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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
VIAB
401
DELISTED
Viacom Inc. Class B
VIAB
– –
-65,000
Closed -$1.56M
GIG.WS
402
CALL
DELISTED
GigCapital, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exerci
GIG.WS
– –
-318,288
Closed -$216K
GIG.RT
403
CALL
DELISTED
GigCapital, Inc. Rights, each exchangeable into one-tenth of one share of Common Stock
GIG.RT
– –
-353,670
Closed -$315K
OLBK
404
DELISTED
Old Line Bancshares, Inc.
OLBK
– –
-13,420
Closed -$389K
AVDR
405
DELISTED
Avedro, Inc Common Stock
AVDR
– –
-86,133
Closed -$1.96M
TMCXW
406
CALL
DELISTED
Trinity Merger Corp. Warrant
TMCXW
– –
-368,200
Closed -$468K
DFBHW
407
CALL
DELISTED
DFB Healthcare Acquisitions Corp. Warrant
DFBHW
– –
-95,251
Closed -$137K
STNL
408
DELISTED
Sentinel Energy Services Inc. Class A Common Stock
STNL
– –
-263,353
Closed -$2.71M
NRCG.WS
409
CALL
DELISTED
NRC Group Holdings Corp.
NRCG.WS
– –
-570,000
Closed -$1.34M
NRCG
410
DELISTED
NRC Group Holdings Corp.
NRCG
– –
-119,791
Closed -$1.49M
CVRS
411
DELISTED
CORINDUS VASCULAR ROBOTICS, INC
CVRS
– –
-571,763
Closed -$2.45M
CHAC.WS
412
CALL
DELISTED
Chardan Healthcare Acquisition Corp.
CHAC.WS
– –
-472,211
Closed -$354K
MDSO
413
DELISTED
Medidata Solutions, Inc.
MDSO
– –
-20,927
Closed -$1.92M
GLACW
414
CALL
DELISTED
Greenland Acquisition Corporation Warrant
GLACW
– –
-175,964
Closed -$34K
GLACR
415
CALL
DELISTED
Greenland Acquisition Corporation Right
GLACR
– –
-159,464
Closed -$96K
IPOA.WS
416
CALL
DELISTED
Social Capital Hedosophia Holdings Corp. Warrants, each whole warrant exercisable for one Class A Or
IPOA.WS
– –
-215,135
Closed -$538K
ALDR
417
PUT
DELISTED
Alder Biopharmaceuticals
ALDR
– –
-51,400
Closed -$969K
MAMS
418
DELISTED
MAM Software Group Inc. New
MAMS
– –
-139,400
Closed -$1.68M
NCI
419
DELISTED
Navigant Consulting, Inc.
NCI
– –
-41,657
Closed -$1.16M
TYPE
420
DELISTED
Monotype Imaging Holdings Inc.
TYPE
– –
-150,079
Closed -$2.97M
ROX
421
DELISTED
Castle Brands, Inc.
ROX
– –
-381,304
Closed -$480K
VSM
422
DELISTED
Versum Materials, Inc.
VSM
– –
-92,393
Closed -$4.89M
PNTR
423
DELISTED
Pointer Telocation Ltd.
PNTR
– –
-113,403
Closed -$1.71M
STNLW
424
CALL
DELISTED
Sentinel Energy Services Inc. Warrant
STNLW
– –
-86,770
Closed -$35K
UFS
425
CALL
DELISTED
DOMTAR CORPORATION (New)
UFS
– –
-50,000
Closed -$1.79M
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.