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
President
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 A
02079K305
339
400
SH
Call
SOLE
400
0
0
ALPHABET INC
CAP STK CL A
02079K305
10428
12300
SH
Call
SOLE
12300
0
0
ALPHABET INC
CAP STK CL A
02079K305
19754
23300
SH
Call
SOLE
23300
0
0
ALPHABET INC
CAP STK CL A
02079K305
5935
7000
SH
Put
SOLE
7000
0
0
ALPHABET INC
CAP STK CL A
02079K305
4239
5000
SH
Put
SOLE
5000
0
0
ALPHABET INC
CAP STK CL A
02079K305
22636
26700
SH
SOLE
26700
0
0
ALTERYX INC
COM CL A
02156B103
1329
85000
SH
SOLE
85000
0
0
AMAZON COM INC
COM
023135106
2124
2396
SH
SOLE
2396
0
0
AMBARELLA INC
SHS
G037AX101
1094
20000
SH
Call
SOLE
20000
0
0
AMBARELLA INC
SHS
G037AX101
1518
27750
SH
SOLE
27750
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
888
21000
SH
Call
SOLE
21000
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
1625
38416
SH
SOLE
38416
0
0
AMERICAN AXLE AND MFG HLDGS IN
COM
024061103
413
22000
SH
Put
SOLE
22000
0
0
ANDINA ACQUISITION CORP II
SHS
G0441P104
426
42349
SH
SOLE
42349
0
0
ARALEZ PHARMACEUTICALS INC
COM
03852X100
62
29060
SH
SOLE
29060
0
0
ARBUTUS BIOPHARMA CORP
COM
03879J100
1391
427967
SH
SOLE
427967
0
0
AT&T INC
COM
00206R102
7687
185000
SH
Put
SOLE
185000
0
0
AT&T INC
COM
00206R102
1039
25000
SH
Put
SOLE
25000
0
0
AT&T INC
COM
00206R102
1845
44400
SH
Put
SOLE
44400
0
0
AT&T INC
COM
00206R102
4155
100000
SH
Put
SOLE
100000
0
0
AT&T INC
COM
00206R102
2389
57500
SH
Put
SOLE
57500
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
175
350000
SH
SOLE
350000
0
0
B/E AEROSPACE INC
COM
073302101
2051
31999
SH
SOLE
31999
0
0
B2GOLD CORP
NOTE 3.25010/0
11777QAB6
13936
13000
PRN
SOLE
13000
0
0
BAKER HUGHES INC
COM
057224107
2417
40400
SH
Put
SOLE
40400
0
0
BANK AMER CORP
COM
060505104
590
25000
SH
Call
SOLE
25000
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
623
3738
SH
SOLE
3738
0
0
BGC PARTNERS INC
CL A
05541T101
943
83002
SH
SOLE
83002
0
0
BIOGEN INC
COM
09062X103
1203
4400
SH
SOLE
4400
0
0
BLACK KNIGHT FINL SVCS INC
CL A
09214X100
613
16000
SH
Put
SOLE
16000
0
0
BLACKROCK INC
COM
09247X101
575
1500
SH
SOLE
1500
0
0
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
906
30500
SH
Call
SOLE
30500
0
0
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
965
32500
SH
Call
SOLE
32500
0
0
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
1734
58400
SH
Call
SOLE
58400
0
0
BLOCK H AND R INC
COM
093671105
1163
50000
SH
Put
SOLE
50000
0
0
BOYD GAMING CORP
COM
103304101
