President

0001461790-22-000013.txt : 20220211 0001461790-22-000013.hdr.sgml : 20220211 20220211170240 ACCESSION NUMBER: 0001461790-22-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220211 DATE AS OF CHANGE: 20220211 EFFECTIVENESS DATE: 20220211 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: 22622452 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 12-31-2021 12-31-2021 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 02-11-2022 0 371 1509908 false INFORMATION TABLE 2 informationtable.xml 10X CAP VENTURE ACQSTN CORP W EXP 04/19/202 G87076116 365 184569 SH SOLE 184569 0 0 8I ACQUISITION 2 CORP W EXP 09/24/202 G2956R137 90 237415 SH SOLE 237415 0 0 8I ACQUISITION 2 CORP RIGHT 09/24/2026 G2956R129 75 268113 SH SOLE 268113 0 0 ABRI SPAC I INC W EXP 09/18/202 00085X113 439 731392 SH SOLE 731392 0 0 ACCRETION ACQUISITION CORP W EXP 03/01/202 00438Y115 100 250000 SH SOLE 250000 0 0 ACCRETION ACQUISITION CORP RIGHT 03/01/2028 00438Y123 160 500000 SH SOLE 500000 0 0 ACE GLOBAL BUSINESS ACQU LTD W EXP 02/20/202 G0083E110 94 389659 SH SOLE 389659 0 0 ACHARI VENTURES HLDGS CORP I W EXP 01/01/202 00444X119 165 500000 SH SOLE 500000 0 0 ACKRELL SPAC PARTNERS I CO W EXP 12/01/202 00461L113 44 85353 SH SOLE 85353 0 0 ACTIVISION BLIZZARD INC COM 00507V109 1402 21067 SH SOLE 21067 0 0 ACTIVISION BLIZZARD INC COM 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INVSTMNT CORP W EXP 01/31/202 66573W115 73 114537 SH SOLE 114537 0 0 NORTHVIEW ACQUISITION CORP UNIT 99/99/9999 66718N202 4020 400000 SH SOLE 400000 0 0 NOVA VISION ACQUISITION CORP RIGHT 12/23/2023 G6759A134 86 270000 SH SOLE 270000 0 0 NOVA VISION ACQUISITION CORP W EXP 12/31/202 G6759A118 97 270000 SH SOLE 270000 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 7110 128524 SH SOLE 128524 0 0 NUCOR CORP COM 670346105 856 7500 SH Call SOLE 7500 0 0 NUCOR CORP COM 670346105 571 5000 SH Put SOLE 5000 0 0 NUVASIVE INC NOTE 1.000 6/0 670704AL9 9214 9200 PRN SOLE 9200 0 0 NUVEI CORPORATION SUB VTG SHS 67079A102 2242 34500 SH Call SOLE 34500 0 0 NUVEI CORPORATION SUB VTG SHS 67079A102 370 5700 SH SOLE 5700 0 0 OCEANTECH ACQUISITIONS I COR W EXP 99/99/999 675507115 23 50000 SH SOLE 50000 0 0 ONYX ACQUISITION CO I W EXP 11/30/202 G6755Q117 87 150000 SH SOLE 150000 0 0 OPENDOOR TECHNOLOGIES INC COM 683712103 438 30000 SH Put SOLE 30000 0 0 OXUS ACQUISITION CORP W EXP 99/99/999 G6859L121 183 300000 SH SOLE 300000 0 0 PACIFICO ACQUISITION CORP RIGHT 07/15/2026 69512X111 215 477463 SH SOLE 477463 0 0 PAGERDUTY INC NOTE 1.250 7/0 69553PAB6 6958 6000 PRN SOLE 6000 0 0 PALO ALTO NETWORKS INC COM 697435105 2784 5000 SH Call SOLE 5000 0 0 PARSEC CAPITAL ACQUISITION W EXP 10/05/202 70184A116 120 300000 SH SOLE 300000 