I RIGHT 05/14/2026 62402U115 30 593178 SH SOLE 593178 0 0 MOUNTAIN CREST ACQUSITN CRP RIGHT 06/29/2026 62403K116 119 701249 SH SOLE 701249 0 0 MR COOPER GROUP INC COM 62482R107 23264 574409 SH SOLE 574409 0 0 MR COOPER GROUP INC COM 62482R107 2880 71100 SH Call SOLE 71100 0 0 NEVRO CORP COM 64157F103 559 12000 SH Call SOLE 12000 0 0 NEVRO CORP COM 64157F103 2950 63300 SH Put SOLE 63300 0 0 NEWMARK GROUP INC CL A 65158N102 13140 1630260 SH SOLE 1630260 0 0 NEXTCURE INC COM 65343E108 4186 1581311 SH SOLE 1581311 0 0 NOCTURNE ACQUISITION CORP RIGHT 12/26/2025 G6580S106 42 949931 SH SOLE 949931 0 0 NORTHERN STAR INVEST CORP IV W EXP 02/25/202 66575B119 3 57937 SH SOLE 57937 0 0 NORTHERN STAR INVSTMNT CORP W EXP 01/31/202 66573W115 3 85804 SH SOLE 85804 0 0 NORTHVIEW ACQUISITION CORP W EXP 08/02/202 66718N111 11 197000 SH SOLE 197000 0 0 NOVA VISION ACQUISITION CORP RIGHT 12/23/2023 G6759A134 27 270000 SH SOLE 270000 0 0 NOVA VISION ACQUISITION CORP W EXP 12/31/202 G6759A118 4 270000 SH SOLE 270000 0 0 OPENDOOR TECHNOLOGIES INC COM 683712103 311 100000 SH Put SOLE 100000 0 0 OVERSTOCK COM INC DEL COM 690370101 511 21000 SH Call SOLE 21000 0 0 OVERSTOCK COM INC DEL COM 690370101 755 31000 SH Put SOLE 31000 0 0 PACIFICO ACQUISITION CORP RIGHT 07/15/2026 69512X111 119 476770 SH SOLE 476770 0 0 PAGERDUTY INC NOTE 1.250 7/0 69553PAB6 5739 6000 PRN SOLE 6000 0 0 PAGERDUTY INC COM 69553P100 346 15000 SH Call SOLE 15000 0 0 PARSEC CAPITAL ACQUISITION W EXP 10/05/202 70184A116 9 300000 SH SOLE 300000 0 0 PASITHEA THERAPEUTICS CORP COM 70261F103 620 491797 SH SOLE 491797 0 0 PEBBLEBROOK HOTEL TR NOTE 1.75012/1 70509VAA8 5447 6300 PRN SOLE 6300 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 868 125300 SH Call SOLE 125300 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 4420 637800 SH Put SOLE 637800 0 0 PENNYMAC FINL SVCS INC NEW COM 70932M107 7149 166645 SH SOLE 166645 0 0 PENNYMAC MTG INVT TR COM 70931T103 15736 1335843 SH SOLE 1335843 0 0 PHARMACYTE BIOTECH INC COM NEW 71715X203 1467 611163 SH SOLE 611163 0 0 PHOENIX BIOTECH ACQUISITION W EXP 09/01/202 71902K113 6 75000 SH SOLE 75000 0 0 PING IDENTITY HLDG CORP COM 72341T103 250 8900 SH SOLE 8900 0 0 PIVOTAL INVESTMENT CORP III W EXP 01/28/202 72582M114 0 11474 SH SOLE 11474 0 0 PROSHARES TR BITCOIN STRATE 74347G440 599 50000 SH Put SOLE 50000 0 0 RANGE RES CORP COM 75281A109 253 10000 SH Call SOLE 10000 0 0 REDWOOD TR INC COM 758075402 663 115500 SH SOLE 115500 0 0 RENT THE RUNWAY INC COM CL A 76010Y103 33 15000 SH Call SOLE 15000 0 0 REVOLVE GROUP INC CL A 76156B107 2928 134990 SH SOLE 134990 0 0 REVOLVE GROUP INC CL A 76156B107 429 19800 SH Call SOLE 19800 0 0 RINGCENTRAL INC CL A 76680R206 739 18500 SH SOLE 18500 