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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
KS
351
DELISTED
KapStone Paper and Pack Corp.
KS
– –
-135,000
Closed -$2.55M
NYRT
352
PUT
DELISTED
New York REIT, Inc.
NYRT
– –
-1,900
Closed -$174K
SHLD
353
CALL
DELISTED
Sears Holding Corporation
SHLD
– –
-141,400
Closed -$1.62M
PAY
354
DELISTED
Verifone Systems Inc
PAY
– –
-54,096
Closed -$899K
RPXC
355
CALL
DELISTED
RPX Corporation
RPXC
– –
-23,000
Closed -$246K
CSRA
356
DELISTED
CSRA Inc.
CSRA
– –
-115,000
Closed -$3.09M
MIIIU
357
DELISTED
M III Acquisition Corp
MIIIU
– –
-179,500
Closed -$1.76M
OACQ
358
DELISTED
Origo Acquisition Corporation
OACQ
– –
-35,494
Closed -$366K
BSFT
359
PUT
DELISTED
BroadSoft, Inc.
BSFT
– –
-5,000
Closed -$233K
PN
360
DELISTED
Patriot National, Inc.
PN
– –
-60,652
Closed -$546K
AAPC
361
DELISTED
Atlantic Alliance Partnership Corp
AAPC
– –
-243,039
Closed -$2.55M
SHOR
362
CALL
DELISTED
ShoreTel, Inc.
SHOR
– –
-30,900
Closed -$247K
QPACW
363
DELISTED
Quinpario Acquisition Corp. 2 Warrant
QPACW
– –
-200,000
Closed -$35K
CPAAU
364
DELISTED
Conyers Park Acquisition Corp. Unit
CPAAU
– –
-150,000
Closed -$1.61M
KLREW
365
DELISTED
KLR Energy Acquisition Corp.
KLREW
– –
-500,000
Closed -$210K
SE
366
DELISTED
Spectra Energy Corp Wi
SE
– –
-52,851
Closed -$2.26M
AFCO
367
DELISTED
American Farmland Company
AFCO
– –
-70,000
Closed -$552K
EMG
368
DELISTED
Emergent Capital, Inc.
EMG
– –
-41,282
Closed -$121K
STJ
369
PUT
DELISTED
St Jude Medical
STJ
– –
-7,000
Closed -$558K
ARWA
370
DELISTED
Arowana Inc.
ARWA
– –
-26,885
Closed -$274K
TRTL
371
DELISTED
Terrapin 3 Acquisition Corporation Class A
TRTL
– –
-224,676
Closed -$2.23M
TRTLW
372
DELISTED
Terrapin 3 Acquisition Corporation
TRTLW
– –
-229,600
Closed -$42K
TLN
373
DELISTED
Talen Energy Corporation
TLN
– –
-24,623
Closed -$341K
IM
374
DELISTED
Ingram Micro
IM
– –
-375,000
Closed -$13.4M
SEMI
375
DELISTED
SunEdison Semiconductor Limited
SEMI
– –
-65,000
Closed -$740K
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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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.