# EDGAR Filing Document

**Accession Number:** 0001461790
**File Stem:** 0001461790-23-000008
**Filing Date:** 2023-2
**Character Count:** 29557
**Document Hash:** b7fb714193bdafa098f0c56870aef8bf
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001461790-23-000008.hdr.sgml**: 20230210

**ACCESSION NUMBER**: 0001461790-23-000008

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230210

**DATE AS OF CHANGE**: 20230210

**EFFECTIVENESS DATE**: 20230210

**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:** 23611867

**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

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** K2 PRINCIPAL FUND L.P.<br>**Address:** 2 BLOOR STREET WEST<br>SUITE 801<br>TORONTO, A6 M4W 3E2

**Form 13F File Number:** 028-16812

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Todd Sikorski<br>**Title:** President<br>**Phone:** 416-365-2155

**Signature, Place, and Date of Signing:**

/s/Todd Sikorski  TORONTO, A6  02-10-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 244

**Form 13F Information Table Value Total:** $658103623

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 10X CAP VENTURE ACQSTN CORP | W EXP 04/19/202 | G87076116 |  | 8882 | 134569 | SH |  | SOLE |  | 134569 | 0 | 0 |
| 1LIFE HEALTHCARE INC | NOTE 3.000 6/1 | 68269GAB3 |  | 7895231 | 8150 | PRN |  | SOLE |  | 8150 | 0 | 0 |
| ABRI SPAC I INC | W EXP 09/18/202 | 00085X113 |  | 16375 | 327492 | SH |  | SOLE |  | 327492 | 0 | 0 |
| ACCRETION ACQUISITION CORP | W EXP 03/01/202 | 00438Y115 |  | 4999 | 267350 | SH |  | SOLE |  | 267350 | 0 | 0 |
| ACCRETION ACQUISITION CORP | RIGHT 03/01/2028 | 00438Y123 |  | 34950 | 500000 | SH |  | SOLE |  | 500000 | 0 | 0 |
| ACTIVISION BLIZZARD INC | COM | 00507V109 |  | 774074 | 10112 | SH |  | SOLE |  | 10112 | 0 | 0 |
| ACUITYADS HLDGS INC | COM | 00510L106 |  | 762752 | 498531 | SH |  | SOLE |  | 498531 | 0 | 0 |
| AEROJET ROCKETDYNE HLDGS INC | COM | 007800105 |  | 427249 | 7639 | SH |  | SOLE |  | 7639 | 0 | 0 |
| AESTHER HEALTHCARE ACQSTN CO | W EXP 09/14/202 | 00809L114 |  | 15754 | 105024 | SH |  | SOLE |  | 105024 | 0 | 0 |
| AFFIRM HLDGS INC | COM CL A | 00827B106 |  | 1093677 | 113100 | SH | Call | SOLE |  | 113100 | 0 | 0 |
| AGROFRESH SOLUTIONS INC | COM | 00856G109 |  | 129926 | 43894 | SH |  | SOLE |  | 43894 | 0 | 0 |
| ALCOA CORP | COM | 013872106 |  | 1591450 | 35000 | SH | Call | SOLE |  | 35000 | 0 | 0 |
| ALCOA CORP | COM | 013872106 |  | 682050 | 15000 | SH | Put | SOLE |  | 15000 | 0 | 0 |
| ALCOA CORP | COM | 013872106 |  | 220939 | 4859 | SH |  | SOLE |  | 4859 | 0 | 0 |
| ALPHAVEST ACQUISITION CORP | UNIT 06/19/2024 | G0283A124 |  | 1262500 | 125000 | SH |  | SOLE |  | 125000 | 0 | 0 |
| ALTENERGY ACQUISITION CORP | W EXP 10/29/202 | 02157M116 |  | 1290 | 12524 | SH |  | SOLE |  | 12524 | 0 | 0 |
| ALTITUDE ACQUISITION CORP | W EXP 11/30/202 | 02156Y111 |  | 5333 | 91168 | SH |  | SOLE |  | 91168 | 0 | 0 |
| AMBEV SA | SPONSORED ADR | 02319V103 |  | 2550914 | 937836 | SH |  | SOLE |  | 937836 | 0 | 0 |
| AMERICAN ACQUISITION OPPT IN | W EXP 05/28/202 | 02369M110 |  | 4475 | 222660 | SH |  | SOLE |  | 222660 | 0 | 0 |
| AMERICAS GOLD AND SILVER COR | COM | 03062D100 |  | 1018467 | 1776500 | SH |  | SOLE |  | 1776500 | 0 | 0 |
| ANNEXON INC | COM | 03589W102 |  | 752566 | 145564 | SH |  | SOLE |  | 145564 | 0 | 0 |
