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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
PFPT
326
PUT
DELISTED
Proofpoint, Inc.
PFPT
– –
-35,000
Closed -$4.21M
LACQW
327
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
– –
-35,400
Closed -$26.4K
BRPAR
328
DELISTED
Big Rock Partners Acquisition Corp. Right
BRPAR
– –
-340,332
Closed -$64.3K
APHA
329
PUT
DELISTED
Aphria Inc. Common Shares
APHA
– –
-150,000
Closed -$1.05M
LOACW
330
DELISTED
Longevity Acquisition Corporation Warrant
LOACW
– –
-655,987
Closed -$80.2K
LGC.WS
331
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
– –
-10,000
Closed -$3.39K
LGC.U
332
DELISTED
Legacy Acquisition Corp. Units, each consisting of one share of Class A common stock, $.0001 par val
LGC.U
– –
-313,020
Closed -$3.27M
CFFAW
333
DELISTED
CF Finance Acquisition Corp. Warrant
CFFAW
– –
-627,677
Closed -$379K
DPHCW
334
DELISTED
DiamondPeak Holdings Corp. Warrant
DPHCW
– –
-15,633
Closed -$11.7K
FMCIW
335
DELISTED
Forum Merger II Corporation Warrant
FMCIW
– –
-39,400
Closed -$23.2K
JFKKR
336
DELISTED
8i Enterprises Acquisition Corp Right
JFKKR
– –
-150,000
Closed -$68.9K
PACK.WS
337
DELISTED
One Madison Corporation Warrants, each whole warrant is exercisable for one Class A Common Stock at
PACK.WS
– –
-275,992
Closed -$231K
FPAC.WS
338
DELISTED
Far Point Acquisition Corporation Warrants, exercisable for one share of Class A Common Stock for $1
FPAC.WS
– –
-259,634
Closed -$335K
PACQW
339
DELISTED
Pure Acquisition Corp. Warrant
PACQW
– –
-1,754,337
Closed -$1.9M
ROSEW
340
DELISTED
Rosehill Resources Inc.
ROSEW
– –
-864,548
Closed -$212K
LHC.WS
341
DELISTED
Leo Holdings Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exe
LHC.WS
– –
-150,245
Closed -$131K
DEACU
342
DELISTED
Diamond Eagle Acquisition Corp. Unit
DEACU
– –
-100,000
Closed -$1.01M
TIBRW
343
DELISTED
Tiberius Acquisition Corporation Warrant
TIBRW
– –
-172,600
Closed -$91.7K
DDMXW
344
DELISTED
DD3 Acquisition Corp. Warrants
DDMXW
– –
-19,800
Closed -$6.7K
GSAH.WS
345
DELISTED
GS Acquisition Holdings Corp Warrants, each whole warrant exercisable for one share of Class A Commo
GSAH.WS
– –
-101,020
Closed -$136K
BROGR
346
DELISTED
Twelve Seas Investment Company Rights
BROGR
– –
-887,933
Closed -$286K
PVT.WS
347
DELISTED
Pivotal Acquisition Corp. Redeemable Warrants, exercisable for shares of Class A Common Stock at an
PVT.WS
– –
-107,200
Closed -$134K
PVT
348
DELISTED
Pivotal Acquisition Corp.
PVT
– –
-10,554
Closed -$107K
ONCE
349
CALL
DELISTED
Spark Therapeutics, Inc. Common Stock
ONCE
– –
-7,900
Closed -$809K
VIAB
350
PUT
DELISTED
Viacom Inc. Class B
VIAB
– –
-100,100
Closed -$2.99M
12 13
14
15 16

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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.