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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
+8.26%
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
$785M
AUM Growth
+$125M
Cap. Flow
+$25.3M
Cap. Flow %
3.23%
Top 10 Hldgs %
19.97%
Holding
445
New
157
Increased
40
Reduced
37
Closed
159

Top Buys

Rank Stock Value
1
THCBU
Tuscan Holdings Corp. Unit
THCBU
+$16.8M
2
TRNE.U
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
+$8.01M
3
INSUU
Insurance Acquisition Corp. Unit
INSUU
+$7.07M
4
LVOXU
LiveVox Holding, Inc. Unit
LVOXU
+$6.99M
5
STNL
Sentinel Energy Services Inc. Class A Common Stock
STNL
+$6.89M

Top Sells

Rank Stock Value
1
FSAC
Federal Street Acquisition Corp. Common Stock
FSAC
+$11.1M
2
GOOG icon
Alphabet (Google) Class C
GOOG
+$10M
3
DMTK
DermTech, Inc. Common Stock
DMTK
+$6.52M
4
DNB
Dun & Bradstreet
DNB
+$6.4M
5
HYACU
Haymaker Acquisition Corp. Unit
HYACU
+$6.35M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 6.99%
2 Technology 6.48%
3 Industrials 4.82%
4 Communication Services 4.36%
5 Financials 3.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ATHN
401
DELISTED
Athenahealth, Inc.
ATHN
– –
-44,345
Closed -$5.85M
DNB
402
DELISTED
Dun & Bradstreet
DNB
– –
-44,862
Closed -$6.4M
DNB
403
PUT
DELISTED
Dun & Bradstreet
DNB
– –
-5,000
Closed -$714K
P
404
DELISTED
Pandora Media Inc
P
– –
-662,600
Closed -$5.36M
SEND
405
DELISTED
SendGrid, Inc.
SEND
– –
-52,567
Closed -$2.27M
VVC
406
DELISTED
Vectren Corporation
VVC
– –
-88,140
Closed -$6.34M
WRD
407
DELISTED
WildHorse Resource Development
WRD
– –
-110,676
Closed -$1.56M
ESIO
408
DELISTED
Electro Scientific Industries
ESIO
– –
-65,736
Closed -$1.97M
BOJA
409
DELISTED
Bojangles', Inc. Common Stock
BOJA
– –
-150,733
Closed -$2.42M
WINR
410
DELISTED
Simplicity Esports and Gaming Company Common Stock
WINR
– –
-33,821
Closed -$203K
BBCPW
411
DELISTED
Concrete Pumping Holdings, Inc. Warrant
BBCPW
– –
-298,950
Closed -$233K
INTX
412
DELISTED
Intersections, Inc.
INTX
– –
-128,010
Closed -$472K
IMPV
413
DELISTED
Imperva, Inc.
IMPV
– –
-65,206
Closed -$3.63M
APTI
414
DELISTED
Apptio, Inc. Class A Common Stock
APTI
– –
-48,659
Closed -$1.85M
SMSHW
415
DELISTED
Smaaash Entertainment Inc. Warrant
SMSHW
– –
-795,144
Closed -$138K
FSAC
416
DELISTED
Federal Street Acquisition Corp. Common Stock
FSAC
– –
-1,095,285
Closed -$11.1M
CVON
417
DELISTED
ConvergeOne Holdings, Inc. Class A Common Stock
CVON
– –
-18,429
Closed -$228K
HDP
418
DELISTED
Hortonworks, Inc.
HDP
– –
-194,892
Closed -$2.81M
STBZ
419
DELISTED
State Bank Financial Corporation. Common Stock
STBZ
– –
-264,127
Closed -$5.7M
GBNK
420
DELISTED
Guaranty Bancorp
GBNK
– –
-158,980
Closed -$3.3M
FCB
421
DELISTED
FCB Financial Holdings, Inc.
FCB
– –
-16,856
Closed -$566K
ESV
422
DELISTED
Ensco Rowan plc
ESV
– –
-59,300
Closed -$844K
ATVI
423
CALL
DELISTED
Activision Blizzard
ATVI
– –
-80,000
Closed -$3.73M
ATVI
424
DELISTED
Activision Blizzard
ATVI
– –
-8,500
Closed -$396K
IBTX
425
CALL
DELISTED
Independent Bank Group, Inc.
IBTX
– –
-5,000
Closed -$229K
14 15 16
17
18

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K2 Principal Fund's Q1 2019 Portfolio in Review

As of Q1 2019, K2 Principal Fund held 445 positions worth $785M, up 19% from $659M the previous quarter. Its ten largest holdings account for 20% of the portfolio.

K2 Principal Fund deployed $25.3M of net new capital in Q1 2019, opening 157 new positions and adding to 40 existing holdings. Its largest new stake was Tuscan Holdings Corp. Unit: 1,650,000 shares worth $17.2M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 7% of assets, up from 4.5% a quarter earlier, followed by Technology and Industrials.

On the sell side, the largest reduction was Saban Capital Acquisition Corp. Class A Ordinary Share, an estimated $5.9M trimmed.

  • K2 Principal Fund's largest Q1 2019 buy was Tuscan Holdings Corp. Unit: 1,650,000 shares worth $17.2M.
  • K2 Principal Fund added most to Sentinel Energy Services Inc. Class A Common Stock in Q1 2019, an estimated $6.89M increase.
  • K2 Principal Fund's biggest Q1 2019 reduction was Saban Capital Acquisition Corp. Class A Ordinary Share, cutting an estimated $5.9M.
  • K2 Principal Fund fully exited Federal Street Acquisition Corp. Common Stock in Q1 2019, selling an estimated $11.1M.
  • K2 Principal Fund's ten largest holdings make up 20% of its $785M portfolio in Q1 2019.
  • K2 Principal Fund opened 157 new positions and closed 159 in Q1 2019.
  • K2 Principal Fund's portfolio value rose 19% quarter-over-quarter to $785M.

Based on K2 Principal Fund's 13F filing for Q1 2019, filed 14 May 2019.