| ARCELORMITTAL SA LUXEMBOURG | NY REGISTRY SH | 03938L203 |  | 3539700 | 135000 | SH | Call | SOLE |  | 135000 | 0 | 0 |
| ARCELORMITTAL SA LUXEMBOURG | NY REGISTRY SH | 03938L203 |  | 655500 | 25000 | SH | Put | SOLE |  | 25000 | 0 | 0 |
| ARES MANAGEMENT CORPORATION | CL A COM STK | 03990B101 |  | 547520 | 8000 | SH | Call | SOLE |  | 8000 | 0 | 0 |
| ARISZ ACQUISITION CORP | RIGHT 99/99/9999 | 040450124 |  | 47319 | 541408 | SH |  | SOLE |  | 541408 | 0 | 0 |
| ARS PHARMACEUTICALS INC | COM | 82835W108 |  | 24499422 | 2872148 | SH |  | SOLE |  | 2872148 | 0 | 0 |
| ATLAS AIR WORLDWIDE HLDGS IN | NOTE 1.875 6/0 | 049164BJ4 |  | 14514771 | 8692 | PRN |  | SOLE |  | 8692 | 0 | 0 |
| AURORA CANNABIS INC | COM | 05156X884 |  | 506000 | 550000 | SH |  | SOLE |  | 550000 | 0 | 0 |
| AVALON ACQUISITION INC | W EXP 12/31/202 | 05338E119 |  | 14756 | 227011 | SH |  | SOLE |  | 227011 | 0 | 0 |
| AXIOS SUSTAINABLE GRW ACQ CO | RIGHT 99/99/9999 | G0703K124 |  | 37500 | 500000 | SH |  | SOLE |  | 500000 | 0 | 0 |
| BANK NOVA SCOTIA HALIFAX | COM | 064149107 |  | 26084887 | 393200 | SH | Call | SOLE |  | 393200 | 0 | 0 |
| BANK NOVA SCOTIA HALIFAX | COM | 064149107 |  | 19472195 | 397554 | SH |  | SOLE |  | 397554 | 0 | 0 |
| BANNIX ACQUISITION CORP | W EXP 07/31/202 | 066644113 |  | 3000 | 300000 | SH |  | SOLE |  | 300000 | 0 | 0 |
| BANNIX ACQUISITION CORP | RIGHT 07/31/2026 | 066644121 |  | 25500 | 300000 | SH |  | SOLE |  | 300000 | 0 | 0 |
| BELONG ACQUISITION CORP | CLASS A COM | 08069M102 |  | 316548 | 32062 | SH |  | SOLE |  | 32062 | 0 | 0 |
| BEYOND MEAT INC | COM | 08862E109 |  | 312674 | 25400 | SH | Call | SOLE |  | 25400 | 0 | 0 |
| BEYOND MEAT INC | COM | 08862E109 |  | 147277 | 11964 | SH |  | SOLE |  | 11964 | 0 | 0 |
| BGC PARTNERS INC | CL A | 05541T101 |  | 1195637 | 317145 | SH |  | SOLE |  | 317145 | 0 | 0 |
| BIOTECH ACQUISITION COMPANY | W EXP 11/30/202 | G1125A116 |  | 3911 | 61201 | SH |  | SOLE |  | 61201 | 0 | 0 |
| BITE ACQUISITION CORP | COMMON STOCK | 09175K105 |  | 662666 | 65806 | SH |  | SOLE |  | 65806 | 0 | 0 |
| BLACK DIAMOND THERAPEUTICS I | COM | 09203E105 |  | 284746 | 158192 | SH |  | SOLE |  | 158192 | 0 | 0 |
| BLACK MOUNTAIN ACQ CORP | W EXP 10/15/202 | 09216A116 |  | 8364 | 227900 | SH |  | SOLE |  | 227900 | 0 | 0 |
| BLOCKCHAIN MOON ACQUISITN CO | RIGHT 10/14/2026 | 09370F117 |  | 28674 | 792106 | SH |  | SOLE |  | 792106 | 0 | 0 |
| BLOCKCHAIN MOON ACQUISITN CO | W EXP 10/14/202 | 09370F125 |  | 13593 | 704279 | SH |  | SOLE |  | 704279 | 0 | 0 |
| BLUE WORLD ACQUISITION CORP | W EXP 01/10/202 | G1263E136 |  | 1243 | 478087 | SH |  | SOLE |  | 478087 | 0 | 0 |
| C3 AI INC | CL A | 12468P104 |  | 872820 | 78000 | SH |  | SOLE |  | 78000 | 0 | 0 |
| CAMPING WORLD HLDGS INC | CL A | 13462K109 |  | 558000 | 25000 | SH | Call | SOLE |  | 25000 | 0 | 0 |
| CANADIAN IMPERIAL BK COMM TO | COM | 136069101 |  | 1183032 | 21600 | SH | Call | SOLE |  | 21600 | 0 | 0 |
| CARDIO DIAGNOSTICS HOLDGS IN | W EXP 12/01/202 | 14159C111 |  | 4579 | 92500 | SH |  | SOLE |  | 92500 | 0 | 0 |
| CARNIVAL CORP | COMMON STOCK | 143658300 |  | 483600 | 60000 | SH | Call | SOLE |  | 60000 | 0 | 0 |
| CARNIVAL CORP | COMMON STOCK | 143658300 |  | 282100 | 35000 | SH | Put | SOLE |  | 35000 | 0 | 0 |
| CARVANA CO | CL A | 146869102 |  | 71100 | 15000 | SH | Call | SOLE |  | 15000 | 0 | 0 |
| CARVANA CO | CL A | 146869102 |  | 471156 | 99400 | SH | Put | SOLE |  | 99400 | 0 | 0 |