616
28000
SH
SOLE
28000
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
1631
30000
SH
Call
SOLE
30000
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
13203
242800
SH
Call
SOLE
242800
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
5438
100000
SH
Put
SOLE
100000
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
12263
225500
SH
SOLE
225500
0
0
BROADCOM LTD
SHS
Y09827109
1752
8000
SH
Put
SOLE
8000
0
0
BROCADE COMMUNICATIONS SYS I
NOTE 1.375 1/0
111621AQ1
11686
11533
PRN
SOLE
11533
0
0
CABLE ONE INC
COM
12685J105
1561
2500
SH
SOLE
2500
0
0
CARDINAL HEALTH INC
COM
14149Y108
1655
20300
SH
Call
SOLE
20300
0
0
CBS CORP NEW
CL B
124857202
3121
45000
SH
Put
SOLE
45000
0
0
CEB INC
COM
125134106
1029
13087
SH
SOLE
13087
0
0
CELGENE CORP
COM
151020104
373
3000
SH
Put
SOLE
3000
0
0
CELGENE CORP
COM
151020104
892
7165
SH
SOLE
7165
0
0
CENTENNIAL RESOURCE DEV INC
CL A
15136A102
456
25000
SH
Put
SOLE
25000
0
0
CENTENNIAL RESOURCE DEV INC
CL A
15136A102
8011
439429
SH
SOLE
439429
0
0
CENTURYLINK INC
COM
156700106
567
24042
SH
SOLE
24042
0
0
CF CORP
SHS CL A
G20307107
4004
400000
SH
SOLE
400000
0
0
CF CORP
UNIT 99/99/9999E
G20307123
225
21000
SH
SOLE
21000
0
0
CF CORP
*W EXP 05/25/202
G20307115
268
200000
SH
SOLE
200000
0
0
CF INDS HLDGS INC
COM
125269100
1321
45000
SH
Put
SOLE
45000
0
0
CHECK POINT SOFTWARE TECH LT
ORD
M22465104
308
3000
SH
Put
SOLE
3000
0
0
CHECK POINT SOFTWARE TECH LT
ORD
M22465104
997
9707
SH
SOLE
9707
0
0
CINTAS CORP
COM
172908105
2721
21500
SH
SOLE
21500
0
0
CITIGROUP INC
COM NEW
172967424
8076
135000
SH
SOLE
135000
0
0
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
3869
65000
SH
SOLE
65000
0
0
COLONY NORTHSTAR INC
CL A COM
19625W104
1281
99246
SH
SOLE
99246
0
0
CONTINENTAL RESOURCES INC
COM
212015101
2271
50000
SH
SOLE
50000
0
0
CONYERS PK ACQUISITION
CL A COM
212894109
1575
150000
SH
SOLE
150000
0
0
CONYERS PK ACQUISITION
*W EXP 07/20/202
212894117
103
50000
SH
SOLE
50000
0
0
CREDIT ACCEP CORP MICH
COM
225310101
798
4000
SH
Put
SOLE
4000
0
0
CREDIT ACCEP CORP MICH
COM
225310101
1196
6000
SH
Put
SOLE
6000
0
0
CREDIT ACCEP CORP MICH
COM
225310101
399
2000
SH
Put
SOLE
2000
0
0
CSRA INC
COM
12650T104
732
25000
SH
Call
SOLE
25000
0
0
CSRA INC
COM
12650T104
5618
191800
SH
SOLE
191800
0
0
CST BRANDS INC
COM
12646R105
2518
52351
SH
SOLE
52351
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
1032
75000
SH
Call
SOLE
75000
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
1465
106500
SH
Call
SOLE