0 0 PASITHEA THERAPEUTICS CORP COM 70261F103 973 550000 SH SOLE 550000 0 0 PATRICK INDS INC DBCV 1.000 2/0 703343AB9 5588 5000 PRN SOLE 5000 0 0 PEBBLEBROOK HOTEL TR NOTE 1.75012/1 70509VAA8 6955 6300 PRN SOLE 6300 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 3708 103700 SH Call SOLE 103700 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 26487 740700 SH Put SOLE 740700 0 0 PENNYMAC FINL SVCS INC NEW COM 70932M107 74356 1065572 SH SOLE 1065572 0 0 PEOPLES UNITED FINANCIAL INC COM 712704105 5104 286403 SH SOLE 286403 0 0 PERCEPTION CAPITAL CORP II UNIT 10/25/2026 G7007D128 113 11123 SH SOLE 11123 0 0 PHOENIX BIOTECH ACQUISITION W EXP 09/01/202 71902K113 32 75000 SH SOLE 75000 0 0 PIVOTAL INVESTMENT CORP III COM CL A 72582M106 1175 120660 SH SOLE 120660 0 0 PNM RES INC COM 69349H107 6274 137551 SH SOLE 137551 0 0 PORTAGE FINTECH ACQUISITN CO W EXP 07/08/202 G7185D114 347 533333 SH SOLE 533333 0 0 PORTAGE FINTECH ACQUISITN CO CLASS A ORD SHS G7185D106 5819 598671 SH SOLE 598671 0 0 PRETIUM RES INC NOTE 2.250 3/1 74139CAB8 11178 11150 PRN SOLE 11150 0 0 PRETIUM RES INC COM 74139C102 1321 93756 SH SOLE 93756 0 0 PROGRESS ACQUISITION CORP W EXP 11/11/202 74327P113 25 50187 SH SOLE 50187 0 0 PROSHARES TR BITCOIN STRATE 74347G440 9248 320000 SH Call SOLE 320000 0 0 PROVIDENT ACQUISITION CORP W EXP 01/08/202 G7282L126 91 171934 SH SOLE 171934 0 0 REDBALL ACQUISITION CORP UNIT 99/99/9999 G7417R121 103 10000 SH SOLE 10000 0 0 REDBALL ACQUISITION CORP COM CL A G7417R105 6051 609980 SH SOLE 609980 0 0 RIGEL RESOURCE ACQ CORP W EXP 99/99/999 G7573M114 41 75000 SH SOLE 75000 0 0 RIGEL RESOURCE ACQ CORP CL A ORD SHS G7573M106 1470 150000 SH SOLE 150000 0 0 RINGCENTRAL INC CL A 76680R206 10679 57000 SH Call SOLE 57000 0 0 RIVIAN AUTOMOTIVE INC COM CL A 76954A103 6636 64000 SH Put SOLE 64000 0 0 ROC ENERGY ACQUISITION CORP UNIT 11/30/2028 77118V207 3033 300000 SH SOLE 300000 0 0 ROCKET COS INC COM CL A 77311W101 1120 80000 SH Call SOLE 80000 0 0 ROGERS CORP COM 775133101 983 3600 SH SOLE 3600 0 0 ROSE HILL ACQUISITION CORP W EXP 10/07/202 G7637J123 49 100000 SH SOLE 100000 0 0 ROTH CH ACQUISITION IV CO W EXP 07/01/202 77867P112 563 703579 SH SOLE 703579 0 0 ROTH CH ACQUISITION V CO UNIT 12/10/2026 77867R209 3542 350000 SH SOLE 350000 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 2307 30000 SH Call SOLE 30000 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 385 5000 SH Put SOLE 5000 0 0 SAGALIAM ACQUISITION CORP UNIT 05/31/2028 78661R205 9925 990000 SH SOLE 990000 0 0 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 12270 2014719 SH SOLE 2014719 0 0 SANABY HEALTH ACQUISITION CO W EXP 07/30/202 79956P110 64 125000 SH SOLE 125000 0 0 SANTANDER CONSUMER USA HLDGS