President

0001461790-21-000066.txt : 20211112 0001461790-21-000066.hdr.sgml : 20211112 20211112160541 ACCESSION NUMBER: 0001461790-21-000066 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 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: 211403377 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 09-30-2021 09-30-2021 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 0 314 1231276 false INFORMATION TABLE 2 informationtable.xml 10X CAP VENTURE ACQSTN CORP UNIT 04/19/2028 G87076124 5514 552809 SH SOLE 552809 0 0 7GC CO HOLDINGS INC COM CL A 81786A107 4224 434166 SH SOLE 434166 0 0 890 5TH AVE PARTNERS INC COM CL A 28250A105 2913 293992 SH SOLE 293992 0 0 ABRI SPAC I INC COMMON STOCK 00085X105 3423 350000 SH SOLE 350000 0 0 ABRI SPAC I INC W EXP 09/18/202 00085X113 151 350000 SH SOLE 350000 0 0 ACE GLOBAL BUSINESS ACQU LTD W EXP 02/20/202 G0083E110 216 441786 SH SOLE 441786 0 0 ACKRELL SPAC PARTNERS I CO W EXP 12/01/202 00461L113 40 85353 SH SOLE 85353 0 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 3589 1653874 SH SOLE 1653874 0 0 ADVISORSHARES TR PSYCHEDELICS ETF 00768Y362 182 20000 SH SOLE 20000 0 0 AEROJET ROCKETDYNE HLDGS INC NOTE 2.25012/1 007800AB1 5186 3062 PRN SOLE 3062 0 0 AESTHER HEALTHCARE ACQSTN CO UNIT 09/14/2026 00809L205 2535 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99/99/9999 G7417R121 101 10000 SH SOLE 10000 0 0 REDBALL ACQUISITION CORP COM CL A G7417R105 6347 644980 SH SOLE 644980 0 0 RENOVACOR INC W EXP 99/99/999 75989E114 82 128379 SH SOLE 128379 0 0 RETAIL PPTYS AMER INC CL A 76131V202 160 12425 SH SOLE 12425 0 0 RINGCENTRAL INC CL A 76680R206 5416 24900 SH Put SOLE 24900 0 0 ROCKET COS INC COM CL A 77311W101 3917 244200 SH Put SOLE 244200 0 0 ROMAN DBDR TECH ACQUISITION COM CL A 77584N101 1459 144360 SH SOLE 144360 0 0 ROTH CH ACQUISITION IV CO W EXP 07/01/202 77867P112 113 206250 SH SOLE 206250 0 0 ROTH CH ACQUISITION IV CO COM 77867P104 3932 400000 SH SOLE 400000 0 0 SANTANDER CONSUMER USA HLDGS COM 80283M101 4279 102613 SH SOLE 102613 0 0 SCIPLAY CORPORATION CL A 809087109 5899 285100 SH SOLE 285100 0 0 SCORPIO TANKERS INC NOTE 3.000 5/1 80918TAB5 1985 2000 PRN SOLE 2000 0 0 SEAPORT GLOBAL ACQUISITN COR W EXP 12/15/202 812227114 421 448047 SH SOLE 448047 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 2223 50000 SH Put SOLE 50000 0 0 SENIOR CONNECT ACQUISITN COR W EXP 12/31/202 81723H116 160 225885 SH SOLE 225885 0 0 SEVEN OAKS ACQUISITION CORP W EXP 12/22/202 81787X114 355 444103 SH SOLE 444103 0 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 2625 71300 SH SOLE 71300 0 0 SNAP INC CL A 83304A106 14405 195000 SH Call SOLE 195000 0 0 SNAP INC CL A 83304A106 1477 20000 SH SOLE 20000 0 0 SOCIAL CAP SUVRETTA HLD CRPI CLASS A ORD SHS G8253W109 1367 139524 SH SOLE 139524 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 981 100000 SH SOLE 100000 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253T106 995 100041 SH SOLE 100041 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 991 100300 SH SOLE 100300 0 0 SOUTHSTATE CORPORATION COM 840441109 733 9816 SH SOLE 9816 0 0 SOUTHWEST AIRLS CO NOTE 1.250 5/0 844741BG2 11693 7838 PRN SOLE 7838 0 0 SPARTACUS ACQUISITION CORP CL A 84677L109 946 93472 SH SOLE 93472 0 0 SPDR GOLD TR GOLD SHS 78463V107 25454 155000 SH Put SOLE 155000 0 0 SPDR SER TR BLMBRG BRC CNVRT 78464A359 853 10000 