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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
+11.93%
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
$892M
AUM Growth
+$133M
Cap. Flow
+$76.1M
Cap. Flow %
8.54%
Top 10 Hldgs %
27.8%
Holding
388
New
139
Increased
53
Reduced
52
Closed
111

Top Buys

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$15.6M
2
YHOO
Yahoo Inc
YHOO
+$11.1M
3
WWAV
The WhiteWave Foods Company
WWAV
+$10.8M
4
BMY icon
Bristol-Myers Squibb
BMY
+$10.2M
5
KLAC icon
KLA
KLAC
+$7.95M

Top Sells

Rank Stock Value
1
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$30.2M
2
HOT
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
+$18M
3
CPGX
COLUMBIA PIPELINE GROUP IN COM STK (DE)
CPGX
+$14.1M
4
FNFG
FIRST NIAGARA FINANCIAL GROUP INC
FNFG
+$12.4M
5
CPXX
CELATOR PHARMACEUTICALS INC. COMMON STOCK
CPXX
+$8.13M

Sector Composition

Rank Sector Weight
1 Technology 11.22%
2 Energy 4.6%
3 Communication Services 4.08%
4 Industrials 4.05%
5 Financials 3.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
REGN icon
301
Regeneron Pharmaceuticals
REGN
$68.8B
– –
-1,850
Closed -$646K
RRGB icon
302
CALL
Red Robin
RRGB
$134M
– –
-27,000
Closed -$1.28M
SJNK icon
303
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.89B
– –
-8,500
Closed -$229K
SLG icon
304
CALL
SL Green Realty
SLG
$3.88B
– –
-2,066
Closed -$213K
SRG
305
PUT
Seritage Growth Properties
SRG
$130M
– –
-5,000
Closed -$249K
STT icon
306
CALL
State Street
STT
$50.9B
– –
-500,000
Closed -$13.1M
STT icon
307
PUT
State Street
STT
$50.9B
– –
-78,000
Closed -$6.52M
VTRS icon
308
Viatris
VTRS
$20.1B
– –
-30,000
Closed -$1.33M
VWO icon
309
PUT
Vanguard FTSE Emerging Markets ETF
VWO
$119B
– –
-14,000
Closed -$493K
VYX icon
310
NCR Voyix
VYX
$1.06B
– –
-16,300
Closed -$278K
WDAY icon
311
Workday
WDAY
$33.4B
– –
-4,000
Closed -$299K
WDAY icon
312
PUT
Workday
WDAY
$33.4B
– –
-8,000
Closed -$597K
WPM icon
313
Wheaton Precious Metals
WPM
$50.6B
– –
-12,500
Closed -$344K
WPRT
314
Westport Fuel Systems
WPRT
$36.4M
– –
-2,439
Closed -$41K
WPRT
315
PUT
Westport Fuel Systems
WPRT
$36.4M
– –
-2,860
Closed -$48K
XPO icon
316
XPO
XPO
$25B
– –
-159,027
Closed -$1.44M
XRX icon
317
Xerox
XRX
$337M
– –
-17,078
Closed -$427K
INFN
318
CALL
DELISTED
Infinera Corporation Common Stock
INFN
– –
-100,000
Closed -$1.13M
INFN
319
DELISTED
Infinera Corporation Common Stock
INFN
– –
-130,950
Closed -$1.48M
PRMW
320
DELISTED
Primo Water Corporation
PRMW
– –
-80,000
Closed -$1.12M
EGRX
321
DELISTED
Eagle Pharmaceuticals, Inc.
EGRX
– –
-16,496
Closed -$640K
SWN
322
DELISTED
Southwestern Energy Company
SWN
– –
-100,000
Closed -$1.26M
FRGI
323
DELISTED
Fiesta Restaurant Group, Inc.
FRGI
– –
-35,000
Closed -$763K
XLNX
324
DELISTED
Xilinx Inc
XLNX
– –
-29,900
Closed -$1.54M
TRIL
325
DELISTED
Trillium Therapeutics Inc.
TRIL
– –
-14,614
Closed -$131K
11 12
13
14 15

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WIM
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CCM
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SMA
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SCA
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K2 Principal Fund's Q3 2016 Portfolio in Review

As of Q3 2016, K2 Principal Fund held 388 positions worth $892M, up 18% from $758M the previous quarter. Its ten largest holdings account for 28% of the portfolio.

K2 Principal Fund deployed $76.1M of net new capital in Q3 2016, opening 139 new positions and adding to 53 existing holdings. Its largest new stake was Alphabet (Google) Class C: 410,620 shares worth $16M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, up from 11% a quarter earlier, followed by Energy and Communication Services.

On the sell side, the largest reduction was Permian Resources, an estimated $4.76M trimmed.

  • K2 Principal Fund's largest Q3 2016 buy was Alphabet (Google) Class C: 410,620 shares worth $16M.
  • K2 Principal Fund added most to Yahoo Inc in Q3 2016, an estimated $11.1M increase.
  • K2 Principal Fund's biggest Q3 2016 reduction was Permian Resources, cutting an estimated $4.76M.
  • K2 Principal Fund fully exited Alphabet (Google) Class A in Q3 2016, selling an estimated $30.2M.
  • K2 Principal Fund's ten largest holdings make up 28% of its $892M portfolio in Q3 2016.
  • K2 Principal Fund opened 139 new positions and closed 111 in Q3 2016.
  • K2 Principal Fund's portfolio value rose 18% quarter-over-quarter to $892M.

Based on K2 Principal Fund's 13F filing for Q3 2016, filed 15 Nov 2016.