106500
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
927
67400
SH
Call
SOLE
67400
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
7810
567555
SH
SOLE
567555
0
0
D R HORTON INC
COM
23331A109
333
10000
SH
Put
SOLE
10000
0
0
DELL TECHNOLOGIES INC
COM CL V
24703L103
7311
114096
SH
SOLE
114096
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
1221
26566
SH
SOLE
26566
0
0
DELTIC TIMBER CORP
COM
247850100
272
3477
SH
SOLE
3477
0
0
DEPOMED INC
COM
249908104
630
50200
SH
SOLE
50200
0
0
DEUTSCHE BANK AG
NAMEN AKT
D18190898
515
30000
SH
Put
SOLE
30000
0
0
DEUTSCHE BK AG
RIGHT 04/06/2017
D1T769565
142
60000
SH
SOLE
60000
0
0
DIEBOLD NXDF INC
COM
253651103
2303
75000
SH
Call
SOLE
75000
0
0
DIEBOLD NXDF INC
COM
253651103
6866
223663
SH
SOLE
223663
0
0
DIGITALGLOBE INC
COM NEW
25389M877
3607
110123
SH
SOLE
110123
0
0
DIREXION SHS ETF TR
DAILY GOLD MINER
25490K133
935
30100
SH
Put
SOLE
30100
0
0
DISCOVERY COMMUNICATNS NEW
COM SER A
25470F104
815
28000
SH
SOLE
28000
0
0
DISNEY WALT CO
COM DISNEY
254687106
1701
15000
SH
Put
SOLE
15000
0
0
DOLLAR TREE INC
COM
256746108
863
11000
SH
Call
SOLE
11000
0
0
DOLLAR TREE INC
COM
256746108
863
11000
SH
Call
SOLE
11000
0
0
DOLLAR TREE INC
COM
256746108
300
3825
SH
SOLE
3825
0
0
DOMINION DIAMOND CORP
COM
257287102
31477
2588550
SH
SOLE
2588550
0
0
DOUBLE EAGLE ACQUISITION COR
COM
G28195124
3055
305451
SH
SOLE
305451
0
0
DOUBLE EAGLE ACQUISITION COR
*W EXP 09/16/202
G28195116
165
294917
SH
SOLE
294917
0
0
ECOPETROL S A
SPONSORED ADS
279158109
466
50000
SH
Call
SOLE
50000
0
0
ECOPETROL S A
SPONSORED ADS
279158109
238
25500
SH
Put
SOLE
25500
0
0
ECOPETROL S A
SPONSORED ADS
279158109
303
32500
SH
Put
SOLE
32500
0
0
EDGEWATER TECHNOLOGY INC
COM
280358102
743
99738
SH
SOLE
99738
0
0
ELECTRUM SPL ACQUISITION COR
SHS
G3105C104
3402
342907
SH
SOLE
342907
0
0
ELECTRUM SPL ACQUISITION COR
*W EXP 99/99/999
G3105C112
299
665000
SH
SOLE
665000
0
0
ENPHASE ENERGY INC
COM
29355A107
106
77320
SH
SOLE
77320
0
0
ENTERCOM COMMUNICATIONS CORP
CL A
293639100
568
39688
SH
SOLE
39688
0
0
ETF MANAGERS TR
PUREFUNDS ISE CY
26924G201
6435
218000
SH
Put
SOLE
218000
0
0
ETF MANAGERS TR
PUREFUNDS ISE CY
26924G201
5166
175000
SH
Put
SOLE
175000
0
0
EXAR CORP
COM
300645108
651
50000
SH
SOLE
50000
0
0
FAIRMOUNT SANTROL HLDGS INC
COM
30555Q108
2789
380527
SH
SOLE
380527
0
0
FAIRPOINT COMMUNICATIONS INC
COM NEW
305560302
544
32800
SH
SOLE
32800
0
0
FELCOR LODGING TR INC
COM
31430F101
1491
198489
SH
SOLE
198489
0
0
FIDELITY NATIONAL FINANCIAL
