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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
TECD
326
PUT
DELISTED
Tech Data Corp
TECD
– –
-20,000
Closed -$1.44M
TSG
327
PUT
DELISTED
The Stars Group Inc.
TSG
– –
-10,000
Closed -$153K
PEGI
328
DELISTED
Pattern Energy Group Inc. Class A
PEGI
– –
-12,692
Closed -$292K
INXN
329
CALL
DELISTED
Interxion Holding N.V.
INXN
– –
-55,000
Closed -$2.03M
INXN
330
PUT
DELISTED
Interxion Holding N.V.
INXN
– –
-35,000
Closed -$1.29M
ESRX
331
DELISTED
Express Scripts Holding Company
ESRX
– –
-43,734
Closed -$3.27M
MITL
332
CALL
DELISTED
Mitel Networks Corporation
MITL
– –
-16,200
Closed -$102K
SEA
333
PUT
DELISTED
Invesco Shipping ETF
SEA
– –
-30,000
Closed -$329K
POT
334
DELISTED
Potash Corp Of Saskatchewan
POT
– –
-11,500
Closed -$190K
POT
335
PUT
DELISTED
Potash Corp Of Saskatchewan
POT
– –
-20,000
Closed -$325K
PPP
336
PUT
DELISTED
Primero Mining Corp
PPP
– –
-23,700
Closed -$49K
CCN
337
DELISTED
CardConnect Corp.
CCN
– –
-25,496
Closed -$255K
BHI
338
DELISTED
Baker Hughes
BHI
– –
-10,800
Closed -$487K
YHOO
339
CALL
DELISTED
Yahoo Inc
YHOO
– –
-147,400
Closed -$5.54M
MHGC
340
DELISTED
Morgans Hotel Group Co.
MHGC
– –
-86,853
Closed -$186K
CVT
341
DELISTED
CVENT, INC.
CVT
– –
-122,836
Closed -$4.39M
FEIC
342
DELISTED
FEI COMPANY
FEIC
– –
-5,000
Closed -$534K
FCS
343
DELISTED
FAIRCHILD SEMICONDUCTOR INTL INC COMMON
FCS
– –
-230,059
Closed -$4.57M
MRD
344
DELISTED
MEMORIAL RESOURCE DEV CORP COM STK (DE)
MRD
– –
-120,602
Closed -$1.92M
SMT
345
DELISTED
SMART TECHNOLOGIES INC COM NEW
SMT
– –
-131,307
Closed -$583K
EMC
346
DELISTED
EMC CORPORATION
EMC
– –
-249,000
Closed -$6.76M
TLMR
347
DELISTED
TALMER BANCORP INC (MI)
TLMR
– –
-17,681
Closed -$339K
AXLL
348
DELISTED
AXIALL CORP COM STK (DE)
AXLL
– –
-30,000
Closed -$978K
HTWR
349
DELISTED
HEARTWARE INTERNATIONAL INC COM STK (DE)
HTWR
– –
-35,801
Closed -$2.07M
FMD
350
DELISTED
FIRST MARBLEHEAD CORP COM STK NEW (DE)
FMD
– –
-107,746
Closed -$524K
12 13
14
15 16

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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.