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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
TH icon
276
Target Hospitality
TH
$1.47B
$264K 0.03%
26,855
-25,691
-49% -$251K
CALL
277
DELISTED
magicJack VocalTec Ltd
CALL
$264K 0.03%
+31,670
New +$269K
KLR
278
DELISTED
Kaleyra, Inc.
KLR
$251K 0.02%
7,215
-567
-7% -$19.6K
ATHN
279
CALL
DELISTED
Athenahealth, Inc.
ATHN
$240K 0.02%
+1,800
New +$270K
CMSSW
280
DELISTED
CM Seven Star Acquisition Corporation Warrant
CMSSW
$239K 0.02%
509,534
+260,234
+104% +$124K
TWNKW
281
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$237K 0.02%
224,000
+44,000
+24% +$70.6K
PAAS icon
282
Pan American Silver
PAAS
$18.2B
$236K 0.02%
+16,000
New +$255K
CMSSR
283
DELISTED
CM Seven Star Acquisition Corporation Right
CMSSR
$236K 0.02%
471,954
+203,600
+76% +$98.5K
XOXO
284
DELISTED
Xo Group Inc
XOXO
$225K 0.02%
+6,530
New +$202K
PEB icon
285
Pebblebrook Hotel Trust
PEB
$2.2B
$223K 0.02%
+6,141
New +$234K
OMAD.WS
286
DELISTED
One Madison Corporation
OMAD.WS
$219K 0.02%
+188,959
New +$214K
GBNK
287
DELISTED
Guaranty Bancorp
GBNK
$215K 0.02%
+7,229
New +$221K
AHPAW
288
DELISTED
Avista Healthcare Public Acquisition Corp. Warrants
AHPAW
$214K 0.02%
1,071,935
+174,975
+20% +$50.5K
IAMXR
289
DELISTED
I-AM Capital Acquisition Company Right
IAMXR
$211K 0.02%
+421,465
New +$179K
VVC
290
DELISTED
Vectren Corporation
VVC
$207K 0.02%
+2,900
New +$207K
HYACW
291
DELISTED
Haymaker Acquisition Corp. Warrant
HYACW
$183K 0.02%
151,600
+500
+0.3% +$541
GSAH.WS
292
DELISTED
GS Acquisition Holdings Corp Warrants, each whole warrant exercisable for one share of Class A Commo
GSAH.WS
$172K 0.02%
+101,020
New +$183K
TMCXW
293
DELISTED
Trinity Merger Corp. Warrant
TMCXW
$150K 0.01%
299,400
– –
BRPAR
294
DELISTED
Big Rock Partners Acquisition Corp. Right
BRPAR
$146K 0.01%
340,332
+38,935
+13% +$16.6K
CIC.WS
295
DELISTED
Capitol Investment Corp. IV
CIC.WS
$135K 0.01%
+92,000
New +$130K
TIBRW
296
DELISTED
Tiberius Acquisition Corporation Warrant
TIBRW
$118K 0.01%
200,000
– –
ABUS icon
297
Arbutus Biopharma
ABUS
$871M
$112K 0.01%
11,884
-8,707
-42% -$86.5K
JE
298
PUT
DELISTED
Just Energy Group Inc
JE
$93K 0.01%
+909
New +$100K
GIG.RT
299
DELISTED
GigCapital, Inc. Rights, each exchangeable into one-tenth of one share of Common Stock
GIG.RT
$84K 0.01%
159,200
– –
AMRWW
300
DELISTED
Alta Mesa Resources Inc Warrant
AMRWW
$79K 0.01%
157,166
– –
10 11
12
13 14

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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.