0 0 RINGCENTRAL INC NOTE 3/0 76680RAF4 6596 7799 PRN SOLE 7799 0 0 RIVIAN AUTOMOTIVE INC COM CL A 76954A103 19591 595293 SH SOLE 595293 0 0 RIVIAN AUTOMOTIVE INC COM CL A 76954A103 1929 58600 SH Call SOLE 58600 0 0 ROC ENERGY ACQUISITION CORP RIGHT 11/30/2028 77118V116 48 800000 SH SOLE 800000 0 0 ROSE HILL ACQUISITION CORP W EXP 10/07/202 G7637J123 6 100000 SH SOLE 100000 0 0 ROTH CH ACQUISITION IV CO W EXP 07/01/202 77867P112 82 821145 SH SOLE 821145 0 0 ROTH CH ACQUISITION V CO W EXP 12/10/202 77867R118 34 336819 SH SOLE 336819 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 3411 90000 SH Call SOLE 90000 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 1137 30000 SH Put SOLE 30000 0 0 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 17252 1835316 SH SOLE 1835316 0 0 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 429 45600 SH Put SOLE 45600 0 0 SANABY HEALTH ACQUISITION CO W EXP 07/30/202 79956P110 6 125000 SH SOLE 125000 0 0 SEAPORT CALIBRE MATLS ACQUIS W EXP 10/28/202 812204113 19 193450 SH SOLE 193450 0 0 SEMTECH CORP COM 816850101 786 26718 SH SOLE 26718 0 0 SERITAGE GROWTH PPTYS CL A 81752R100 5592 620000 SH SOLE 620000 0 0 SERITAGE GROWTH PPTYS CL A 81752R100 2838 314600 SH Call SOLE 314600 0 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 7374 303200 SH SOLE 303200 0 0 SIERRA WIRELESS INC COM 826516106 2005 65869 SH SOLE 65869 0 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 2226 34150 SH SOLE 34150 0 0 SILVERBACK THERAPEUTICS INC COM 82835W108 16890 3247533 SH SOLE 3247533 0 0 SOFI TECHNOLOGIES INC COM 83406F102 73 15000 SH SOLE 15000 0 0 SOLID BIOSCIENCES INC COM 83422E105 2478 5561236 SH SOLE 5561236 0 0 SOLITARIO ZINC CORP COM 8342EP107 459 930000 SH SOLE 930000 0 0 SONOS INC COM 83570H108 139 10000 SH SOLE 10000 0 0 SOUTH JERSEY INDS INC COM 838518108 1777 53176 SH SOLE 53176 0 0 SPDR GOLD TR GOLD SHS 78463V107 3093 20000 SH Put SOLE 20000 0 0 SPDR SP 500 ETF TR TR UNIT 78462F103 53577 150000 SH Call SOLE 150000 0 0 SPDR SP 500 ETF TR TR UNIT 78462F103 39290 110000 SH Put SOLE 110000 0 0 SPIRIT AIRLS INC COM 848577102 1692 89902 SH SOLE 89902 0 0 SPK AQUISITION CORP RIGHT 05/13/2026 848651113 121 1213977 SH SOLE 1213977 0 0 SPLUNK INC NOTE 0.500 9/1 848637AC8 11464 12057 PRN SOLE 12057 0 0 SPLUNK INC COM 848637104 752 10000 SH Call SOLE 10000 0 0 SPORTSMAP TECH ACQUISITIN CO W EXP 09/01/202 84921J116 39 375000 SH SOLE 375000 0 0 SPOTIFY USA INC NOTE 3/1 84921RAB6 7936 10000 PRN SOLE 10000 0 0 STEEL DYNAMICS INC COM 858119100 709 10000 SH Call SOLE 10000 0 0 SUMMIT HOTEL PPTYS NOTE 1.500 2/1 866082AA8 7043 8375 PRN SOLE 8375 0 0 SUNCOR ENERGY INC NEW COM 867224107 1864 66211 SH SOLE 66211 0 0 SUNSTONE HOTEL INVS INC