| CF ACQUISITION CORP IV | W EXP 12/31/202 | 12520T110 |  | 5722 | 74311 | SH |  | SOLE |  | 74311 | 0 | 0 |
| CF ACQUISITION CORP VIII | W EXP 03/31/202 | 12520C117 |  | 6893 | 246196 | SH |  | SOLE |  | 246196 | 0 | 0 |
| CHAVANT CAPITAL ACQUISITN CO | W EXP 99/99/999 | G2058L111 |  | 32907 | 368500 | SH |  | SOLE |  | 368500 | 0 | 0 |
| CHURCHILL CAPITAL CORP VI | COM CL A | 17143W101 |  | 3330354 | 333202 | SH |  | SOLE |  | 333202 | 0 | 0 |
| CHURCHILL CAPITAL CORP VII | COM CL A | 17144M102 |  | 3591374 | 360218 | SH |  | SOLE |  | 360218 | 0 | 0 |
| CI FINL CORP | COM | 125491100 |  | 2994111 | 300312 | SH |  | SOLE |  | 300312 | 0 | 0 |
| CI FINL CORP | COM | 125491100 |  | 25975677 | 1922700 | SH | Call | SOLE |  | 1922700 | 0 | 0 |
| CIIG CAPITAL PARTNERS II INC | W EXP 02/28/202 | 12561U117 |  | 9467 | 118340 | SH |  | SOLE |  | 118340 | 0 | 0 |
| CLEVELAND-CLIFFS INC NEW | COM | 185899101 |  | 805500 | 50000 | SH | Call | SOLE |  | 50000 | 0 | 0 |
| CLEVELAND-CLIFFS INC NEW | COM | 185899101 |  | 1772100 | 110000 | SH | Put | SOLE |  | 110000 | 0 | 0 |
| COINBASE GLOBAL INC | COM CL A | 19260Q107 |  | 2052620 | 58000 | SH | Call | SOLE |  | 58000 | 0 | 0 |
| CONSILIUM ACQUISITN CORP I L | W EXP 06/01/202 | G2365L119 |  | 1373 | 45750 | SH |  | SOLE |  | 45750 | 0 | 0 |
| COWEN INC | CL A NEW | 223622606 |  | 881077 | 22814 | SH |  | SOLE |  | 22814 | 0 | 0 |
| CUSHMAN WAKEFIELD PLC | SH | G2717B108 |  | 722680 | 58000 | SH | Call | SOLE |  | 58000 | 0 | 0 |
| DATA KNIGHTS ACQUISITION COR | W EXP 11/11/202 | 237699111 |  | 11639 | 335408 | SH |  | SOLE |  | 335408 | 0 | 0 |
| DEEP MEDICINE ACQUISITION CO | RIGHT 09/30/2028 | 243733110 |  | 21311 | 355190 | SH |  | SOLE |  | 355190 | 0 | 0 |
| DIGITAL RLTY TR INC | COM | 253868103 |  | 220594 | 2200 | SH | Put | SOLE |  | 2200 | 0 | 0 |
| DOORDASH INC | CL A | 25809K105 |  | 7801436 | 159800 | SH | Call | SOLE |  | 159800 | 0 | 0 |
| DOORDASH INC | CL A | 25809K105 |  | 3681028 | 75400 | SH | Put | SOLE |  | 75400 | 0 | 0 |
| DRAFTKINGS INC NEW | COM CL A | 26142V105 |  | 1025100 | 90000 | SH | Call | SOLE |  | 90000 | 0 | 0 |
| DROPBOX INC | NOTE 3/0 | 26210CAC8 |  | 13522581 | 14859 | PRN |  | SOLE |  | 14859 | 0 | 0 |
| DUOLINGO INC | CL A COM | 26603R106 |  | 355650 | 5000 | SH | Call | SOLE |  | 5000 | 0 | 0 |
| EMERGING MARKETS HORIZON COR | W EXP 11/16/202 | G3033X121 |  | 548 | 109640 | SH |  | SOLE |  | 109640 | 0 | 0 |
| ENERGEM CORP | W EXP 11/15/202 | G30449121 |  | 41164 | 527749 | SH |  | SOLE |  | 527749 | 0 | 0 |
| EPIPHANY TECHNOLOGY ACQUISIT | COM CL A | 29429X109 |  | 753477 | 75310 | SH |  | SOLE |  | 75310 | 0 | 0 |
| ETF SER SOLUTIONS | US GLB JETS | 26922A842 |  | 1537200 | 90000 | SH |  | SOLE |  | 90000 | 0 | 0 |
| FIRST HORIZON CORPORATION | COM | 320517105 |  | 3121815 | 127421 | SH |  | SOLE |  | 127421 | 0 | 0 |
| FIRST MAJESTIC SILVER CORP | COM | 32076V103 |  | 2126700 | 255000 | SH | Call | SOLE |  | 255000 | 0 | 0 |
| FLAME ACQUISITION CORP | W EXP 02/26/202 | 33850F116 |  | 184825 | 284346 | SH |  | SOLE |  | 284346 | 0 | 0 |
| FOCUS FINL PARTNERS INC | COM CL A | 34417P100 |  | 980201 | 26300 | SH | Call | SOLE |  | 26300 | 0 | 0 |
| FORTUNA SILVER MINES INC | COM | 349915108 |  | 1216125 | 324300 | SH | Call | SOLE |  | 324300 | 0 | 0 |
| FRANCO NEV CORP | COM | 351858105 |  | 3412000 | 25000 | SH | Call | SOLE |  | 25000 | 0 | 0 |