COM 80283M101 4158 98945 SH SOLE 98945 0 0 SCIPLAY CORPORATION CL A 809087109 4554 330463 SH SOLE 330463 0 0 SEAPORT CALIBRE MATLS ACQUIS W EXP 10/28/202 812204113 96 193450 SH SOLE 193450 0 0 SEAPORT CALIBRE MATLS ACQUIS CLASS A COM 812204105 3799 386900 SH SOLE 386900 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 10222 50000 SH Put SOLE 50000 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 8786 225000 SH Call SOLE 225000 0 0 SENIOR CONNECT ACQUISITN COR W EXP 12/31/202 81723H116 119 225885 SH SOLE 225885 0 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 2466 81300 SH SOLE 81300 0 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 2129 50000 SH Call SOLE 50000 0 0 SOCIAL CAP SUVRETTA HLD CRPI CLASS A ORD SHS G8253W109 990 100000 SH SOLE 100000 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 982 100000 SH SOLE 100000 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253T106 993 100041 SH SOLE 100041 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 992 100300 SH SOLE 100300 0 0 SOCIAL CAPITAL HEDOSOPHA HLD W EXP 09/26/202 G8251L113 297 151631 SH SOLE 151631 0 0 SOCIAL CAPITAL HEDOSOPHA HLD W EXP 09/26/202 G82514111 481 235654 SH SOLE 235654 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G82514103 3331 325934 SH SOLE 325934 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8251L105 1288 126377 SH SOLE 126377 0 0 SOUTHWEST AIRLS CO NOTE 1.250 5/0 844741BG2 10484 7838 PRN SOLE 7838 0 0 SOUTHWEST AIRLS CO COM 844741108 3213 75000 SH Call SOLE 75000 0 0 SPDR GOLD TR GOLD SHS 78463V107 26499 155000 SH Put SOLE 155000 0 0 SPDR SP 500 ETF TR TR UNIT 78462F103 71244 150000 SH Call SOLE 150000 0 0 SPDR SP 500 ETF TR TR UNIT 78462F103 132989 280000 SH Put SOLE 280000 0 0 SPHERE 3D CORP NEW COM 84841L308 561 179848 SH SOLE 179848 0 0 SPK AQUISITION CORP RIGHT 05/13/2026 848651113 460 1313977 SH SOLE 1313977 0 0 SPLUNK INC NOTE 0.500 9/1 848637AC8 8250 7719 PRN SOLE 7719 0 0 SPLUNK INC COM 848637104 1157 10000 SH Call SOLE 10000 0 0 SPORTSMANS WHSE HLDGS INC COM 84920Y106 885 75000 SH Call SOLE 75000 0 0 SPORTSMAP TECH ACQUISITIN CO W EXP 09/01/202 84921J116 176 375000 SH SOLE 375000 0 0 SPROTT INC COM NEW 852066208 2390 53025 SH SOLE 53025 0 0 SSR MNG INC NOTE 2.500 4/0 784730AB9 9627 7822 PRN SOLE 7822 0 0 STERLING BANCORP DEL COM 85917A100 3686 142940 SH SOLE 142940 0 0 SUMMIT HOTEL PPTYS NOTE 1.500 2/1 866082AA8 6690 6375 PRN SOLE 6375 0 0 TECK RESOURCES LTD CL B 878742204 720 25000 SH Put SOLE 25000 0 0 TEKKORP DIGITAL ACQUISITN CO W EXP 10/26/202 G8739H114 52 80500 SH SOLE 80500 0 0 TESLA INC COM 88160R101 6763 6400 SH SOLE 6400 0 0 THE BEAUTY HEALTH COMPANY COM CL A 88331L108 54713 2264595 SH SOLE 2264595 0 0 THE BEAUTY HEALTH COMPANY