K2 PRINCIPAL FUND, L.P. enters SIMPLICITY ESPORTS & GAMING CO with 319.82K shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Direct Derivatives
Filed: 12/10/2018ACC: 0001461790-18-000045
10% Owner
Since Nov 2018
319.82K
Baseline shares
100% direct
319.82K
Direct ownership
1 position
1.04M
Derivative underlying
2 instruments
1
Security positions
All direct
Non-Derivative Holdings1
Common Stock
DirectShares owned319.82K
Total
319.82K direct319.82K
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 319.82K | Direct |
| Total | 319.82K | 319.82K direct |
Derivative Holdings2
Forward Sale Agreement (obligation to sell)
DirectUnderlying security
Common Stock
Underlying shares
220K
Shares owned
N/A
Exercise price
11.23
Expiration
—
Exercise window
—
Warrants
DirectUnderlying security
Common Stock
Underlying shares
819.55K
Shares owned
N/A
Exercise price
11.5
Expiration
—
Exercise window
—
Total
Underlying
1.04M
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Forward Sale Agreement (obligation to sell) Direct | Common Stock | 11.23 | — | — | 220K | N/A |
| Warrants Direct | Common Stock | 11.5 | — | — | 819.55K | N/A |
| Total | 1.04M | 0.00 | ||||