| FREEPORT-MCMORAN INC | CL B | 35671D857 |  | 7220000 | 190000 | SH | Call | SOLE |  | 190000 | 0 | 0 |
| FREEPORT-MCMORAN INC | CL B | 35671D857 |  | 9203600 | 242200 | SH | Put | SOLE |  | 242200 | 0 | 0 |
| FRESHPET INC | COM | 358039105 |  | 1424790 | 27000 | SH | Put | SOLE |  | 27000 | 0 | 0 |
| GARDINER HEALTHCARE ACQTS CO | W EXP 07/30/202 | 365506112 |  | 39600 | 421280 | SH |  | SOLE |  | 421280 | 0 | 0 |
| GETAROUND INC | W EXP 03/09/202 | 37427G119 |  | 3124 | 68369 | SH |  | SOLE |  | 68369 | 0 | 0 |
| GIGCAPITAL 5 INC | W EXP 03/28/202 | 37519U117 |  | 16906 | 483036 | SH |  | SOLE |  | 483036 | 0 | 0 |
| GLOBAL SYSTEMS DYNAMICS INC | W EXP 04/01/202 | 37653T116 |  | 29834 | 596678 | SH |  | SOLE |  | 596678 | 0 | 0 |
| GLOBALINK INVT INC | W EXP 12/03/202 | 37892F125 |  | 4400 | 400000 | SH |  | SOLE |  | 400000 | 0 | 0 |
| GLOBALINK INVT INC | RIGHT 12/06/2026 | 37892F117 |  | 20160 | 400000 | SH |  | SOLE |  | 400000 | 0 | 0 |
| GOAL ACQUISITIONS CORP | W EXP 02/11/202 | 38021H115 |  | 29527 | 633631 | SH |  | SOLE |  | 633631 | 0 | 0 |
| GOOD WKS II ACQUISITION CORP | W EXP 02/01/202 | 38216G112 |  | 6344 | 87509 | SH |  | SOLE |  | 87509 | 0 | 0 |
| GRAPHITE BIO INC | COM | 38870X104 |  | 94368 | 28424 | SH |  | SOLE |  | 28424 | 0 | 0 |
| GREEN VISOR FIN TEC ACQ CORP | W EXP 10/27/202 | G4166K126 |  | 2188 | 218796 | SH |  | SOLE |  | 218796 | 0 | 0 |
| HEARTLAND MEDIA ACQUISITION | W EXP 99/99/999 | 42237V116 |  | 4040 | 117098 | SH |  | SOLE |  | 117098 | 0 | 0 |
| HERTZ GLOBAL HLDGS INC | COM NEW | 42806J700 |  | 1531013 | 99481 | SH |  | SOLE |  | 99481 | 0 | 0 |
| HERTZ GLOBAL HLDGS INC | COM NEW | 42806J700 |  | 24624001 | 1600000 | SH | Call | SOLE |  | 1600000 | 0 | 0 |
| HNR ACQUISITION CORP | COM | 40472A102 |  | 110958 | 10840 | SH |  | SOLE |  | 10840 | 0 | 0 |
| HORIZON ACQUISITION CORPORAT | W EXP 10/19/202 | G46044114 |  | 534882 | 1304591 | SH |  | SOLE |  | 1304591 | 0 | 0 |
| IAA INC | COM | 449253103 |  | 769080 | 19227 | SH |  | SOLE |  | 19227 | 0 | 0 |
| INDUS REALTY TRUST INC | COM | 45580R103 |  | 1965841 | 30963 | SH |  | SOLE |  | 30963 | 0 | 0 |
| INSPIRE MED SYS INC | COM | 457730109 |  | 3767117 | 14956 | SH |  | SOLE |  | 14956 | 0 | 0 |
| INTERNATIONAL MEDIA ACQUISIT | RIGHT 99/99/9999 | 459867123 |  | 5300 | 75709 | SH |  | SOLE |  | 75709 | 0 | 0 |
| INTERNATIONAL MEDIA ACQUISIT | W EXP 07/21/202 | 459867115 |  | 4135 | 129216 | SH |  | SOLE |  | 129216 | 0 | 0 |
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 46138G508 |  | 2053000 | 100000 | SH | Put | SOLE |  | 100000 | 0 | 0 |
| ISHARES GOLD TR | ISHARES NEW | 464285204 |  | 10377000 | 300000 | SH | Call | SOLE |  | 300000 | 0 | 0 |
| ISHARES TR | 3 7 YR TREAS BD | 464288661 |  | 5744500 | 50000 | SH | Put | SOLE |  | 50000 | 0 | 0 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 |  | 79209934 | 795600 | SH | Call | SOLE |  | 795600 | 0 | 0 |
| ISHARES TR | IBOXX HI YD ETF | 464288513 |  | 8099300 | 110000 | SH | Put | SOLE |  | 110000 | 0 | 0 |
| JUPITER ACQUISITION CORP | W EXP 08/17/202 | 482082112 |  | 624 | 113474 | SH |  | SOLE |  | 113474 | 0 | 0 |
| JUPITER WELLNESS ACQUISITION | RIGHT 12/31/2028 | 48208E116 |  | 30820 | 615162 | SH |  | SOLE |  | 615162 | 0 | 0 |
| KHOSLA VENTURES ACQUISITION | CL A | 482504107 |  | 236988 | 23763 | SH |  | SOLE |  | 23763 | 0 | 0 |