COM CL A 88331L108 222 9200 SH Call SOLE 9200 0 0 THE GROWTH FOR GOOD ACQU COR UNIT 11/12/2026 G41522122 5988 600000 SH SOLE 600000 0 0 THRIVE ACQUISITION CORPORATI W EXP 10/31/202 G7158C119 56 112500 SH SOLE 112500 0 0 THUNDER BRDG CAP PRTNRS IV I W EXP 04/30/202 88605L115 10 11298 SH SOLE 11298 0 0 THUNDER BRIDGE CAP PRTNRS II W EXP 02/15/202 88605T118 354 426605 SH SOLE 426605 0 0 TRADEUP ACQUISITION CORP W EXP 10/15/202 89268A115 72 143947 SH SOLE 143947 0 0 TRISTAR ACQUISITION I CORP W EXP 99/99/999 G9074V114 439 859957 SH SOLE 859957 0 0 TRISTAR ACQUISITION I CORP CL A ORD SHS G9074V106 11169 1153837 SH SOLE 1153837 0 0 TRISTATE CAP HLDGS INC COM 89678F100 2183 72144 SH SOLE 72144 0 0 TUSCAN HLDGS CORP II W EXP 04/01/202 90070A111 258 614167 SH SOLE 614167 0 0 TUSCAN HLDGS CORP II COM 90070A103 2677 262362 SH SOLE 262362 0 0 TWILIO INC CL A 90138F102 4608 17500 SH Call SOLE 17500 0 0 TWILIO INC CL A 90138F102 527 2000 SH SOLE 2000 0 0 TWITTER INC NOTE 0.250 6/1 90184LAF9 9055 8300 PRN SOLE 8300 0 0 TWITTER INC COM 90184L102 2485 57500 SH Call SOLE 57500 0 0 UNDER ARMOUR INC CL C 904311206 3428 190015 SH SOLE 190015 0 0 UNITED STATES STL CORP NEW COM 912909108 298 12500 SH Call SOLE 12500 0 0 UNITED STS NAT GAS FD LP UNIT PAR 912318300 4996 400000 SH Call SOLE 400000 0 0 UTA ACQUISITION CORPORATION UNIT 12/01/2026 G9473A125 1895 187896 SH SOLE 187896 0 0 VANGUARD WORLD FD EXTENDED DUR 921910709 18704 133600 SH Call SOLE 133600 0 0 VEONEER INC NOTE 4.000 6/0 92336XAA7 4355 2650 PRN SOLE 2650 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 669 50000 SH Put SOLE 50000 0 0 VISION SENSING ACQUISITION C W EXP 10/21/202 92838J111 29 75075 SH SOLE 75075 0 0 VIVEON HEALTH ACQUISITION CO RIGHT 12/31/2025 92853V122 251 1363656 SH SOLE 1363656 0 0 VIVEON HEALTH ACQUISITION CO W EXP 99/99/999 92853V114 244 1125779 SH SOLE 1125779 0 0 WELBILT INC COM 949090104 2352 98940 SH SOLE 98940 0 0 WELSBACH TECH METALS ACQU CO UNIT 12/22/2026 950415208 4374 436100 SH SOLE 436100 0 0 WEST FRASER TIMBER CO LTD COM 952845105 7247 76000 SH Call SOLE 76000 0 0 WEST FRASER TIMBER CO LTD COM 952845105 12921 135505 SH SOLE 135505 0 0 WINNEBAGO INDS INC NOTE 1.500 4/0 974637AB6 8074 6000 PRN SOLE 6000 0 0 WINVEST ACQUISITION CORP RIGHT 99/99/9999 97655B125 170 680792 SH SOLE 680792 0 0 WINVEST ACQUISITION CORP W EXP 08/09/202 97655B117 127 650000 SH SOLE 650000 0 0 WISDOMTREE INVTS INC NOTE 4.250 6/1 97717PAB0 8734 7250 PRN SOLE 7250 0 0 XILINX INC COM 983919101 2120 10000 SH Call SOLE 10000 0 0 XILINX INC COM 983919101 7866 37100 SH SOLE 37100 0 0 ZILLOW GROUP INC CL A 98954M101 4340 69759 SH SOLE 69759 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 1906 15000 SH Call SOLE 15000 0 0