Home/Filings/4/0001461790-19-000003

4//SEC Filing

K2 PRINCIPAL FUND, L.P. 4

Accession 0001461790-19-000003

CIK 0001708410other

View on SEC.gov Company Profile

Filed

Jan 9, 7:00 PM ET

Accepted

Jan 10, 6:06 PM ET

Size

18.4 KB

Accession

0001461790-19-000003

Insider Transaction Report

Form 4

Period: 2019-01-09

SIMPLICITY ESPORTS & GAMING CoWINR

K2 PRINCIPAL FUND, L.P.

10% Owner

Transactions

Sale
Forward Sale Agreement (obligation to sell)
2019-01-09$3.31/sh−700$2,317→ 192,716 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (700 underlying)
Sale
Warrant
2019-01-09$0.38/sh−13,489$5,064→ 781,655 total
Exercise: $11.50From: 2018-11-23Exp: 2024-05-22→ Common Stock (13,489 underlying)
Sale
Forward Sale Agreement (obligation to sell)
2019-01-10$4.56/sh−62,494$284,748→ 130,222 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (62,494 underlying)

Shawn Kimel Investments, Inc.

10% Owner

Transactions

Sale
Forward Sale Agreement (obligation to sell)
2019-01-10$4.56/sh−62,494$284,748→ 130,222 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (62,494 underlying)
Sale
Forward Sale Agreement (obligation to sell)
2019-01-09$3.31/sh−700$2,317→ 192,716 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (700 underlying)
Sale
Warrant
2019-01-09$0.38/sh−13,489$5,064→ 781,655 total
Exercise: $11.50From: 2018-11-23Exp: 2024-05-22→ Common Stock (13,489 underlying)

K2 GENPAR LP

10% Owner

Transactions

Sale
Warrant
2019-01-09$0.38/sh−13,489$5,064→ 781,655 total
Exercise: $11.50From: 2018-11-23Exp: 2024-05-22→ Common Stock (13,489 underlying)
Sale
Forward Sale Agreement (obligation to sell)
2019-01-09$3.31/sh−700$2,317→ 192,716 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (700 underlying)
Sale
Forward Sale Agreement (obligation to sell)
2019-01-10$4.56/sh−62,494$284,748→ 130,222 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (62,494 underlying)

K2 GENPAR 2009 INC

10% Owner

Transactions

Sale
Forward Sale Agreement (obligation to sell)
2019-01-09$3.31/sh−700$2,317→ 192,716 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (700 underlying)
Sale
Warrant
2019-01-09$0.38/sh−13,489$5,064→ 781,655 total
Exercise: $11.50From: 2018-11-23Exp: 2024-05-22→ Common Stock (13,489 underlying)
Sale
Forward Sale Agreement (obligation to sell)
2019-01-10$4.56/sh−62,494$284,748→ 130,222 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (62,494 underlying)

K2 & Associates Investment Management Inc.

10% Owner

Transactions

Sale
Forward Sale Agreement (obligation to sell)
2019-01-09$3.31/sh−700$2,317→ 192,716 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (700 underlying)
Sale
Forward Sale Agreement (obligation to sell)
2019-01-10$4.56/sh−62,494$284,748→ 130,222 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (62,494 underlying)
Sale
Warrant
2019-01-09$0.38/sh−13,489$5,064→ 781,655 total
Exercise: $11.50From: 2018-11-23Exp: 2024-05-22→ Common Stock (13,489 underlying)

Kimel Shawn

10% Owner

Transactions

Sale
Forward Sale Agreement (obligation to sell)
2019-01-09$3.31/sh−700$2,317→ 192,716 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (700 underlying)
Sale
Forward Sale Agreement (obligation to sell)
2019-01-10$4.56/sh−62,494$284,748→ 130,222 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (62,494 underlying)
Sale
Warrant
2019-01-09$0.38/sh−13,489$5,064→ 781,655 total
Exercise: $11.50From: 2018-11-23Exp: 2024-05-22→ Common Stock (13,489 underlying)

Footnotes (1)

[F1]Pursuant to a forward sale agreement between the Reporting Person and the issuer, as amended, the Reporting Person will be obligated to sell 220,000 shares (the "Original Shares") to the issuer on behalf of K2 on January 18, 2019 unless such Original Shares are sold by the Reporting Person prior to such date. The prices at which the Reporting Person will be 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.

Documents

1 file

4
primary_doc.xmlPrimary
PRIMARY DOCUMENT

Issuer

SIMPLICITY ESPORTS & GAMING Co

CIK 0001708410

→

Entity typeother

IncorporatedOntario, Canada

Related Parties

filerCIK 0001461790

Filing Metadata

Form type: 4
Filed: Jan 9, 7:00 PM ET
Accepted: Jan 10, 6:06 PM ET
Size: 18.4 KB

View on SEC.gov