| KHOSLA VENTURES ACQUT CO III | COM CL A | 482506102 |  | 138305 | 13893 | SH |  | SOLE |  | 13893 | 0 | 0 |
| KINROSS GOLD CORP | COM | 496902404 |  | 1431500 | 350000 | SH | Call | SOLE |  | 350000 | 0 | 0 |
| LIONHEART III CORP | W EXP 11/09/202 | 536262116 |  | 5788 | 222628 | SH |  | SOLE |  | 222628 | 0 | 0 |
| LIV CAPITAL ACQUISITN CORP I | W EXP 02/07/202 | G5510R113 |  | 15553 | 282790 | SH |  | SOLE |  | 282790 | 0 | 0 |
| LSB INDS INC | COM | 502160104 |  | 931000 | 70000 | SH | Call | SOLE |  | 70000 | 0 | 0 |
| LUMOS PHARMA INC | COM | 55028X109 |  | 57168 | 15836 | SH |  | SOLE |  | 15836 | 0 | 0 |
| LYFT INC | NOTE 1.500 5/1 | 55087PAB0 |  | 1757940 | 2000 | PRN |  | SOLE |  | 2000 | 0 | 0 |
| M3 BRIGADE ACQUISITION III | W EXP 07/31/202 | 55407R111 |  | 95105 | 237763 | SH |  | SOLE |  | 237763 | 0 | 0 |
| MAGNACHIP SEMICONDUCTOR CORP | COM | 55933J203 |  | 445086 | 47400 | SH | Call | SOLE |  | 47400 | 0 | 0 |
| MARATHON PETE CORP | COM | 56585A102 |  | 2618775 | 22500 | SH | Call | SOLE |  | 22500 | 0 | 0 |
| MASON INDUSTRIAL TECHNOLGY I | COM CL A | 57520Y106 |  | 2590904 | 259220 | SH |  | SOLE |  | 259220 | 0 | 0 |
| MAVERIX METALS INC | COM NEW | 57776F405 |  | 223105 | 47672 | SH |  | SOLE |  | 47672 | 0 | 0 |
| MAXAR TECHNOLOGIES INC | COM | 57778K105 |  | 805799 | 15574 | SH |  | SOLE |  | 15574 | 0 | 0 |
| MAXAR TECHNOLOGIES INC | COM | 57778K105 |  | 1034800 | 20000 | SH | Call | SOLE |  | 20000 | 0 | 0 |
| MAXPRO CAPITAL ACQUISITN COR | W EXP 09/27/202 | 57778T114 |  | 17875 | 325000 | SH |  | SOLE |  | 325000 | 0 | 0 |
| MCLAREN TECHNOLOGY ACQ CORP | CLASS A COM | 58176U109 |  | 1266020 | 123998 | SH |  | SOLE |  | 123998 | 0 | 0 |
| MCLAREN TECHNOLOGY ACQ CORP | W EXP 11/01/202 | 58176U117 |  | 525 | 105000 | SH |  | SOLE |  | 105000 | 0 | 0 |
| MODEL PERFORMANCE ACQU CORP | RIGHT 04/29/2026 | G6246M121 |  | 55715 | 103176 | SH |  | SOLE |  | 103176 | 0 | 0 |
| MONSTER BEVERAGE CORP NEW | COM | 61174X109 |  | 10998440 | 108327 | SH |  | SOLE |  | 108327 | 0 | 0 |
| MONTEREY BIO ACQUISITION COR | W EXP 10/05/202 | 61240F116 |  | 13200 | 400000 | SH |  | SOLE |  | 400000 | 0 | 0 |
| MONTEREY CAP ACQUISITION COR | W EXP 01/01/202 | 61244M117 |  | 6256 | 164642 | SH |  | SOLE |  | 164642 | 0 | 0 |
| MOUNT RAINIER ACQUISITION CO | W EXP 11/27/202 | 623006111 |  | 89998 | 499990 | SH |  | SOLE |  | 499990 | 0 | 0 |
| MOUNTAIN CREST ACQSITN CORP | RIGHT 08/30/2022 | 62404B115 |  | 163559 | 984700 | SH |  | SOLE |  | 984700 | 0 | 0 |
| MOUNTAIN CREST ACQSTN CORP I | RIGHT 05/14/2026 | 62402U115 |  | 35158 | 439470 | SH |  | SOLE |  | 439470 | 0 | 0 |
| MOUNTAIN CREST ACQUSITN CRP | RIGHT 06/29/2026 | 62403K116 |  | 15142 | 216314 | SH |  | SOLE |  | 216314 | 0 | 0 |
| MR COOPER GROUP INC | COM | 62482R107 |  | 20359515 | 507339 | SH |  | SOLE |  | 507339 | 0 | 0 |
| NABORS INDUSTRIES LTD | SH | G6359F137 |  | 3097400 | 20000 | SH | Put | SOLE |  | 20000 | 0 | 0 |
| NANO DIMENSION LTD | SPONSORD ADS NEW | 63008G203 |  | 195500 | 85000 | SH |  | SOLE |  | 85000 | 0 | 0 |
| NEVRO CORP | COM | 64157F103 |  | 1504800 | 38000 | SH | Call | SOLE |  | 38000 | 0 | 0 |
| NEVRO CORP | COM | 64157F103 |  | 1081080 | 27300 | SH | Put | SOLE |  | 27300 | 0 | 0 |
| NORTHERN STAR INVEST CORP II | COM CL A | 66574L100 |  | 1801533 | 179257 | SH |  | SOLE |  | 179257 | 0 | 0 |
| NORTHERN STAR INVEST CORP IV | COM CL A | 66575B101 |  | 231733 | 23058 | SH |  | SOLE |  | 23058 | 0 | 0 |
