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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
GIG.WS
351
DELISTED
GigCapital, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exerci
GIG.WS
– –
-254,001
Closed -$79.4K
GIG.RT
352
DELISTED
GigCapital, Inc. Rights, each exchangeable into one-tenth of one share of Common Stock
GIG.RT
– –
-130,905
Closed -$80.8K
TPGH.WS
353
DELISTED
TPG Pace Holdings Corp. Warrants, each exercisable for one Class A Ordinary Share at an exercise pri
TPGH.WS
– –
-139,950
Closed -$221K
TMCXU
354
DELISTED
Trinity Merger Corp. Unit
TMCXU
– –
-289,499
Closed -$3.08M
DFBHU
355
DELISTED
DFB Healthcare Acquisitions Corp. Unit
DFBHU
– –
-755,853
Closed -$7.84M
NRCG.WS
356
DELISTED
NRC Group Holdings Corp.
NRCG.WS
– –
-440,559
Closed -$909K
CHAC.WS
357
DELISTED
Chardan Healthcare Acquisition Corp.
CHAC.WS
– –
-71,711
Closed -$57K
CHAC.U
358
DELISTED
Chardan Healthcare Acquisition Corp.
CHAC.U
– –
-400,000
Closed -$3.74M
GLACU
359
DELISTED
Greenland Acquisition Corporation Unit
GLACU
– –
-175,964
Closed -$1.86M
IPOA.WS
360
DELISTED
Social Capital Hedosophia Holdings Corp. Warrants, each whole warrant exercisable for one Class A Or
IPOA.WS
– –
-680,090
Closed -$1.25M
DFRG
361
DELISTED
Del Frisco's Restaurant Group, Inc. Common Stock
DFRG
– –
-104,264
Closed -$830K
SFLY
362
DELISTED
Shutterfly, Inc.
SFLY
– –
-8,100
Closed -$409K
MSL
363
DELISTED
Midsouth Bancorp, Inc.
MSL
– –
-10,837
Closed -$128K
IMI
364
DELISTED
Intermolecular, Inc.
IMI
– –
-453,675
Closed -$531K
TRK
365
DELISTED
Speedway Motorsports, Inc.
TRK
– –
-37,206
Closed -$690K
MMDM
366
DELISTED
Modern Media Acquisition Corp. Common Stock
MMDM
– –
-394,381
Closed -$4.14M
MMDMR
367
DELISTED
Modern Media Acquisition Corp. Right
MMDMR
– –
-10,093
Closed -$3K
APC
368
DELISTED
Anadarko Petroleum
APC
– –
-75,000
Closed -$5.29M
CTRL
369
DELISTED
Control4 Corporation
CTRL
– –
-101,487
Closed -$2.41M
DATA
370
DELISTED
Tableau Software, Inc.
DATA
– –
-17,500
Closed -$2.9M
CIC.WS
371
DELISTED
Capitol Investment Corp. IV
CIC.WS
– –
-146,800
Closed -$204K
WP
372
DELISTED
Worldpay, Inc.
WP
– –
-4,900
Closed -$600K
UQM
373
DELISTED
UQM Technologies, Inc.
UQM
– –
-1,248,033
Closed -$2.06M
ARRY
374
DELISTED
Array Biopharma Inc
ARRY
– –
-54,539
Closed -$2.53M
LEXEA
375
DELISTED
Liberty Expedia Holdings, Inc. Class A Common Stock
LEXEA
– –
-17,896
Closed -$855K
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.