FNF GROUP COM
31620R303
1141
29300
SH
SOLE
29300
0
0
FINTECH ACQUISITION CORP II
COM
31810G109
4925
500000
SH
SOLE
500000
0
0
FINTECH ACQUISITION CORP II
*W EXP 01/19/202
31810G117
288
250000
SH
SOLE
250000
0
0
FIREEYE INC
COM
31816Q101
3783
300000
SH
Call
SOLE
300000
0
0
FIREEYE INC
COM
31816Q101
1892
150000
SH
Call
SOLE
150000
0
0
FIREEYE INC
COM
31816Q101
1765
140000
SH
SOLE
140000
0
0
FORD MTR CO DEL
COM PAR $0.01
345370860
547
47000
SH
Call
SOLE
47000
0
0
FORESTAR GROUP INC
COM
346233109
385
28170
SH
SOLE
28170
0
0
FORTUNA SILVER MINES INC
COM
349915108
884
170000
SH
SOLE
170000
0
0
FOSSIL GROUP INC
COM
34988V106
262
15000
SH
Put
SOLE
15000
0
0
FOSSIL GROUP INC
COM
34988V106
243
13900
SH
Put
SOLE
13900
0
0
GAS NAT INC
COM
367204104
5315
418520
SH
SOLE
418520
0
0
GASTAR EXPL INC NEW
COM
36729W202
3874
2515441
SH
SOLE
2515441
0
0
GENERAL MLS INC
COM
370334104
590
10000
SH
Call
SOLE
10000
0
0
GENERAL MLS INC
COM
370334104
354
6000
SH
Call
SOLE
6000
0
0
GIGPEAK INC
COM
37518Q109
71
22954
SH
SOLE
22954
0
0
GOLAR LNG LTD BERMUDA
SHS
G9456A100
1397
50000
SH
SOLE
50000
0
0
GORES HLDGS II INC
UNIT 99/99/9999
382867208
6669
650000
SH
SOLE
650000
0
0
GP INVTS ACQUISITION COR
SHS
G40357124
2975
298700
SH
SOLE
298700
0
0
GP INVTS ACQUISITION COR
*W EXP 05/19/202
G40357108
48
120250
SH
SOLE
120250
0
0
GTY TECHNOLOGY HOLDINGS INC
CL A
G4182A102
3754
377259
SH
SOLE
377259
0
0
GTY TECHNOLOGY HOLDINGS INC
*W EXP 99/99/999
G4182A128
141
125753
SH
SOLE
125753
0
0
GUESS INC
COM
401617105
234
21000
SH
SOLE
21000
0
0
HARMONY MERGER CORP
COM
413247107
15315
1500000
SH
SOLE
1500000
0
0
HARMONY MERGER CORP
*W EXP 01/01/202
413247123
624
1247449
SH
SOLE
1247449
0
0
HEADWATERS INC
COM
42210P102
2760
117531
SH
SOLE
117531
0
0
HEICO CORP NEW
CL A
422806208
1920
25603
SH
SOLE
25603
0
0
HERITAGE OAKS BANCORP
COM
42724R107
572
42812
SH
SOLE
42812
0
0
HILTON WORLDWIDE HLDGS INC
COM
43300A203
374
6400
SH
SOLE
6400
0
0
HORIZON PHARMA INVT LTD
NOTE 2.500 3/1
44052TAB7
1846
2000
PRN
SOLE
2000
0
0
HORMEL FOODS CORP
COM
440452100
2902
83800
SH
SOLE
83800
0
0
HOSTESS BRANDS INC
*W EXP 11/04/202
44109J114
508
180000
SH
SOLE
180000
0
0
HRG GROUP INC
COM
40434J100
203
10500
SH
SOLE
10500
0
0
IAMGOLD CORP
COM
450913108
58
14394
SH
SOLE
14394
0
0
IHS MARKIT LTD
SHS
G47567105
1049
25000
SH
SOLE
25000
0
0
INCYTE CORP
COM
45337C102
3449
25800
SH
Call
SOLE
25800
0
0
INDEPENDENCE RLTY TR INC
COM
45378A106
480
51200
SH
SOLE
51200
0
0
INTERNATIONAL GAME TECHNOLOG