| NORTHERN STAR INVEST CORP IV | W EXP 02/25/202 | 66575B119 |  | 977 | 41938 | SH |  | SOLE |  | 41938 | 0 | 0 |
| NORTHERN STAR INVSTMNT CORP | COM CLASS A | 66573W107 |  | 784907 | 78334 | SH |  | SOLE |  | 78334 | 0 | 0 |
| NORTHERN STAR INVSTMNT CORP | W EXP 01/31/202 | 66573W115 |  | 2191 | 33804 | SH |  | SOLE |  | 33804 | 0 | 0 |
| NORTHVIEW ACQUISITION CORP | W EXP 08/02/202 | 66718N111 |  | 5114 | 144066 | SH |  | SOLE |  | 144066 | 0 | 0 |
| NOVA VISION ACQUISITION CORP | RIGHT 12/23/2023 | G6759A134 |  | 14964 | 263452 | SH |  | SOLE |  | 263452 | 0 | 0 |
| NOVA VISION ACQUISITION CORP | W EXP 12/31/202 | G6759A118 |  | 1305 | 261037 | SH |  | SOLE |  | 261037 | 0 | 0 |
| NUTANIX INC | NOTE 0.25010/0 | 67059NAH1 |  | 10938070 | 13000 | PRN |  | SOLE |  | 13000 | 0 | 0 |
| ORTHOFIX MED INC | COM | 68752M108 |  | 652443 | 31780 | SH |  | SOLE |  | 31780 | 0 | 0 |
| PAGERDUTY INC | NOTE 1.250 7/0 | 69553PAB6 |  | 6114780 | 6000 | PRN |  | SOLE |  | 6000 | 0 | 0 |
| PASITHEA THERAPEUTICS CORP | COM | 70261F103 |  | 181240 | 282437 | SH |  | SOLE |  | 282437 | 0 | 0 |
| PEBBLEBROOK HOTEL TR | NOTE 1.75012/1 | 70509VAA8 |  | 5232591 | 6300 | PRN |  | SOLE |  | 6300 | 0 | 0 |
| PELOTON INTERACTIVE INC | NOTE 2/1 | 70614WAB6 |  | 3559500 | 5000 | PRN |  | SOLE |  | 5000 | 0 | 0 |
| PELOTON INTERACTIVE INC | CL A COM | 70614W100 |  | 4411464 | 555600 | SH | Call | SOLE |  | 555600 | 0 | 0 |
| PELOTON INTERACTIVE INC | CL A COM | 70614W100 |  | 406528 | 51200 | SH | Put | SOLE |  | 51200 | 0 | 0 |
| PENNYMAC FINL SVCS INC NEW | COM | 70932M107 |  | 1959473 | 34583 | SH |  | SOLE |  | 34583 | 0 | 0 |
| PENNYMAC FINL SVCS INC NEW | COM | 70932M107 |  | 849900 | 15000 | SH | Call | SOLE |  | 15000 | 0 | 0 |
| PHARMACYTE BIOTECH INC | COM NEW | 71715X203 |  | 2145068 | 732105 | SH |  | SOLE |  | 732105 | 0 | 0 |
| PHILLIPS 66 | COM | 718546104 |  | 520400 | 5000 | SH | Call | SOLE |  | 5000 | 0 | 0 |
| PHOENIX BIOTECH ACQUISITION | CLASS A COM | 71902K105 |  | 124392 | 12124 | SH |  | SOLE |  | 12124 | 0 | 0 |
| PIEDMONT LITHIUM INC | COM | 72016P105 |  | 321346 | 7300 | SH | Call | SOLE |  | 7300 | 0 | 0 |
| PIVOTAL INVESTMENT CORP III | COM CL A | 72582M106 |  | 2524684 | 249450 | SH |  | SOLE |  | 249450 | 0 | 0 |
| PNM RES INC | COM | 69349H107 |  | 2936475 | 60186 | SH |  | SOLE |  | 60186 | 0 | 0 |
| POSHMARK INC | COM CL A | 73739W104 |  | 479059 | 26793 | SH |  | SOLE |  | 26793 | 0 | 0 |
| PROSOMNUS INC | W EXP 04/20/202 | 50535E116 |  | 20890 | 265780 | SH |  | SOLE |  | 265780 | 0 | 0 |
| PYROPHYTE ACQUISITION CORP | W EXP 05/03/202 | G7308P127 |  | 1493 | 19900 | SH |  | SOLE |  | 19900 | 0 | 0 |
| REDWOOD TR INC | COM | 758075402 |  | 3638367 | 538220 | SH |  | SOLE |  | 538220 | 0 | 0 |
| REVOLVE GROUP INC | CL A | 76156B107 |  | 4451777 | 199990 | SH |  | SOLE |  | 199990 | 0 | 0 |
| REVOLVE GROUP INC | CL A | 76156B107 |  | 1023960 | 46000 | SH | Call | SOLE |  | 46000 | 0 | 0 |
| RF ACQUISITION CORP | CLASS A COM | 74954L104 |  | 776953 | 76850 | SH |  | SOLE |  | 76850 | 0 | 0 |
| RINGCENTRAL INC | NOTE 3/0 | 76680RAF4 |  | 6731941 | 7799 | PRN |  | SOLE |  | 7799 | 0 | 0 |
| RINGCENTRAL INC | CL A | 76680R206 |  | 601800 | 17000 | SH | Call | SOLE |  | 17000 | 0 | 0 |
| RITCHIE BROS AUCTIONEERS | COM | 767744105 |  | 6361300 | 110000 | SH | Call | SOLE |  | 110000 | 0 | 0 |
