X0306 4 2019-01-04 0 0001708410 SIMPLICITY ESPORTS & GAMING Co SMSH 0001461790 K2 PRINCIPAL FUND, L.P. 2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2 ONTARIO, CANADA 0 0 1 0 0001489957 K2 GENPAR LP 2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2 ONTARIO, CANADA 0 0 1 0 0001489956 K2 GENPAR 2009 INC 2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2 ONTARIO, CANADA 0 0 1 0 0001462150 Shawn Kimel Investments, Inc. 2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2 ONTARIO, CANADA 0 0 1 0 0001462151 K2 & Associates Investment Management Inc. 2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2 ONTARIO, CANADA 0 0 1 0 0001462149 Kimel Shawn 2 BLOOR STREET WEST SUITE 801 TORONTO A6 M4W 3E2 ONTARIO, CANADA 0 0 1 0 Forward Sale Agreement (obligation to sell) 2019-01-04 4 S 0 13599 2.4122 D 2019-01-18 2019-01-18 Common Stock 13599 194351 D Forward Sale Agreement (obligation to sell) 2019-01-07 4 S 0 935 2.05 D 2019-01-18 2019-01-18 Common Stock 935 193416 D Pursuant to a forward sale agreement between the Reporting Person and the issuer, as amended, the Reporting Person will be obligated to sell 220,000 shares (the "Original Shares") to the issuer on behalf of K2 on January 18, 2019 unless such Original Shares are sold by the Reporting Person prior to such date. The prices at which the Reporting Person will be obligated to sell any remaining shares of the Original Shares to the issuer on January 18, 2019 are as follows: (i) first, $6.00 per remaining share up to 20% of the Original Shares; (ii) then, $5.00 per remaining share up to 20% of the Original Shares; (iii) then, $4.00 per remaining share up to 20% of the Original Shares; (iv) then, $3.00 per remaining share up to 20% of the Original Shares; and (v) then, $2.00 per remaining share up to 20% of the Original Shares. /s/ Daniel Gosselin, President, The K2 Principal Fund L.P. 2019-01-07 /s/ Daniel Gosselin, President, K2 Genpar L.P 2019-01-07 /s/ Daniel Gosselin, President, K2 Genpar 2009 Inc. 2019-01-07 /s/ Daniel Gosselin, President, Shawl Kimel Investments Inc. 2019-01-07 /s/ Daniel Gosselin, President, K2 & Associates Investment Management Inc. 2019-01-07 /s/ Daniel Gosselin, in his individual capacity 2019-01-07