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KPF

K2 Principal Fund Portfolio holdings

AUM $1.43B
1-Year Est. Return 29.56%
This Fund
S&P 500
This Quarter Est. Return
+3.64%
1 Year Est. Return
+29.56%
3 Year Est. Return
+71.66%
5 Year Est. Return
+57.43%
10 Year Est. Return
+278.66%
AUM
$1.04B
AUM Growth
-$251M
Cap. Flow
-$317M
Cap. Flow %
-30.46%
Top 10 Hldgs %
19.43%
Holding
449
New
137
Increased
69
Reduced
76
Closed
122

Top Buys

Rank Stock Value
1
NRCG
NRC Group Holdings Corp.
NRCG
+$11M
2
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$10.9M
3
SPAQ.U
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
+$10.4M
4
BPYU
Brookfield Property REIT Inc. Class A Common Stock
BPYU
+$9.85M
5
CA
CA, Inc.
CA
+$8.12M

Top Sells

Rank Stock Value
1
NXPI icon
NXP Semiconductors
NXPI
+$25M
2
AABA
Altaba Inc
AABA
+$23.1M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$14.2M
4
LGC.U
Legacy Acquisition Corp. Units, each consisting of one share of Class A common stock, $.0001 par val
LGC.U
+$10.4M
5
PACQU
Pure Acquisition Corp. Unit
PACQU
+$10.4M

Sector Composition

Rank Sector Weight
1 Technology 9.34%
2 Financials 8.83%
3 Industrials 5.23%
4 Communication Services 4.39%
5 Healthcare 4.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CCMP
251
DELISTED
CMC Materials, Inc. Common Stock
CCMP
$445K 0.04%
+4,316
New +$487K
B
252
CALL
Barrick Mining
B
$60.7B
$444K 0.04%
+40,000
New +$445K
BW icon
253
Babcock & Wilcox
BW
$1.28B
$430K 0.04%
41,786
+4,400
+12% +$73K
FPAC.WS
254
DELISTED
Far Point Acquisition Corporation Warrants, exercisable for one share of Class A Common Stock for $1
FPAC.WS
$428K 0.04%
+259,634
New +$420K
SCACW
255
DELISTED
Saban Capital Acquisition Corp. Warrants
SCACW
$419K 0.04%
380,595
+255,595
+204% +$324K
MCD icon
256
McDonald's
MCD
$197B
$418K 0.04%
+2,500
New +$401K
LBRDK icon
257
Liberty Broadband Class C
LBRDK
$4.6B
$413K 0.04%
4,900
-5,000
-51% -$399K
SMPLW
258
DELISTED
The Simply Good Foods Company Warrant
SMPLW
$397K 0.04%
50,200
+200
+0.4% +$1.24K
EAGLW
259
DELISTED
Platinum Eagle Acquisition Corp. Warrant
EAGLW
$390K 0.04%
289,066
-18,834
-6% -$25.6K
NAV
260
CALL
DELISTED
Navistar International
NAV
$385K 0.04%
+10,000
New +$417K
FSACW
261
DELISTED
Federal Street Acquisition Corp. Warrant
FSACW
$376K 0.04%
268,542
+86,142
+47% +$132K
PAAS icon
262
PUT
Pan American Silver
PAAS
$18B
$369K 0.04%
25,000
– –
SNBR
263
PUT
DELISTED
Sleep Number
SNBR
$368K 0.04%
+10,000
New +$324K
WRLSW
264
DELISTED
Pensare Acquisition Corp. Warrant
WRLSW
$350K 0.03%
673,401
+1,501
+0.2% +$889
SBUX icon
265
PUT
Starbucks
SBUX
$120B
$341K 0.03%
+6,000
New +$317K
AHCO icon
266
AdaptHealth
AHCO
$1.52B
$340K 0.03%
35,000
+10,000
+40% +$97K
CXO
267
DELISTED
CONCHO RESOURCES INC.
CXO
$336K 0.03%
+2,200
New +$310K
HOFV
268
DELISTED
Hall of Fame Resort & Entertainment Co
HOFV
$323K 0.03%
2,115
– –
MPACW
269
DELISTED
Matlin & Partners Acquisition Corporation
MPACW
$318K 0.03%
424,064
-275,375
-39% -$207K
IAMXW
270
DELISTED
I-AM Capital Acquisition Company Warrant
IAMXW
$287K 0.03%
+819,954
New +$321K
GSS
271
DELISTED
Golden Star Resources Ltd.
GSS
$286K 0.03%
+79,008
New +$281K
PARA
272
DELISTED
Paramount Global Class B
PARA
$277K 0.03%
+4,818
New +$266K
PERY
273
PUT
DELISTED
Perry Ellis International Inc
PERY
$273K 0.03%
+10,000
New +$280K
BROG
274
DELISTED
Brooge Energy
BROG
$270K 0.03%
+28,200
New +$270K
PRTH icon
275
Priority Technology Holdings
PRTH
$546M
$270K 0.03%
27,800
-212,181
-88% -$2.27M
9 10
11
12 13

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WIM
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LCG
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CCM
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TS
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SMA
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SCA
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K2 Principal Fund's Q3 2018 Portfolio in Review

As of Q3 2018, K2 Principal Fund held 449 positions worth $1.04B, down 19% from $1.29B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

K2 Principal Fund withdrew a net $317M in Q3 2018, closing 122 positions and reducing 76 holdings. Its most notable exit was Altaba Inc, an estimated $23.1M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.3% of assets, down from 14% a quarter earlier, followed by Financials and Industrials.

Against the trend, K2 Principal Fund opened a new position in Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of worth $10.5M.

  • K2 Principal Fund's largest Q3 2018 buy was Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of: 1,031,500 shares worth $10.5M.
  • K2 Principal Fund added most to NRC Group Holdings Corp. in Q3 2018, an estimated $11M increase.
  • K2 Principal Fund's biggest Q3 2018 reduction was NXP Semiconductors, cutting an estimated $25M.
  • K2 Principal Fund fully exited Altaba Inc in Q3 2018, selling an estimated $23.1M.
  • K2 Principal Fund's ten largest holdings make up 19% of its $1.04B portfolio in Q3 2018.
  • K2 Principal Fund opened 137 new positions and closed 122 in Q3 2018.
  • K2 Principal Fund's portfolio value fell 19% quarter-over-quarter to $1.04B.

Based on K2 Principal Fund's 13F filing for Q3 2018, filed 13 Nov 2018.