| RIVIAN AUTOMOTIVE INC | COM CL A | 76954A103 |  | 2432760 | 132000 | SH | Call | SOLE |  | 132000 | 0 | 0 |
| ROC ENERGY ACQUISITION CORP | RIGHT 11/30/2028 | 77118V116 |  | 127500 | 750000 | SH |  | SOLE |  | 750000 | 0 | 0 |
| ROSE HILL ACQUISITION CORP | W EXP 10/07/202 | G7637J123 |  | 8100 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| ROTH CH ACQUISITION IV CO | W EXP 07/01/202 | 77867P112 |  | 169906 | 790995 | SH |  | SOLE |  | 790995 | 0 | 0 |
| ROTH CH ACQUISITION V CO | W EXP 12/10/202 | 77867R118 |  | 12765 | 336819 | SH |  | SOLE |  | 336819 | 0 | 0 |
| ROYAL CARIBBEAN GROUP | COM | V7780T103 |  | 1853625 | 37500 | SH | Call | SOLE |  | 37500 | 0 | 0 |
| SAN JUAN BASIN RTY TR | UNIT BEN INT | 798241105 |  | 27330447 | 2393209 | SH |  | SOLE |  | 2393209 | 0 | 0 |
| SAN JUAN BASIN RTY TR | UNIT BEN INT | 798241105 |  | 520752 | 45600 | SH | Put | SOLE |  | 45600 | 0 | 0 |
| SEAPORT CALIBRE MATLS ACQUIS | CLASS A COM | 812204105 |  | 118105 | 11545 | SH |  | SOLE |  | 11545 | 0 | 0 |
| SEAPORT CALIBRE MATLS ACQUIS | W EXP 10/28/202 | 812204113 |  | 6771 | 193450 | SH |  | SOLE |  | 193450 | 0 | 0 |
| SEASPINE HLDGS CORP | COM | 81255T108 |  | 222561 | 26654 | SH |  | SOLE |  | 26654 | 0 | 0 |
| SELINA HOSPITALITY PLC | ORDINARY SHARES | G8059B101 |  | 50334 | 185736 | SH |  | SOLE |  | 185736 | 0 | 0 |
| SEMTECH CORP | COM | 816850101 |  | 766539 | 26718 | SH |  | SOLE |  | 26718 | 0 | 0 |
| SERITAGE GROWTH PPTYS | CL A | 81752R100 |  | 9270272 | 783624 | SH |  | SOLE |  | 783624 | 0 | 0 |
| SERITAGE GROWTH PPTYS | CL A | 81752R100 |  | 591500 | 50000 | SH | Call | SOLE |  | 50000 | 0 | 0 |
| SHAW COMMUNICATIONS INC | CL B CONV | 82028K200 |  | 7042896 | 244800 | SH |  | SOLE |  | 244800 | 0 | 0 |
| SIERRA WIRELESS INC | COM | 826516106 |  | 4764167 | 164395 | SH |  | SOLE |  | 164395 | 0 | 0 |
| SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 82706C108 |  | 429844 | 6614 | SH |  | SOLE |  | 6614 | 0 | 0 |
| SOLID BIOSCIENCES INC | COM NEW | 83422E204 |  | 1841418 | 342271 | SH |  | SOLE |  | 342271 | 0 | 0 |
| SOLITARIO ZINC CORP | COM | 8342EP107 |  | 576693 | 930000 | SH |  | SOLE |  | 930000 | 0 | 0 |
| SOUTH JERSEY INDS INC | COM | 838518108 |  | 2885285 | 81207 | SH |  | SOLE |  | 81207 | 0 | 0 |
| SPIRIT AIRLS INC | COM | 848577102 |  | 2038874 | 104665 | SH |  | SOLE |  | 104665 | 0 | 0 |
| SPIRIT AIRLS INC | NOTE 1.000 5/1 | 848577AB8 |  | 3877696 | 4798 | PRN |  | SOLE |  | 4798 | 0 | 0 |
| SPLUNK INC | NOTE 0.500 9/1 | 848637AC8 |  | 12625336 | 13057 | PRN |  | SOLE |  | 13057 | 0 | 0 |
| SPLUNK INC | COM | 848637104 |  | 860900 | 10000 | SH | Call | SOLE |  | 10000 | 0 | 0 |
| SPORTSMAP TECH ACQUISITIN CO | W EXP 09/01/202 | 84921J116 |  | 4092 | 372000 | SH |  | SOLE |  | 372000 | 0 | 0 |
| SPOTIFY USA INC | NOTE 3/1 | 84921RAB6 |  | 9711360 | 12000 | PRN |  | SOLE |  | 12000 | 0 | 0 |
| SSR MNG INC | NOTE 2.500 4/0 | 784730AB9 |  | 5643350 | 5000 | PRN |  | SOLE |  | 5000 | 0 | 0 |
| STORE CAP CORP | COM | 862121100 |  | 5059068 | 157800 | SH |  | SOLE |  | 157800 | 0 | 0 |
| SUMMIT HOTEL PPTYS | NOTE 1.500 2/1 | 866082AA8 |  | 7196470 | 8375 | PRN |  | SOLE |  | 8375 | 0 | 0 |
| SUMMIT HOTEL PPTYS INC | COM | 866082100 |  | 755934 | 104700 | SH | Call | SOLE |  | 104700 | 0 | 0 |
| TARGET CORP | COM | 87612E106 |  | 3726000 | 25000 | SH | Call | SOLE |  | 25000 | 0 | 0 |
