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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
MKTO
351
DELISTED
MARKETO INC COM STK (DE)
MKTO
– –
-23,000
Closed -$801K
TUMI
352
DELISTED
TUMI HLDGS INC COM
TUMI
– –
-20,000
Closed -$535K
FNFG
353
DELISTED
FIRST NIAGARA FINANCIAL GROUP INC
FNFG
– –
-1,275,055
Closed -$12.4M
SQI
354
DELISTED
SCIQUEST, INC. COMMON STOCK
SQI
– –
-217,073
Closed -$3.83M
MFLX
355
DELISTED
MULTI-FINELINE ELECTRONIX INC
MFLX
– –
-9,899
Closed -$230K
BNK
356
DELISTED
C1 FINL INC COM STK (FL)
BNK
– –
-139,127
Closed -$3.25M
CPXX
357
DELISTED
CELATOR PHARMACEUTICALS INC. COMMON STOCK
CPXX
– –
-269,547
Closed -$8.13M
IHS
358
CALL
DELISTED
IHS INC CL-A COM STK
IHS
– –
-2,000
Closed -$231K
IHS
359
DELISTED
IHS INC CL-A COM STK
IHS
– –
-20,061
Closed -$2.32M
HTS
360
DELISTED
HATTERAS FINANCIAL CORP
HTS
– –
-15,000
Closed -$246K
CADT
361
DELISTED
DT ASIA INVESTMENTS LIMITED ORDINARY SHARES
CADT
– –
-43,204
Closed -$404K
XNPT
362
DELISTED
XENOPORT, INC.
XNPT
– –
-436,927
Closed -$3.08M
CPGX
363
DELISTED
COLUMBIA PIPELINE GROUP IN COM STK (DE)
CPGX
– –
-554,478
Closed -$14.1M
NSPH
364
DELISTED
NANOSPHERE INC. COM NEW
NSPH
– –
-603,617
Closed -$1.02M
CAVM
365
CALL
DELISTED
Cavium, Inc.
CAVM
– –
-47,500
Closed -$1.83M
CAVM
366
DELISTED
Cavium, Inc.
CAVM
– –
-25,000
Closed -$965K
HOT
367
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
– –
-243,944
Closed -$18M
MDVN
368
DELISTED
MEDIVATION, INC.
MDVN
– –
-20,870
Closed -$1.26M
PLCM
369
DELISTED
POLYCOM INC
PLCM
– –
-641,532
Closed -$7.22M
PLCM
370
PUT
DELISTED
POLYCOM INC
PLCM
– –
-11,300
Closed -$127K
MGN
371
DELISTED
MINES MGMT INC
MGN
– –
-1,262,357
Closed -$1.34M
QLIK
372
DELISTED
QLIK TECHNOLOGIES INC COM STK (DE)
QLIK
– –
-147,783
Closed -$4.37M
DWRE
373
DELISTED
DEMANDWARE INC COM STK (DE)
DWRE
– –
-96,145
Closed -$7.2M
ONE
374
DELISTED
HIGHER ONE HOLDINGS, INC COM STK
ONE
– –
-35,000
Closed -$179K
STMP
375
DELISTED
Stamps.com, Inc.
STMP
– –
-6,489
Closed -$567K
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.