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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
+4.32%
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
$1.16B
AUM Growth
+$231M
Cap. Flow
+$84.3M
Cap. Flow %
7.29%
Top 10 Hldgs %
22.02%
Holding
453
New
149
Increased
59
Reduced
31
Closed
145

Top Buys

Rank Stock Value
1
MSFT icon
Microsoft
MSFT
+$13M
2
MCD icon
McDonald's
MCD
+$8.66M
3
HPK icon
HighPeak Energy
HPK
+$8.13M
4
MMM icon
3M
MMM
+$7.73M
5
CISN
Cision Ltd. Ordinary Share
CISN
+$7.06M

Top Sells

Rank Stock Value
1
SPCE icon
Virgin Galactic
SPCE
+$21.4M
2
AMZN icon
Amazon
AMZN
+$19.5M
3
ACEL icon
Accel Entertainment
ACEL
+$11.1M
4
AMD icon
Advanced Micro Devices
AMD
+$10.3M
5
PACQU
Pure Acquisition Corp. Unit
PACQU
+$9.97M

Sector Composition

Rank Sector Weight
1 Technology 5.52%
2 Industrials 4.77%
3 Consumer Discretionary 4.09%
4 Communication Services 3.98%
5 Financials 2.8%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PACQU
376
DELISTED
Pure Acquisition Corp. Unit
PACQU
– –
-928,790
Closed -$9.97M
ROSEW
377
CALL
DELISTED
Rosehill Resources Inc.
ROSEW
– –
-864,548
Closed -$156K
ROSE
378
DELISTED
Rosehill Resources Inc. Class A
ROSE
– –
-190,165
Closed -$334K
LHC.WS
379
CALL
DELISTED
Leo Holdings Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exe
LHC.WS
– –
-150,245
Closed -$111K
TIBRW
380
CALL
DELISTED
Tiberius Acquisition Corporation Warrant
TIBRW
– –
-172,600
Closed -$102K
DDMXW
381
CALL
DELISTED
DD3 Acquisition Corp. Warrants
DDMXW
– –
-292,100
Closed -$99K
CTACU
382
DELISTED
ChaSerg Technology Acquisition Corp. Unit
CTACU
– –
-375,000
Closed -$3.99M
GRSHU
383
DELISTED
Gores Holdings III, Inc. Units
GRSHU
– –
-455,046
Closed -$4.8M
MPVD
384
DELISTED
Mountain Province Diamonds Inc.
MPVD
– –
-3,164,310
Closed -$3.92M
GSAH.WS
385
CALL
DELISTED
GS Acquisition Holdings Corp Warrants, each whole warrant exercisable for one share of Class A Commo
GSAH.WS
– –
-101,020
Closed -$137K
GSAH.U
386
DELISTED
GS Acquisition Holdings Corp. Units, each consisting of one share of Class A common stock and one-th
GSAH.U
– –
-125,000
Closed -$1.33M
SRCI
387
CALL
DELISTED
SRC Energy Inc
SRCI
– –
-60,000
Closed -$280K
GWR
388
DELISTED
Genesee & Wyoming Inc.
GWR
– –
-39,173
Closed -$4.33M
PVTL
389
DELISTED
Pivotal Software, Inc.
PVTL
– –
-242,425
Closed -$3.62M
PVTL
390
PUT
DELISTED
Pivotal Software, Inc.
PVTL
– –
-115,700
Closed -$1.73M
BROGU
391
DELISTED
Twelve Seas Investment Company Units
BROGU
– –
-88,800
Closed -$963K
BROGR
392
CALL
DELISTED
Twelve Seas Investment Company Rights
BROGR
– –
-1,042,071
Closed -$333K
CRZO
393
DELISTED
Carrizo Oil & Gas Inc
CRZO
– –
-364,519
Closed -$3.13M
PVT.WS
394
CALL
DELISTED
Pivotal Acquisition Corp. Redeemable Warrants, exercisable for shares of Class A Common Stock at an
PVT.WS
– –
-107,200
Closed -$137K
HSACU
395
DELISTED
Health Sciences Acquisitions Corporation Units
HSACU
– –
-211,500
Closed -$2.27M
NFC.WS
396
CALL
DELISTED
New Frontier Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at
NFC.WS
– –
-99,820
Closed -$100K
NFC.U
397
DELISTED
New Frontier Corporation Units, each consisting of one Class A Ordinary Share and one half of one Wa
NFC.U
– –
-150,000
Closed -$1.6M
RWGE.U
398
DELISTED
Regalwood Global Energy Ltd. Units, each consisting of one Class A ordinary share and one-third of o
RWGE.U
– –
-207,742
Closed -$2.18M
STI
399
DELISTED
SunTrust Banks, Inc.
STI
– –
-57,838
Closed -$3.98M
CBM
400
DELISTED
Cambrex Corporation
CBM
– –
-29,300
Closed -$1.74M
14 15
16
17 18

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K2 Principal Fund's Q4 2019 Portfolio in Review

As of Q4 2019, K2 Principal Fund held 453 positions worth $1.16B, up 25% from $925M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

K2 Principal Fund deployed $84.3M of net new capital in Q4 2019, opening 149 new positions and adding to 59 existing holdings. Its largest new stake was 3M: 55,205 shares worth $8.14M.

By sector, the portfolio is most concentrated in Technology at 5.5% of assets, down from 6.1% a quarter earlier, followed by Industrials and Consumer Discretionary.

On the sell side, the largest reduction was PARTS iD, Inc., an estimated $8.01M trimmed.

  • K2 Principal Fund's largest Q4 2019 buy was 3M: 55,205 shares worth $8.14M.
  • K2 Principal Fund added most to Microsoft in Q4 2019, an estimated $13M increase.
  • K2 Principal Fund's biggest Q4 2019 reduction was PARTS iD, Inc., cutting an estimated $8.01M.
  • K2 Principal Fund fully exited Virgin Galactic in Q4 2019, selling an estimated $21.4M.
  • K2 Principal Fund's ten largest holdings make up 22% of its $1.16B portfolio in Q4 2019.
  • K2 Principal Fund opened 149 new positions and closed 145 in Q4 2019.
  • K2 Principal Fund's portfolio value rose 25% quarter-over-quarter to $1.16B.

Based on K2 Principal Fund's 13F filing for Q4 2019, filed 13 Feb 2020.