| TARGET CORP | COM | 87612E106 |  | 4620240 | 31000 | SH | Put | SOLE |  | 31000 | 0 | 0 |
| THE GROWTH FOR GOOD ACQU COR | W EXP 11/12/202 | G41522114 |  | 1717 | 45069 | SH |  | SOLE |  | 45069 | 0 | 0 |
| THE VALENS COMPANY INC | COM NEW | 91914P603 |  | 129228 | 195800 | SH |  | SOLE |  | 195800 | 0 | 0 |
| TLG ACQUISITION ONE CORP | COM CL A | 87257M108 |  | 613070 | 60223 | SH |  | SOLE |  | 60223 | 0 | 0 |
| TOLL BROTHERS INC | COM | 889478103 |  | 1497600 | 30000 | SH | Call | SOLE |  | 30000 | 0 | 0 |
| TORTOISEECOFIN ACQUISITION C | W EXP 07/22/202 | G8956E117 |  | 3575 | 17874 | SH |  | SOLE |  | 17874 | 0 | 0 |
| TRADEUP ACQUISITION CORP | W EXP 10/15/202 | 89268A115 |  | 6976 | 134155 | SH |  | SOLE |  | 134155 | 0 | 0 |
| TRIPADVISOR INC | NOTE 0.250 4/0 | 896945AD4 |  | 6920445 | 8500 | PRN |  | SOLE |  | 8500 | 0 | 0 |
| TRISTAR ACQUISITION I CORP | W EXP 99/99/999 | G9074V114 |  | 4601 | 181857 | SH |  | SOLE |  | 181857 | 0 | 0 |
| TWO HBRS INVT CORP | COM | 90187B804 |  | 6930284 | 439460 | SH |  | SOLE |  | 439460 | 0 | 0 |
| U HAUL HOLDING COMPANY | COM | 023586100 |  | 722280 | 12000 | SH | Call | SOLE |  | 12000 | 0 | 0 |
| U HAUL HOLDING COMPANY | COM SER N | 023586506 |  | 9724972 | 176882 | SH |  | SOLE |  | 176882 | 0 | 0 |
| U HAUL HOLDING COMPANY | COM | 023586100 |  | 782470 | 13000 | SH |  | SOLE |  | 13000 | 0 | 0 |
| UBER TECHNOLOGIES INC | NOTE 12/1 | 90353TAJ9 |  | 3375640 | 4000 | PRN |  | SOLE |  | 4000 | 0 | 0 |
| UNITED STATES STL CORP NEW | COM | 912909108 |  | 4008000 | 160000 | SH | Call | SOLE |  | 160000 | 0 | 0 |
| UNITED STATES STL CORP NEW | COM | 912909108 |  | 876750 | 35000 | SH | Put | SOLE |  | 35000 | 0 | 0 |
| VIRGIN GALACTIC HOLDINGS INC | COM | 92766K106 |  | 216456 | 62200 | SH | Call | SOLE |  | 62200 | 0 | 0 |
| VISION SENSING ACQUISITION C | W EXP 10/21/202 | 92838J111 |  | 2955 | 73875 | SH |  | SOLE |  | 73875 | 0 | 0 |
| VIVEON HEALTH ACQUISITION CO | W EXP 99/99/999 | 92853V114 |  | 54677 | 1093538 | SH |  | SOLE |  | 1093538 | 0 | 0 |
| VIVEON HEALTH ACQUISITION CO | RIGHT 12/31/2025 | 92853V122 |  | 94254 | 722804 | SH |  | SOLE |  | 722804 | 0 | 0 |
| VIZSLA SILVER CORP | COM NEW | 92859G202 |  | 45600 | 40000 | SH |  | SOLE |  | 40000 | 0 | 0 |
| VMWARE INC | CL A COM | 928563402 |  | 2129641 | 17348 | SH |  | SOLE |  | 17348 | 0 | 0 |
| WAG GROUP CO | COMMON STOCK | 93042P109 |  | 92400 | 60000 | SH |  | SOLE |  | 60000 | 0 | 0 |
| WAYFAIR INC | NOTE 1.12511/0 | 94419LAD3 |  | 4242850 | 5000 | PRN |  | SOLE |  | 5000 | 0 | 0 |
| WAYFAIR INC | CL A | 94419L101 |  | 3913910 | 119000 | SH | Call | SOLE |  | 119000 | 0 | 0 |
| WESTERN ACQSTN VENTURES CORP | COM | 95758L107 |  | 287402 | 28232 | SH |  | SOLE |  | 28232 | 0 | 0 |
| WESTROCK COFFEE CO | COM | 96145W103 |  | 626250 | 93750 | SH |  | SOLE |  | 93750 | 0 | 0 |
| WINGSTOP INC | COM | 974155103 |  | 688100 | 5000 | SH | Put | SOLE |  | 5000 | 0 | 0 |
| WINVEST ACQUISITION CORP | RIGHT 99/99/9999 | 97655B125 |  | 45732 | 630792 | SH |  | SOLE |  | 630792 | 0 | 0 |
| WINVEST ACQUISITION CORP | W EXP 08/09/202 | 97655B117 |  | 9999 | 588200 | SH |  | SOLE |  | 588200 | 0 | 0 |
| WISDOMTREE INC | NOTE 4.250 6/1 | 97717PAB0 |  | 12852577 | 12250 | PRN |  | SOLE |  | 12250 | 0 | 0 |
| YAMANA GOLD INC | COM | 98462Y100 |  | 3739757 | 673830 | SH |  | SOLE |  | 673830 | 0 | 0 |

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