SH Put SOLE 10000 0 0 SPHERE 3D CORP NEW COM 84841L308 4513 759800 SH SOLE 759800 0 0 SPK AQUISITION CORP RIGHT 05/13/2026 848651113 216 617088 SH SOLE 617088 0 0 SPK AQUISITION CORP COM 848651105 2717 275000 SH SOLE 275000 0 0 SPLUNK INC NOTE 0.500 9/1 848637AC8 9035 7719 PRN SOLE 7719 0 0 SPORTSMANS WHSE HLDGS INC COM 84920Y106 6084 345675 SH SOLE 345675 0 0 SPROTT INC COM NEW 852066208 2663 57175 SH SOLE 57175 0 0 SSR MNG INC NOTE 2.500 4/0 784730AB9 7895 6822 PRN SOLE 6822 0 0 STERLING BANCORP DEL COM 85917A100 712 28533 SH SOLE 28533 0 0 STRYVE FOODS INC W EXP 07/31/202 863685111 397 509585 SH SOLE 509585 0 0 STRYVE FOODS INC CLASS A COM 863685103 277 51795 SH SOLE 51795 0 0 SUMMIT HOTEL PPTYS INC NOTE 1.500 2/1 866082AA8 2507 2375 PRN SOLE 2375 0 0 TEKKORP DIGITAL ACQUISITN CO W EXP 10/26/202 G8739H114 129 145000 SH SOLE 145000 0 0 TELUS INTL CDA INC SUB VTG SHS 87975H100 515 14699 SH SOLE 14699 0 0 TESLA INC COM 88160R101 2714 3500 SH Call SOLE 3500 0 0 THE BEAUTY HEALTH COMPANY COM CL A 88331L108 8144 313600 SH Call SOLE 313600 0 0 THE BEAUTY HEALTH COMPANY COM CL A 88331L108 15318 589833 SH SOLE 589833 0 0 THE BEAUTY HEALTH COMPANY W EXP 05/04/202 88331L116 11356 784234 SH SOLE 784234 0 0 THE REAL BROKERAGE INC COM NEW 75585H206 895 382450 SH SOLE 382450 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 1495 50000 SH Put SOLE 50000 0 0 TRADEUP ACQUISITION CORP W EXP 10/15/202 89268A115 59 143947 SH SOLE 143947 0 0 TRADEUP ACQUISITION CORP COM 89268A107 2850 287894 SH SOLE 287894 0 0 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 790 45000 SH SOLE 45000 0 0 TUSCAN HLDGS CORP II W EXP 04/01/202 90070A111 117 172012 SH SOLE 172012 0 0 TUSCAN HLDGS CORP II COM 90070A103 2652 262362 SH SOLE 262362 0 0 TWITTER INC NOTE 0.250 6/1 90184LAF9 10463 8300 PRN SOLE 8300 0 0 UNDER ARMOUR INC CL C 904311206 2332 133105 SH SOLE 133105 0 0 UNITED STATES STL CORP NEW COM 912909108 1098 50000 SH Put SOLE 50000 0 0 VANECK ETF TRUST STEEL ETF 92189F205 11042 200000 SH Put SOLE 200000 0 0 VANGUARD INDEX FDS SP 500 ETF SHS 922908363 17748 45000 SH Put SOLE 45000 0 0 VANGUARD WORLD FD EXTENDED DUR 921910709 27106 200000 SH Put SOLE 200000 0 0 VEONEER INC COM 92336X109 1136 33355 SH SOLE 33355 0 0 VEREIT INC COM 92339V308 3670 81140 SH SOLE 81140 0 0 VINE ENERGY INC CL A 92735P103 489 29717 SH SOLE 29717 0 0 VIVEON HEALTH ACQUISITION CO RIGHT 12/31/2025 92853V122 273 1363656 SH SOLE 1363656 0 0 VIVEON HEALTH ACQUISITION CO W EXP 99/99/999 92853V114 269 1075779 SH SOLE 1075779 0 0 WELBILT INC COM 949090104 3459 148818 SH SOLE 148818 0 0 WEST FRASER TIMBER CO LTD COM 952845105 14999 140600 SH Call SOLE 140600 0 0 WEST FRASER TIMBER CO LTD COM 952845105 533 5000 SH SOLE 5000 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 7044 30302 SH SOLE 30302 0 0 WINNEBAGO INDS INC NOTE 1.500 4/0 974637AB6 7909 6000 PRN SOLE 6000 0 0 WINNEBAGO INDS INC COM 974637100 724 10000 SH Call SOLE 10000 0 0 WINVEST ACQUISITION CORP UNIT 08/09/2026 97655B208 3814 375000 SH SOLE 375000 0 0 WISDOMTREE INVTS INC NOTE 4.250 6/1 97717PAB0 8466 7250 PRN SOLE 7250 0 0 XILINX INC COM 983919101 6040 40000 SH SOLE 40000 0 0 YUNHONG INTL W EXP 01/31/202 G98882122 76 476255 SH SOLE 476255 0 0 YUNHONG INTL RIGHT 01/31/2027 G98882130 105 551721 SH SOLE 551721 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 1639 11200 SH SOLE 11200 0 0