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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
NRXPW
301
DELISTED
NRX Pharmaceuticals Warrant
NRXPW
– –
-101,200
Closed -$19.7K
NVDA icon
302
CALL
NVIDIA
NVDA
$4.77T
– –
-300,000
Closed -$1.23M
ON icon
303
PUT
ON Semiconductor
ON
$32.8B
– –
-100,000
Closed -$2.02M
PACK icon
304
Ranpak Holdings
PACK
$550M
– –
-108,047
Closed -$956K
QCOM icon
305
CALL
Qualcomm
QCOM
$172B
– –
-115,000
Closed -$8.75M
QCOM icon
306
PUT
Qualcomm
QCOM
$172B
– –
-70,000
Closed -$5.33M
QQQ icon
307
CALL
Invesco QQQ Trust
QQQ
$445B
– –
-50,000
Closed -$9.34M
QUAD icon
308
Quad
QUAD
$434M
– –
-77,110
Closed -$610K
RPAY icon
309
Repay Holdings
RPAY
$344M
– –
-430,311
Closed -$4.49M
RSG icon
310
PUT
Republic Services
RSG
$66.6B
– –
-35,000
Closed -$3.03M
SPY icon
311
State Street SPDR S&P 500 ETF Trust
SPY
$783B
– –
-2,000
Closed -$586K
SPY icon
312
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$783B
– –
-10,000
Closed -$2.93M
UA icon
313
Under Armour Class C
UA
$2.97B
– –
-50,800
Closed -$1.13M
VRNS icon
314
Varonis Systems
VRNS
$5.13B
– –
-24,000
Closed -$496K
X
315
PUT
DELISTED
US Steel
X
– –
-25,000
Closed -$383K
NESRW
316
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
– –
-863,281
Closed -$438K
GOEVW
317
DELISTED
Canoo Inc. Warrant
GOEVW
– –
-50,000
Closed -$36.6K
BFI
318
DELISTED
BurgerFi International, Inc. Common Stock
BFI
– –
-421,777
Closed -$4.33M
THWWW
319
DELISTED
Target Hospitality Corp. Warrant expiring 3/15/2024
THWWW
– –
-335,675
Closed -$449K
BRMK
320
DELISTED
Broadmark Realty Capital Inc. Common Stock
BRMK
– –
-100,100
Closed -$1.03M
COUP
321
PUT
DELISTED
Coupa Software Incorporated
COUP
– –
-10,000
Closed -$1.27M
AGBAU
322
DELISTED
AGBA Acquisition Ltd Unit
AGBAU
– –
-122,200
Closed -$1.22M
ALACW
323
DELISTED
Alberton Acquisition Corp Warrant
ALACW
– –
-208,800
Closed -$26.6K
ALACR
324
DELISTED
Alberton Acquisition Corp Rights
ALACR
– –
-220,000
Closed -$55.2K
TWNKW
325
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
– –
-94,245
Closed -$179K
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 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.