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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
+6.02%
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
$1.2B
AUM Growth
+$146M
Cap. Flow
+$18.1M
Cap. Flow %
1.5%
Top 10 Hldgs %
29.56%
Holding
432
New
155
Increased
62
Reduced
58
Closed
138

Top Buys

Rank Stock Value
1
TWX
Time Warner Inc
TWX
+$22.3M
2
KAACU
Kayne Anderson Acquisition Corp. Unit
KAACU
+$20M
3
CWEI
Clayton Williams Energy, Inc.
CWEI
+$17.5M
4
GSHTU
Gores Holdings II, Inc. Units
GSHTU
+$6.74M
5
DBD
Diebold Nixdorf Incorporated
DBD
+$6.32M

Top Sells

Rank Stock Value
1
STJ
St Jude Medical
STJ
+$31.4M
2
ACAS
American Capital Ltd
ACAS
+$25M
3
IOC
Interoil Corporation
IOC
+$14.6M
4
WCN
Waste Connections
WCN
+$13.6M
5
BAS
Basis Energy Services, Inc.
BAS
+$10.4M

Sector Composition

Rank Sector Weight
1 Technology 8.44%
2 Energy 5.43%
3 Communication Services 5.27%
4 Financials 4.83%
5 Materials 3.82%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DB.RT
276
DELISTED
Deutsche Bank Aktiengesellschaft
DB.RT
$142K 0.01%
+60,000
New +$137K
GTYHW
277
DELISTED
GTY Technology Holdings, Inc. Warrants
GTYHW
$141K 0.01%
+125,753
New +$147K
PLYAW
278
DELISTED
Playa Hotels & Resorts N.V. Warrants
PLYAW
$134K 0.01%
+174,900
New +$136K
MACQW
279
DELISTED
M I Acquisitions, Inc. Warrant
MACQW
$128K 0.01%
+400,000
New +$120K
ENPH icon
280
Enphase Energy
ENPH
$4.84B
$106K 0.01%
+77,320
New +$113K
WIN
281
PUT
DELISTED
Windstream Holdings Inc
WIN
$106K 0.01%
+3,880
New +$139K
CPAAW
282
DELISTED
Conyers Park Acquisition Corp. Warrant
CPAAW
$103K 0.01%
+50,000
New +$116K
ODP
283
DELISTED
ODP
ODP
$71K 0.01%
1,524
-320
-17% -$14.5K
GIG
284
DELISTED
GigPeak, Inc.
GIG
$71K 0.01%
+22,954
New +$65.2K
ARLZ
285
DELISTED
Aralez Pharmaceuticals Inc.
ARLZ
$62K 0.01%
29,060
-69,518
-71% -$261K
MIIIW
286
DELISTED
M III Acquisition Corp. Warrant
MIIIW
$61K 0.01%
+179,500
New +$51.2K
IAG icon
287
IAMGOLD
IAG
$8.47B
$58K ﹤0.01%
14,394
-53,952
-79% -$230K
GPIAW
288
DELISTED
GP Investments Acquisition Corp
GPIAW
$48K ﹤0.01%
120,250
– –
STLRW
289
DELISTED
Stellar Acquisition III Inc. Warrants
STLRW
$11K ﹤0.01%
32,000
– –
APTV icon
290
CALL
Aptiv
APTV
$12B
– –
-13,000
Closed -$875K
APTV icon
291
PUT
Aptiv
APTV
$12B
– –
-4,000
Closed -$269K
ARCC icon
292
PUT
Ares Capital
ARCC
$13.5B
– –
-89,500
Closed -$1.48M
AUPH icon
293
Aurinia Pharmaceuticals
AUPH
$1.97B
– –
-201,522
Closed -$423K
DCH
294
Dauch Corp
DCH
$1.3B
– –
-10,000
Closed -$199K
AXTA icon
295
Axalta
AXTA
$7.01B
– –
-32,103
Closed -$873K
BALL icon
296
CALL
Ball Corp
BALL
$17B
– –
-23,400
Closed -$878K
BALL icon
297
Ball Corp
BALL
$17B
– –
-6,200
Closed -$233K
BCS icon
298
CALL
Barclays
BCS
$94.1B
– –
-26,509
Closed -$275K
BFH icon
299
CALL
Bread Financial
BFH
$4.21B
– –
-6,265
Closed -$1.14M
BFH icon
300
Bread Financial
BFH
$4.21B
– –
-30,072
Closed -$5.48M
10 11
12
13 14

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WIM
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LCG
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CCM
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SMA
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SCA
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K2 Principal Fund's Q1 2017 Portfolio in Review

As of Q1 2017, K2 Principal Fund held 432 positions worth $1.2B, up 14% from $1.06B the previous quarter. Its ten largest holdings account for 30% of the portfolio.

K2 Principal Fund's Q1 2017 filing shows 155 new, 62 increased, 58 reduced and 138 closed positions. Its largest new stake was Kayne Anderson Acquisition Corp. Unit: 2,000,000 shares worth $20M. The largest sale was St Jude Medical, an estimated $31.4M.

By sector, the portfolio is most concentrated in Technology at 8.4% of assets, up from 7.6% a quarter earlier, followed by Energy and Communication Services.

  • K2 Principal Fund's largest Q1 2017 buy was Kayne Anderson Acquisition Corp. Unit: 2,000,000 shares worth $20M.
  • K2 Principal Fund added most to Time Warner Inc in Q1 2017, an estimated $22.3M increase.
  • K2 Principal Fund's biggest Q1 2017 reduction was Cypress Semiconductor, cutting an estimated $7.44M.
  • K2 Principal Fund fully exited St Jude Medical in Q1 2017, selling an estimated $31.4M.
  • K2 Principal Fund's ten largest holdings make up 30% of its $1.2B portfolio in Q1 2017.
  • K2 Principal Fund opened 155 new positions and closed 138 in Q1 2017.
  • K2 Principal Fund's portfolio value rose 14% quarter-over-quarter to $1.2B.

Based on K2 Principal Fund's 13F filing for Q1 2017, filed 11 May 2017.