NEW COM 867892101 94 10000 SH SOLE 10000 0 0 SWITCH INC CL A 87105L104 4136 122753 SH SOLE 122753 0 0 TCR2 THERAPEUTICS INC COM 87808K106 3420 1899824 SH SOLE 1899824 0 0 THE TRADE DESK INC COM CL A 88339J105 3347 56012 SH SOLE 56012 0 0 THE VALENS COMPANY INC COM NEW 91914P603 151 224700 SH SOLE 224700 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 1304 29682 SH SOLE 29682 0 0 TRADEUP ACQUISITION CORP W EXP 10/15/202 89268A115 10 143947 SH SOLE 143947 0 0 TRIPADVISOR INC NOTE 0.250 4/0 896945AD4 5279 6500 PRN SOLE 6500 0 0 TRISTAR ACQUISITION I CORP W EXP 99/99/999 G9074V114 9 181857 SH SOLE 181857 0 0 TUSCAN HLDGS CORP II COM 90070A103 2095 201590 SH SOLE 201590 0 0 TUSCAN HLDGS CORP II W EXP 04/01/202 90070A111 42 564472 SH SOLE 564472 0 0 TWITTER INC NOTE 3/1 90184LAN2 14737 16000 PRN SOLE 16000 0 0 TWITTER INC NOTE 0.250 6/1 90184LAF9 7955 7800 PRN SOLE 7800 0 0 TWO HBRS INVT CORP COM NEW 90187B408 4497 1354409 SH SOLE 1354409 0 0 UBER TECHNOLOGIES INC NOTE 12/1 90353TAJ9 3314 4000 PRN SOLE 4000 0 0 UNITED STATES STL CORP NEW COM 912909108 997 55000 SH SOLE 55000 0 0 UNITED STATES STL CORP NEW COM 912909108 1812 100000 SH Call SOLE 100000 0 0 UNITED STATES STL CORP NEW COM 912909108 9558 527500 SH Put SOLE 527500 0 0 VANECK ETF TRUST SEMICONDUCTR ETF 92189F676 8793 47500 SH Put SOLE 47500 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 188 39944 SH SOLE 39944 0 0 VISION SENSING ACQUISITION C W EXP 10/21/202 92838J111 4 75075 SH SOLE 75075 0 0 VIVEON HEALTH ACQUISITION CO W EXP 99/99/999 92853V114 100 1121579 SH SOLE 1121579 0 0 VIVEON HEALTH ACQUISITION CO RIGHT 12/31/2025 92853V122 147 1223951 SH SOLE 1223951 0 0 VIZSLA SILVER CORP COM NEW 92859G202 415 360700 SH SOLE 360700 0 0 VMWARE INC CL A COM 928563402 1847 17348 SH SOLE 17348 0 0 WAG GROUP CO COMMON STOCK 93042P109 62 60000 SH SOLE 60000 0 0 WAYFAIR INC CL A 94419L101 3034 93209 SH SOLE 93209 0 0 WAYFAIR INC NOTE 1.12511/0 94419LAD3 4236 5000 PRN SOLE 5000 0 0 WAYFAIR INC CL A 94419L101 4134 127000 SH Call SOLE 127000 0 0 WESTROCK COFFEE CO COM 96145W103 484 93750 SH SOLE 93750 0 0 WINGSTOP INC COM 974155103 1254 10000 SH Call SOLE 10000 0 0 WINGSTOP INC COM 974155103 3763 30000 SH Put SOLE 30000 0 0 WINVEST ACQUISITION CORP RIGHT 99/99/9999 97655B125 22 680792 SH SOLE 680792 0 0 WINVEST ACQUISITION CORP W EXP 08/09/202 97655B117 39 650000 SH SOLE 650000 0 0 WISDOMTREE INVTS INC NOTE 4.250 6/1 97717PAB0 7359 7250 PRN SOLE 7250 0 0 WORLD ACCEP CORPORATION COM 981419104 950 9808 SH SOLE 9808 0 0 WORLD WRESTLING ENTMT INC CL A 98156Q108 288 4100 SH Call SOLE 4100 0 0 YAMANA GOLD INC COM 98462Y100 942 207940 SH SOLE 207940 0 0 ZENDESK INC NOTE 0.625 6/1 98936JAD3 10324 10500 PRN SOLE 10500 0 0