SHS USD
G4863A108
813
34300
SH
Put
SOLE
34300
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
3450
200000
SH
Put
SOLE
200000
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
8706
504700
SH
Put
SOLE
504700
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
1294
75000
SH
Put
SOLE
75000
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
1489
86300
SH
SOLE
86300
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
591
15000
SH
Put
SOLE
15000
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
17185
125000
SH
Put
SOLE
125000
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
1031
7500
SH
SOLE
7500
0
0
ISHARES TR
U.S. TELECOM ETF
464287713
1132
35000
SH
Put
SOLE
35000
0
0
ISLE OF CAPRI CASINOS INC
COM
464592104
3550
134689
SH
SOLE
134689
0
0
JANUS CAP GROUP INC
COM
47102X105
251
19000
SH
SOLE
19000
0
0
JPMORGAN CHASE AND CO
COM
46625H100
5575
63467
SH
SOLE
63467
0
0
KAPSTONE PAPER AND PACKAGING C
COM
48562P103
2079
90000
SH
SOLE
90000
0
0
KAYNE ANDERSON ACQUISITION
UNIT 06/30/2022
48661U201
20040
2000000
SH
SOLE
2000000
0
0
KCG HLDGS INC
CL A
48244B100
509
28551
SH
SOLE
28551
0
0
KLR ENERGY ACQUISITION CORP
CL A
49877M108
4990
483117
SH
SOLE
483117
0
0
KLR ENERGY ACQUISITION CORP
*W EXP 09/16/202
49877M116
632
535581
SH
SOLE
535581
0
0
KRAFT HEINZ CO
COM
500754106
1317
14507
SH
SOLE
14507
0
0
KROGER CO
COM
501044101
737
25000
SH
Call
SOLE
25000
0
0
KROGER CO
COM
501044101
944
32000
SH
Call
SOLE
32000
0
0
KROGER CO
COM
501044101
737
25000
SH
Call
SOLE
25000
0
0
KROGER CO
COM
501044101
480
16267
SH
SOLE
16267
0
0
L BRANDS INC
COM
501797104
236
5000
SH
Put
SOLE
5000
0
0
L BRANDS INC
COM
501797104
942
20000
SH
Put
SOLE
20000
0
0
L BRANDS INC
COM
501797104
471
10000
SH
Put
SOLE
10000
0
0
LANDCADIA HLDGS INC
CL A
51476W107
2493
250000
SH
SOLE
250000
0
0
LANDCADIA HLDGS INC
*W EXP 06/01/202
51476W115
170
250000
SH
SOLE
250000
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
4896
85558
SH
SOLE
85558
0
0
LIBERTY GLOBAL PLC
SHS CL A
G5480U104
1108
30900
SH
SOLE
30900
0
0
LIBERTY MEDIA CORP DELAWARE
COM A SIRIUSXM
531229409
1081
27774
SH
SOLE
27774
0
0
LIFETIME BRANDS INC
COM
53222Q103
612
30451
SH
SOLE
30451
0
0
LIONS GATE ENTMNT CORP
CL B NON VTG
535919500
244
10000
SH
SOLE
10000
0
0
LMI AEROSPACE INC
COM
502079106
207
15000
SH
SOLE
15000
0
0
LOUISIANA PAC CORP
COM
546347105
4964
200000
SH
SOLE
200000
0
0
LOWES COS INC
COM
548661107
2384
29000
SH
Call
SOLE
29000
0
0
M I ACQUISITIONS INC
COM
55304A104
4053
402464
SH
SOLE
