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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
+5.29%
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
$1.51B
AUM Growth
+$4.06M
Cap. Flow
-$85.8M
Cap. Flow %
-5.67%
Top 10 Hldgs %
29.14%
Holding
481
New
146
Increased
64
Reduced
66
Closed
164

Top Buys

Rank Stock Value
1
ACEL icon
Accel Entertainment
ACEL
+$11.7M
2
SNI
Scripps Networks Interactive, Inc Common Class A
SNI
+$11.5M
3
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$11.1M
4
DGI
DigitalGlobe Inc.
DGI
+$10.3M
5
AVCT
American Virtual Cloud Technologies, Inc. Common Stock
AVCT
+$9.87M

Top Sells

Rank Stock Value
1
MBLY
Mobileye N.V.
MBLY
+$21.1M
2
NEXT icon
NextDecade
NEXT
+$14.5M
3
WOOF
VCA Inc.
WOOF
+$13M
4
TPGH.U
TPG Pace Holdings Corp. Units, each consisting of one Class A ordinary share, $.0001 par value, and
TPGH.U
+$12.3M
5
ELOS
Syneron Medical Ltd
ELOS
+$12.1M

Sector Composition

Rank Sector Weight
1 Technology 10.79%
2 Communication Services 8.99%
3 Energy 5.74%
4 Materials 4.62%
5 Financials 4.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MIIIW
301
DELISTED
M III Acquisition Corp. Warrant
MIIIW
$97K 0.01%
179,500
– –
PVG
302
CALL
DELISTED
PRETIUM RESOURCES INC.
PVG
$94K 0.01%
+10,100
New +$90.5K
NAK
303
Northern Dynasty Minerals
NAK
$885M
$90K 0.01%
+50,000
New +$79.1K
KBLMW
304
DELISTED
KBL Merger Corp. IV Warrant
KBLMW
$87K 0.01%
508,600
– –
ATACR
305
DELISTED
Atlantic Acquisition Corp. Right
ATACR
$78K 0.01%
+141,950
New +$62.1K
MPACW
306
DELISTED
Matlin & Partners Acquisition Corporation
MPACW
$68K ﹤0.01%
195,100
– –
ELECW
307
DELISTED
Electrum Special Acquisition Corporation
ELECW
$46K ﹤0.01%
+143,202
New +$48.5K
BCACW
308
DELISTED
Bison Capital Acquistion Corp Warrant
BCACW
$31K ﹤0.01%
+92,200
New +$35.6K
NAK
309
PUT
Northern Dynasty Minerals
NAK
$885M
$22K ﹤0.01%
+12,000
New +$19K
STLRW
310
DELISTED
Stellar Acquisition III Inc. Warrants
STLRW
$12K ﹤0.01%
32,000
– –
AAP icon
311
PUT
Advance Auto Parts
AAP
$3.37B
– –
-6,000
Closed -$700K
AAPL icon
312
CALL
Apple
AAPL
$4.89T
– –
-80,000
Closed -$2.88M
AMBA icon
313
Ambarella
AMBA
$2.99B
– –
-70,000
Closed -$3.4M
AMZN icon
314
PUT
Amazon
AMZN
$2.5T
– –
-20,000
Closed -$968K
DCH
315
PUT
Dauch Corp
DCH
$1.3B
– –
-89,100
Closed -$1.39M
AZO icon
316
PUT
AutoZone
AZO
$48.3B
– –
-1,100
Closed -$627K
BABA icon
317
CALL
Alibaba
BABA
$269B
– –
-33,000
Closed -$4.65M
BB icon
318
CALL
BlackBerry
BB
$5.01B
– –
-150,000
Closed -$1.5M
BB icon
319
BlackBerry
BB
$5.01B
– –
-532,000
Closed -$5M
BGC icon
320
BGC Group
BGC
$5.58B
– –
-90,515
Closed -$736K
BHC icon
321
PUT
Bausch Health
BHC
$1.65B
– –
-399,900
Closed -$6.92M
BIIB icon
322
Biogen
BIIB
$29.9B
– –
-3,600
Closed -$977K
BLK icon
323
Blackrock
BLK
$164B
– –
-1,000
Closed -$422K
BWA icon
324
CALL
BorgWarner
BWA
$13.2B
– –
-19,312
Closed -$720K
BWA icon
325
PUT
BorgWarner
BWA
$13.2B
– –
-22,720
Closed -$847K
11 12
13
14 15

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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 2017 Portfolio in Review

As of Q3 2017, K2 Principal Fund held 481 positions worth $1.51B, up 0.27% from $1.51B the previous quarter. Its ten largest holdings account for 29% of the portfolio.

K2 Principal Fund withdrew a net $85.8M in Q3 2017, closing 164 positions and reducing 66 holdings. Its most notable exit was Mobileye N.V., an estimated $21.1M position sold in full.

By sector, the portfolio is most concentrated in Technology at 11% of assets, down from 13% a quarter earlier, followed by Communication Services and Energy.

Against the trend, K2 Principal Fund opened a new position in Accel Entertainment worth $11.8M.

  • K2 Principal Fund's largest Q3 2017 buy was Accel Entertainment: 1,200,000 shares worth $11.8M.
  • K2 Principal Fund added most to Alphabet (Google) Class A in Q3 2017, an estimated $11.1M increase.
  • K2 Principal Fund's biggest Q3 2017 reduction was Dell, cutting an estimated $7.09M.
  • K2 Principal Fund fully exited Mobileye N.V. in Q3 2017, selling an estimated $21.1M.
  • K2 Principal Fund's ten largest holdings make up 29% of its $1.51B portfolio in Q3 2017.
  • K2 Principal Fund opened 146 new positions and closed 164 in Q3 2017.
  • K2 Principal Fund's portfolio value rose 0.27% quarter-over-quarter to $1.51B.

Based on K2 Principal Fund's 13F filing for Q3 2017, filed 9 Nov 2017.