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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
WRLSR
301
DELISTED
Pensare Acquisition Corp. Right to purchase 1/10 of common stock
WRLSR
$78K 0.01%
173,586
+132,560
+323% +$63K
ESTRW
302
DELISTED
Estre Ambiental, Inc
ESTRW
$51K ﹤0.01%
145,755
-64,100
-31% -$26.9K
BROGR
303
DELISTED
Twelve Seas Investment Company Rights
BROGR
$41K ﹤0.01%
+99,800
New +$39.9K
LACQW
304
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$38K ﹤0.01%
40,400
– –
JSYNR
305
DELISTED
Jensyn Acquistion Corp. Rights
JSYNR
$35K ﹤0.01%
+130,055
New +$40.1K
TWLVW
306
DELISTED
Twelve Seas Investment Company Warrant
TWLVW
$34K ﹤0.01%
+95,500
New +$33.7K
NEBUW
307
DELISTED
Nebula Acquisition Corporation Warrant
NEBUW
$33K ﹤0.01%
+27,849
New +$39.2K
NRXPW
308
DELISTED
NRX Pharmaceuticals Warrant
NRXPW
$31K ﹤0.01%
101,200
– –
JSYNW
309
DELISTED
Jensyn Acquistion Corp. Warrants
JSYNW
$31K ﹤0.01%
347,627
+138,172
+66% +$24K
BRACR
310
DELISTED
Black Ridge Acquisition Corp. Right
BRACR
$28K ﹤0.01%
75,900
– –
DOTAR
311
DELISTED
Draper Oakwood Technology Acquisition, Inc. Rights
DOTAR
$25K ﹤0.01%
48,400
-113,700
-70% -$59.9K
LGC.WS
312
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$21K ﹤0.01%
50,000
– –
LTN.WS
313
DELISTED
Union Acquisition Corp.
LTN.WS
$18K ﹤0.01%
55,445
+5,445
+11% +$1.92K
KBLMW
314
DELISTED
KBL Merger Corp. IV Warrant
KBLMW
$15K ﹤0.01%
73,777
-153,637
-68% -$43.7K
GAU
315
CALL
Galiano Gold
GAU
$460M
$12K ﹤0.01%
15,000
– –
MUDSW
316
DELISTED
Mudrick Capital Acquisition Corporation Warrant
MUDSW
$12K ﹤0.01%
+18,400
New +$12.1K
SHLD
317
PUT
DELISTED
Sears Holding Corporation
SHLD
$10K ﹤0.01%
+10,200
New +$17K
ADBE icon
318
Adobe
ADBE
$100B
– –
-2,500
Closed -$610K
ADSK icon
319
Autodesk
ADSK
$50.7B
– –
-18,300
Closed -$2.4M
AMAT icon
320
Applied Materials
AMAT
$376B
– –
-125,000
Closed -$5.77M
AMAT icon
321
PUT
Applied Materials
AMAT
$376B
– –
-60,000
Closed -$2.77M
BABA icon
322
CALL
Alibaba
BABA
$277B
– –
-55,000
Closed -$10.2M
BABA icon
323
PUT
Alibaba
BABA
$277B
– –
-59,000
Closed -$10.9M
BAC icon
324
CALL
Bank of America
BAC
$438B
– –
-450,000
Closed -$12.7M
BAK icon
325
CALL
Braskem
BAK
$948M
– –
-61,600
Closed -$1.6M
11 12
13
14 15

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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.