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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
+1%
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
$925M
AUM Growth
+$96.1M
Cap. Flow
-$40.2M
Cap. Flow %
-4.35%
Top 10 Hldgs %
15.68%
Holding
421
New
140
Increased
50
Reduced
44
Closed
117

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$20.8M
2
V icon
Visa
V
+$9.2M
3
SPCE icon
Virgin Galactic
SPCE
+$8.23M
4
AMD icon
Advanced Micro Devices
AMD
+$8M
5
QCOM icon
Qualcomm
QCOM
+$7.9M

Top Sells

Rank Stock Value
1
LLL
L3 Technologies, Inc.
LLL
+$8.64M
2
RHT
Red Hat Inc
RHT
+$8M
3
TRCO
TRIBUNE MEDIA COMPANY CLASS A
TRCO
+$7.86M
4
DFBHU
DFB Healthcare Acquisitions Corp. Unit
DFBHU
+$7.84M
5
CTOS icon
Custom Truck One Source
CTOS
+$6.52M

Sector Composition

Rank Sector Weight
1 Industrials 7.92%
2 Consumer Discretionary 6.81%
3 Technology 6.05%
4 Communication Services 4.25%
5 Financials 3.52%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FMCIW
276
CALL
DELISTED
Forum Merger II Corporation Warrant
FMCIW
$23K ﹤0.01%
+39,400
New +$23.2K
NRXPW
277
CALL
DELISTED
NRX Pharmaceuticals Warrant
NRXPW
$17K ﹤0.01%
+101,200
New +$19.7K
LGC.WS
278
CALL
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$17K ﹤0.01%
+47,620
New +$16.1K
DPHCW
279
CALL
DELISTED
DiamondPeak Holdings Corp. Warrant
DPHCW
$13K ﹤0.01%
+15,533
New +$11.6K
GIX.RT
280
CALL
DELISTED
GigCapital2, Inc. Rights, each exchangeable into one-twentieth of a share of Common Stock
GIX.RT
$9K ﹤0.01%
+29,700
New +$5.42K
AAPL icon
281
PUT
Apple
AAPL
$4.98T
– –
-220,000
Closed -$10.9M
ABBV icon
282
PUT
AbbVie
ABBV
$468B
– –
-8,600
Closed -$625K
ACN icon
283
Accenture
ACN
$102B
– –
-4,000
Closed -$739K
BBCP icon
284
Concrete Pumping Holdings
BBCP
$520M
– –
-52,222
Closed -$267K
CENTA icon
285
Central Garden & Pet Co Class A
CENTA
$2.47B
– –
-125,068
Closed -$2.46M
CHR icon
286
Cheer Holding
CHR
$3.6M
– –
-55
Closed -$821K
COHR icon
287
Coherent
COHR
$46.2B
– –
-21,922
Closed -$801K
CTOS icon
288
Custom Truck One Source
CTOS
$2.37B
– –
-637,499
Closed -$6.52M
EBAY icon
289
PUT
eBay
EBAY
$51.6B
– –
-17,000
Closed -$672K
GNLN icon
290
Greenlane Holdings
GNLN
$1.12M
– –
0
– -$671K
GOOGL icon
291
CALL
Alphabet (Google) Class A
GOOGL
$4.03T
– –
-570,000
Closed -$30.9M
HOFV
292
DELISTED
Hall of Fame Resort & Entertainment Co
HOFV
– –
-2,187
Closed -$350K
IIPR icon
293
CALL
Innovative Industrial Properties
IIPR
$1.79B
– –
-45,000
Closed -$5.56M
LBTYA icon
294
Liberty Global Class A
LBTYA
$3.39B
– –
-16,795
Closed -$453K
LILA icon
295
Liberty Latin America Class A
LILA
$1.67B
– –
-38,985
Closed -$430K
LPX icon
296
CALL
Louisiana-Pacific
LPX
$5.33B
– –
-250,000
Closed -$6.55M
MERC icon
297
CALL
Mercer International
MERC
$44.9M
– –
-150,000
Closed -$2.32M
MGM icon
298
CALL
MGM Resorts International
MGM
$11.8B
– –
-105,000
Closed -$3M
MPWR icon
299
Monolithic Power Systems
MPWR
$63B
– –
-15,000
Closed -$2.04M
MVSTW
300
DELISTED
Microvast Holdings Warrants
MVSTW
– –
-850,000
Closed -$695K
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 Q3 2019 Portfolio in Review

As of Q3 2019, K2 Principal Fund held 421 positions worth $925M, up 12% from $828M the previous quarter. Its ten largest holdings account for 16% of the portfolio.

K2 Principal Fund withdrew a net $40.2M in Q3 2019, closing 117 positions and reducing 44 holdings. Its most notable exit was L3 Technologies, Inc., an estimated $8.64M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 7.9% of assets, up from 7.8% a quarter earlier, followed by Consumer Discretionary and Technology.

Against the trend, K2 Principal Fund opened a new position in Amazon worth $19.5M.

  • K2 Principal Fund's largest Q3 2019 buy was Amazon: 224,300 shares worth $19.5M.
  • K2 Principal Fund added most to Virgin Galactic in Q3 2019, an estimated $8.23M increase.
  • K2 Principal Fund's biggest Q3 2019 reduction was LiveVox Holding, Inc. Unit, cutting an estimated $6.14M.
  • K2 Principal Fund fully exited L3 Technologies, Inc. in Q3 2019, selling an estimated $8.64M.
  • K2 Principal Fund's ten largest holdings make up 16% of its $925M portfolio in Q3 2019.
  • K2 Principal Fund opened 140 new positions and closed 117 in Q3 2019.
  • K2 Principal Fund's portfolio value rose 12% quarter-over-quarter to $925M.

Based on K2 Principal Fund's 13F filing for Q3 2019, filed 15 Nov 2019.