402464
0
0
M I ACQUISITIONS INC
*W EXP 99/99/999
55304A112
128
400000
SH
SOLE
400000
0
0
M III ACQUISITION CORP
COM
55378T104
1808
184500
SH
SOLE
184500
0
0
M III ACQUISITION CORP
*W EXP 10/10/202
55378T112
61
179500
SH
SOLE
179500
0
0
MACERICH CO
COM
554382101
882
13700
SH
Put
SOLE
13700
0
0
MACERICH CO
COM
554382101
1288
20000
SH
Put
SOLE
20000
0
0
MACYS INC
COM
55616P104
744
25100
SH
Call
SOLE
25100
0
0
MACYS INC
COM
55616P104
1574
53100
SH
Call
SOLE
53100
0
0
MACYS INC
COM
55616P104
593
20000
SH
Call
SOLE
20000
0
0
MARATHON OIL CORP
COM
565849106
316
20000
SH
Put
SOLE
20000
0
0
MARATHON OIL CORP
COM
565849106
632
40000
SH
Put
SOLE
40000
0
0
MARATHON OIL CORP
COM
565849106
1901
120300
SH
Put
SOLE
120300
0
0
MARATHON OIL CORP
COM
565849106
610
38600
SH
Put
SOLE
38600
0
0
MARATHON OIL CORP
COM
565849106
461
29200
SH
Put
SOLE
29200
0
0
MATLIN AND PARTNERS ACQUISITIO
UNIT 05/28/2021A
57682V205
4008
400000
SH
SOLE
400000
0
0
MAXIM INTEGRATED PRODS INC
COM
57772K101
4496
100000
SH
Call
SOLE
100000
0
0
MAXIM INTEGRATED PRODS INC
COM
57772K101
4046
90000
SH
SOLE
90000
0
0
MEAD JOHNSON NUTRITION CO
COM
582839106
6236
70000
SH
SOLE
70000
0
0
METALDYNE PERFORMANCE GROUP
COM
59116R107
2694
117916
SH
SOLE
117916
0
0
MICROSOFT CORP
COM
594918104
5459
82881
SH
SOLE
82881
0
0
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
5226
85121
SH
SOLE
85121
0
0
MONDELEZ INTL INC
CL A
609207105
1331
30900
SH
SOLE
30900
0
0
MONSANTO CO NEW
COM
61166W101
4631
40908
SH
SOLE
40908
0
0
MORGAN STANLEY
COM NEW
617446448
2570
60000
SH
SOLE
60000
0
0
MYLAN N V
SHS EURO
N59465109
9475
243000
SH
Call
SOLE
243000
0
0
MYLAN N V
SHS EURO
N59465109
390
10000
SH
Call
SOLE
10000
0
0
MYLAN N V
SHS EURO
N59465109
1950
50000
SH
Call
SOLE
50000
0
0
MYLAN N V
SHS EURO
N59465109
7798
200000
SH
Call
SOLE
200000
0
0
MYLAN N V
SHS EURO
N59465109
5583
143200
SH
SOLE
143200
0
0
NABORS INDUSTRIES LTD
SHS
G6359F103
2353
180000
SH
Put
SOLE
180000
0
0
NABORS INDUSTRIES LTD
SHS
G6359F103
1961
150000
SH
Put
SOLE
150000
0
0
NCR CORP NEW
COM
62886E108
1142
25000
SH
Call
SOLE
25000
0
0
NCR CORP NEW
COM
62886E108
2741
60000
SH
Put
SOLE
60000
0
0
NCR CORP NEW
COM
62886E108
1142
25000
SH
Put
SOLE
25000
0
0
NCR CORP NEW
COM
62886E108
1827
40000
SH
Put
SOLE
40000
0
0
NETFLIX INC
COM
64110L106
8366
56600
SH
Put
SOLE
56600
0
0
NETFLIX INC
COM
64110L106
2217
15000
SH
Put
SOLE
15000
0
0
NETFLIX INC
COM
64110L106
1478
10000
SH
Put
SOLE
10000
0
0
NEUSTAR INC
CL A
64126X201
984
29678
SH
SOLE
29678
