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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
+1.8%
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
$1.06B
AUM Growth
+$167M
Cap. Flow
+$260M
Cap. Flow %
24.54%
Top 10 Hldgs %
29%
Holding
408
New
131
Increased
67
Reduced
52
Closed
131

Top Buys

Rank Stock Value
1
BAS
Basis Energy Services, Inc.
BAS
+$79.6M
2
STJ
St Jude Medical
STJ
+$20.8M
3
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$18.4M
4
DDC
Dominion Diamond Corporation
DDC
+$17.6M
5
IOC
Interoil Corporation
IOC
+$14.9M

Top Sells

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$16M
2
IM
Ingram Micro
IM
+$13.4M
3
LNKD
LinkedIn Corporation
LNKD
+$12.4M
4
VAL
Valspar
VAL
+$11.8M
5
CYNA
CYNAPSUS THERAPEUTICS INC COM PAR NO PAR (CANADA)
CYNA
+$11.5M

Sector Composition

Rank Sector Weight
1 Technology 7.55%
2 Energy 7.06%
3 Healthcare 5.35%
4 Financials 4.13%
5 Materials 3.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLV icon
326
iShares Silver Trust
SLV
$28.1B
– –
-14,000
Closed -$228K
SPWH icon
327
Sportsman's Warehouse
SPWH
$43.7M
– –
-163,524
Closed -$1.72M
SPY icon
328
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$778B
– –
-46,000
Closed -$9.95M
SQQQ icon
329
PUT
ProShares UltraPro Short QQQ
SQQQ
$2.21B
– –
-3
Closed -$428K
TJX icon
330
CALL
TJX Companies
TJX
$170B
– –
-20,000
Closed -$748K
TJX icon
331
TJX Companies
TJX
$170B
– –
-66,154
Closed -$2.47M
TLT icon
332
iShares 20+ Year Treasury Bond ETF
TLT
$42.1B
– –
-6,463
Closed -$809K
TNA icon
333
CALL
Direxion Daily Small Cap Bull 3x ETF
TNA
$1.34B
– –
-12,000
Closed -$479K
TQQQ icon
334
CALL
ProShares UltraPro QQQ
TQQQ
$31.1B
– –
-216,000
Closed -$579K
TRIP icon
335
TripAdvisor
TRIP
$1.59B
– –
-9,500
Closed -$522K
TZA icon
336
PUT
Direxion Daily Small Cap Bear 3x ETF
TZA
$213M
– –
-33
Closed -$357K
UAL icon
337
CALL
United Airlines
UAL
$38.4B
– –
-14,100
Closed -$740K
UHAL icon
338
U-Haul Holding Co
UHAL
$14B
– –
-16,160
Closed -$524K
UPBD icon
339
Upbound Group
UPBD
$1.19B
– –
-158,492
Closed -$2M
WERN icon
340
Werner Enterprises
WERN
$2.54B
– –
-93,850
Closed -$2.18M
WGO icon
341
Winnebago Industries
WGO
$870M
– –
-20,000
Closed -$471K
WPM icon
342
PUT
Wheaton Precious Metals
WPM
$50.6B
– –
-40,000
Closed -$1.08M
ZD icon
343
PUT
Ziff Davis
ZD
$1.9B
– –
-8,050
Closed -$466K
DBD
344
DELISTED
Diebold Nixdorf Incorporated
DBD
– –
-197,900
Closed -$4.67M
RRD
345
CALL
DELISTED
RR Donnelley & Sons Co.
RRD
– –
-28,533
Closed -$2.18M
XLNX
346
CALL
DELISTED
Xilinx Inc
XLNX
– –
-25,000
Closed -$1.36M
AGN
347
DELISTED
Allergan plc
AGN
– –
-18,311
Closed -$3.79M
VIAB
348
CALL
DELISTED
Viacom Inc. Class B
VIAB
– –
-10,000
Closed -$381K
NXEOW
349
DELISTED
Nexeo Solutions, Inc. Warrant
NXEOW
– –
-218,817
Closed -$136K
LCAHU
350
DELISTED
Landcadia Holdings, Inc. Unit
LCAHU
– –
-250,000
Closed -$2.56M
12 13
14
15 16

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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 Q4 2016 Portfolio in Review

As of Q4 2016, K2 Principal Fund held 408 positions worth $1.06B, up 19% from $892M the previous quarter. Its ten largest holdings account for 29% of the portfolio.

K2 Principal Fund deployed $260M of net new capital in Q4 2016, opening 131 new positions and adding to 67 existing holdings. Its largest new stake was Basis Energy Services, Inc.: 293,033 shares worth $10.4M.

By sector, the portfolio is most concentrated in Technology at 7.6% of assets, down from 11% a quarter earlier, followed by Energy and Healthcare.

On the sell side, the largest reduction was Valspar, an estimated $11.8M trimmed.

  • K2 Principal Fund's largest Q4 2016 buy was Basis Energy Services, Inc.: 293,033 shares worth $10.4M.
  • K2 Principal Fund added most to St Jude Medical in Q4 2016, an estimated $20.8M increase.
  • K2 Principal Fund's biggest Q4 2016 reduction was Valspar, cutting an estimated $11.8M.
  • K2 Principal Fund fully exited Alphabet (Google) Class C in Q4 2016, selling an estimated $16M.
  • K2 Principal Fund's ten largest holdings make up 29% of its $1.06B portfolio in Q4 2016.
  • K2 Principal Fund opened 131 new positions and closed 131 in Q4 2016.
  • K2 Principal Fund's portfolio value rose 19% quarter-over-quarter to $1.06B.

Based on K2 Principal Fund's 13F filing for Q4 2016, filed 15 Feb 2017.