Home/Filings/4/0001461790-19-000005

4//SEC Filing

K2 PRINCIPAL FUND, L.P. 4

Accession 0001461790-19-000005

CIK 0001708410other

View on SEC.gov Company Profile

Filed

Jan 22, 7:00 PM ET

Accepted

Jan 23, 6:13 PM ET

Size

20.4 KB

Accession

0001461790-19-000005

Insider Transaction Report

Form 4

Period: 2019-01-18

SIMPLICITY ESPORTS & GAMING CoWINR

K2 PRINCIPAL FUND, L.P.

10% Owner

Transactions

Other
Common Stock
2019-01-18$6.00/sh−44,000$264,000→ 180,443 total
Other
Common Stock
2019-01-18$5.00/sh−44,000$220,000→ 136,443 total
Sale
Common Stock
2019-01-23$2.50/sh−6,000$15,000→ 93,821 total
Other
Common Stock
2019-01-18$4.00/sh−36,622$146,488→ 99,821 total
Other
Forward Sale Agreement (obligation to sell)
2019-01-18−124,622→ 0 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (124,622 underlying)

K2 GENPAR LP

10% Owner

Transactions

Other
Forward Sale Agreement (obligation to sell)
2019-01-18−124,622→ 0 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (124,622 underlying)
Other
Common Stock
2019-01-18$5.00/sh−44,000$220,000→ 136,443 total
Other
Common Stock
2019-01-18$6.00/sh−44,000$264,000→ 180,443 total
Other
Common Stock
2019-01-18$4.00/sh−36,622$146,488→ 99,821 total
Sale
Common Stock
2019-01-23$2.50/sh−6,000$15,000→ 93,821 total

Shawn Kimel Investments, Inc.

10% Owner

Transactions

Sale
Common Stock
2019-01-23$2.50/sh−6,000$15,000→ 93,821 total
Other
Forward Sale Agreement (obligation to sell)
2019-01-18−124,622→ 0 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (124,622 underlying)
Other
Common Stock
2019-01-18$6.00/sh−44,000$264,000→ 180,443 total
Other
Common Stock
2019-01-18$4.00/sh−36,622$146,488→ 99,821 total
Other
Common Stock
2019-01-18$5.00/sh−44,000$220,000→ 136,443 total

K2 GENPAR 2009 INC

10% Owner

Transactions

Other
Common Stock
2019-01-18$6.00/sh−44,000$264,000→ 180,443 total
Other
Common Stock
2019-01-18$4.00/sh−36,622$146,488→ 99,821 total
Other
Forward Sale Agreement (obligation to sell)
2019-01-18−124,622→ 0 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (124,622 underlying)
Other
Common Stock
2019-01-18$5.00/sh−44,000$220,000→ 136,443 total
Sale
Common Stock
2019-01-23$2.50/sh−6,000$15,000→ 93,821 total

K2 & Associates Investment Management Inc.

10% Owner

Transactions

Other
Common Stock
2019-01-18$6.00/sh−44,000$264,000→ 180,443 total
Other
Common Stock
2019-01-18$5.00/sh−44,000$220,000→ 136,443 total
Other
Forward Sale Agreement (obligation to sell)
2019-01-18−124,622→ 0 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (124,622 underlying)
Other
Common Stock
2019-01-18$4.00/sh−36,622$146,488→ 99,821 total
Sale
Common Stock
2019-01-23$2.50/sh−6,000$15,000→ 93,821 total

Kimel Shawn

10% Owner

Transactions

Other
Forward Sale Agreement (obligation to sell)
2019-01-18−124,622→ 0 total
From: 2019-01-18Exp: 2019-01-18→ Common Stock (124,622 underlying)
Other
Common Stock
2019-01-18$6.00/sh−44,000$264,000→ 180,443 total
Other
Common Stock
2019-01-18$5.00/sh−44,000$220,000→ 136,443 total
Other
Common Stock
2019-01-18$4.00/sh−36,622$146,488→ 99,821 total
Sale
Common Stock
2019-01-23$2.50/sh−6,000$15,000→ 93,821 total

Footnotes (1)

[F1]Pursuant to a forward sale agreement between the Reporting Person and the issuer, as amended, the Reporting Person was obligated to sell 220,000 shares (the "Original Shares") to the issuer on behalf of The K2 Principal Fund L.P. on January 18, 2019 unless such Original Shares were sold by the Reporting Person prior to such date. The prices at which the Reporting Person was 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. On January 18, 2019, an aggregate of 124,622 shares were sold in the quantities and at the prices listed above.

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 22, 7:00 PM ET
Accepted: Jan 23, 6:13 PM ET
Size: 20.4 KB

View on SEC.gov