0001461790-19-000005.txt : 20190123 0001461790-19-000005.hdr.sgml : 20190123 20190123181339 ACCESSION NUMBER: 0001461790-19-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190118 FILED AS OF DATE: 20190123 DATE AS OF CHANGE: 20190123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: K2 PRINCIPAL FUND, L.P. CENTRAL INDEX KEY: 0001461790 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38188 FILM NUMBER: 19538297 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: K2 GENPAR LP CENTRAL INDEX KEY: 0001489957 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38188 FILM NUMBER: 19538298 BUSINESS ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 BUSINESS PHONE: 416 865 2739 MAIL ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: K2 GENPAR 2009 INC CENTRAL INDEX KEY: 0001489956 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38188 FILM NUMBER: 19538299 BUSINESS ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 BUSINESS PHONE: 416 865 2739 MAIL ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shawn Kimel Investments, Inc. CENTRAL INDEX KEY: 0001462150 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38188 FILM NUMBER: 19538300 BUSINESS ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 BUSINESS PHONE: 416-865-2739 MAIL ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: K2 & Associates Investment Management Inc. CENTRAL INDEX KEY: 0001462151 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38188 FILM NUMBER: 19538301 BUSINESS ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 BUSINESS PHONE: 416-865-2739 MAIL ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kimel Shawn CENTRAL INDEX KEY: 0001462149 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38188 FILM NUMBER: 19538302 MAIL ADDRESS: STREET 1: 2 BLOOR STREET WEST STREET 2: SUITE 801 CITY: TORONTO STATE: A6 ZIP: M4W 3E2 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SIMPLICITY ESPORTS & GAMING Co CENTRAL INDEX KEY: 0001708410 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING & DRINKING PLACES [5810] IRS NUMBER: 821231127 STATE OF INCORPORATION: NY FISCAL YEAR END: 0531 BUSINESS ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2128783684 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10105 FORMER COMPANY: FORMER CONFORMED NAME: SMAAASH ENTERTAINMENT INC. DATE OF NAME CHANGE: 20181127 FORMER COMPANY: FORMER CONFORMED NAME: I-AM CAPITAL ACQUISITION Co DATE OF NAME CHANGE: 20170605 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-01-18 0 0001708410 SIMPLICITY ESPORTS & GAMING Co WINR 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 Common Stock 2019-01-18 4 J 0 44000 6 D 180443 D Common Stock 2019-01-18 4 J 0 44000 5 D 136443 D Common Stock 2019-01-18 4 J 0 36622 4 D 99821 D Common Stock 2019-01-23 4 S 0 6000 2.5 D 93821 D Forward Sale Agreement (obligation to sell) 2019-01-18 4 J 0 124622 0 D 2019-01-18 2019-01-18 Common Stock 124622 0 D Pursuant to a forward sale agreement between the Reporting Person and the issuer, as amended, the Reporting Person was obligated to sell 220,000 shares (the "Original Shares") to the issuer on behalf of The K2 Principal Fund L.P. on January 18, 2019 unless such Original Shares were sold by the Reporting Person prior to such date. The prices at which the Reporting Person was 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. On January 18, 2019, an aggregate of 124,622 shares were sold in the quantities and at the prices listed above. /s/ Daniel Gosselin, President, The K2 Principal Fund L.P. 2019-01-23 /s/ Daniel Gosselin, President, K2 Genpar L.P 2019-01-23 /s/ Daniel Gosselin, President, K2 Genpar 2009 Inc. 2019-01-23 /s/ Daniel Gosselin, President, Shawl Kimel Investments Inc. 2019-01-23 /s/ Daniel Gosselin, President, K2 & Associates Investment Management Inc. 2019-01-23 /s/ Daniel Gosselin, in his individual capacity 2019-01-23