0
0
NEW YORK REIT INC
COM
64976L109
3479
359008
SH
SOLE
359008
0
0
NEXEO SOLUTIONS INC
*W EXP 06/09/202
65342H110
179
248817
SH
SOLE
248817
0
0
NIELSEN HLDGS PLC
SHS EUR
G6518L108
3098
75000
SH
Call
SOLE
75000
0
0
NIELSEN HLDGS PLC
SHS EUR
G6518L108
3743
90600
SH
Call
SOLE
90600
0
0
NIELSEN HLDGS PLC
SHS EUR
G6518L108
1033
25000
SH
Call
SOLE
25000
0
0
NIELSEN HLDGS PLC
SHS EUR
G6518L108
4544
110000
SH
SOLE
110000
0
0
NIKE INC
CL B
654106103
1672
30000
SH
Call
SOLE
30000
0
0
NIKE INC
CL B
654106103
1226
22000
SH
Call
SOLE
22000
0
0
NIKE INC
CL B
654106103
2040
36600
SH
SOLE
36600
0
0
NIMBLE STORAGE INC
COM
65440R101
1313
105000
SH
SOLE
105000
0
0
NOBLE ENERGY INC
COM
655044105
859
25000
SH
Call
SOLE
25000
0
0
NOBLE ENERGY INC
COM
655044105
1374
40000
SH
Put
SOLE
40000
0
0
NOBLE ENERGY INC
COM
655044105
343
10000
SH
Put
SOLE
10000
0
0
NORDSTROM INC
COM
655664100
563
12100
SH
Put
SOLE
12100
0
0
NORDSTROM INC
COM
655664100
750
16100
SH
Put
SOLE
16100
0
0
NORDSTROM INC
COM
655664100
233
5000
SH
Put
SOLE
5000
0
0
NOVELION THERAPEUTICS INC
COM NEW
67001K202
530
49350
SH
SOLE
49350
0
0
NXP SEMICONDUCTORS N V
DBCV 1.00012/0
62952QAB6
3474
3000
PRN
SOLE
3000
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
15239
147233
SH
SOLE
147233
0
0
OCLARO INC
COM NEW
67555N206
687
70000
SH
SOLE
70000
0
0
OFFICE DEPOT INC
COM
676220106
71
15243
SH
SOLE
15243
0
0
OI S A
SPONSORED ADR NE
670851500
1973
303006
SH
SOLE
303006
0
0
PACIFIC SPL ACQUISITION CORP
SHS
G68588105
1063
102680
SH
SOLE
102680
0
0
PALO ALTO NETWORKS INC
COM
697435105
6761
60000
SH
Call
SOLE
60000
0
0
PALO ALTO NETWORKS INC
COM
697435105
4507
40000
SH
Call
SOLE
40000
0
0
PALO ALTO NETWORKS INC
COM
697435105
6227
55264
SH
SOLE
55264
0
0
PANGAEA LOGISTICS SOLUTION L
SHS
G6891L105
1052
308414
SH
SOLE
308414
0
0
PATTERN ENERGY GROUP INC
CL A
70338P100
323
16023
SH
SOLE
16023
0
0
PATTERSON UTI ENERGY INC
COM
703481101
243
10000
SH
Put
SOLE
10000
0
0
PAYPAL HLDGS INC
COM
70450Y103
6453
150000
SH
Call
SOLE
150000
0
0
PAYPAL HLDGS INC
COM
70450Y103
3872
90000
SH
SOLE
90000
0
0
PERRIGO CO PLC
SHS
G97822103
724
10901
SH
SOLE
10901
0
0
PERRIGO CO PLC
SHS
G97822103
332
5000
SH
Call
SOLE
5000
0
0
PERRIGO CO PLC
SHS
G97822103
4979
75000
SH
Call
SOLE
75000
0
0
PERRIGO CO PLC
SHS
G97822103
332
5000
SH
Call
SOLE
5000
0
0
PERRIGO CO PLC
SHS
G97822103
1135
17100
SH
Call
SOLE
17100
0
0
PERRIGO CO PLC
SHS
G97822103
2277
34300
SH
Call
SOLE
34300
0
0
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