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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
+3.64%
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
$1.04B
AUM Growth
-$251M
Cap. Flow
-$317M
Cap. Flow %
-30.46%
Top 10 Hldgs %
19.43%
Holding
449
New
137
Increased
69
Reduced
76
Closed
122

Top Buys

Rank Stock Value
1
NRCG
NRC Group Holdings Corp.
NRCG
+$11M
2
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$10.9M
3
SPAQ.U
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
+$10.4M
4
BPYU
Brookfield Property REIT Inc. Class A Common Stock
BPYU
+$9.85M
5
CA
CA, Inc.
CA
+$8.12M

Top Sells

Rank Stock Value
1
NXPI icon
NXP Semiconductors
NXPI
+$25M
2
AABA
Altaba Inc
AABA
+$23.1M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$14.2M
4
LGC.U
Legacy Acquisition Corp. Units, each consisting of one share of Class A common stock, $.0001 par val
LGC.U
+$10.4M
5
PACQU
Pure Acquisition Corp. Unit
PACQU
+$10.4M

Sector Composition

Rank Sector Weight
1 Technology 9.34%
2 Financials 8.83%
3 Industrials 5.23%
4 Communication Services 4.39%
5 Healthcare 4.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VYX icon
376
CALL
NCR Voyix
VYX
$1.13B
– –
-197,556
Closed -$3.63M
VYX icon
377
NCR Voyix
VYX
$1.13B
– –
-48,900
Closed -$899K
WFC icon
378
Wells Fargo
WFC
$264B
– –
-10,000
Closed -$554K
WMT icon
379
Walmart Inc
WMT
$889B
– –
-20,100
Closed -$574K
XRX icon
380
Xerox
XRX
$357M
– –
-118,050
Closed -$3.12M
TBCH
381
Turtle Beach Corp
TBCH
$245M
– –
-40,000
Closed -$813K
BFIIW
382
DELISTED
BurgerFi International, Inc. Warrant
BFIIW
– –
-331,100
Closed -$109K
CPE
383
DELISTED
Callon Petroleum Company
CPE
– –
-15,000
Closed -$1.61M
SPLK
384
CALL
DELISTED
Splunk Inc
SPLK
– –
-37,500
Closed -$3.72M
VMW
385
CALL
DELISTED
VMware, Inc
VMW
– –
-55,000
Closed -$8.08M
DBD
386
CALL
DELISTED
Diebold Nixdorf Incorporated
DBD
– –
-350,000
Closed -$4.18M
ABB
387
DELISTED
ABB Ltd
ABB
– –
-160,000
Closed -$3.48M
XLNX
388
DELISTED
Xilinx Inc
XLNX
– –
-111,700
Closed -$7.29M
HPR
389
DELISTED
HighPoint Resources Corporation
HPR
– –
-10,400
Closed -$3.16M
HCCHU
390
DELISTED
HL Acquisitions Corp. Unit
HCCHU
– –
-200,000
Closed -$2.01M
KBLMR
391
DELISTED
KBL Merger Corp. IV Rights expiring 11/9/2020
KBLMR
– –
-59,540
Closed -$20K
NEBUU
392
DELISTED
Nebula Acquisition Corporation Unit
NEBUU
– –
-99,653
Closed -$1M
AGN
393
DELISTED
Allergan plc
AGN
– –
-4,500
Closed -$750K
PEGI
394
DELISTED
Pattern Energy Group Inc. Class A
PEGI
– –
-61,100
Closed -$1.15M
GSAH.U
395
DELISTED
GS Acquisition Holdings Corp. Units, each consisting of one share of Class A common stock and one-th
GSAH.U
– –
-230,200
Closed -$2.35M
VIAB
396
DELISTED
Viacom Inc. Class B
VIAB
– –
-10,000
Closed -$302K
AABA
397
DELISTED
Altaba Inc
AABA
– –
-315,273
Closed -$23.1M
AMR
398
DELISTED
Alta Mesa Resources Inc
AMR
– –
-127,235
Closed -$866K
CNACW
399
DELISTED
Constellation Alpha Capital Corp. Warrant
CNACW
– –
-608,100
Closed -$219K
CIC.U
400
DELISTED
Capitol Investment Corp. IV
CIC.U
– –
-276,000
Closed -$2.84M
14 15
16
17 18

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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 Q3 2018 Portfolio in Review

As of Q3 2018, K2 Principal Fund held 449 positions worth $1.04B, down 19% from $1.29B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

K2 Principal Fund withdrew a net $317M in Q3 2018, closing 122 positions and reducing 76 holdings. Its most notable exit was Altaba Inc, an estimated $23.1M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.3% of assets, down from 14% a quarter earlier, followed by Financials and Industrials.

Against the trend, K2 Principal Fund opened a new position in Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of worth $10.5M.

  • K2 Principal Fund's largest Q3 2018 buy was Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of: 1,031,500 shares worth $10.5M.
  • K2 Principal Fund added most to NRC Group Holdings Corp. in Q3 2018, an estimated $11M increase.
  • K2 Principal Fund's biggest Q3 2018 reduction was NXP Semiconductors, cutting an estimated $25M.
  • K2 Principal Fund fully exited Altaba Inc in Q3 2018, selling an estimated $23.1M.
  • K2 Principal Fund's ten largest holdings make up 19% of its $1.04B portfolio in Q3 2018.
  • K2 Principal Fund opened 137 new positions and closed 122 in Q3 2018.
  • K2 Principal Fund's portfolio value fell 19% quarter-over-quarter to $1.04B.

Based on K2 Principal Fund's 13F filing for Q3 2018, filed 13 Nov 2018.