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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
+11.93%
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
$892M
AUM Growth
+$133M
Cap. Flow
+$76.1M
Cap. Flow %
8.54%
Top 10 Hldgs %
27.8%
Holding
388
New
139
Increased
53
Reduced
52
Closed
111

Top Buys

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$15.6M
2
YHOO
Yahoo Inc
YHOO
+$11.1M
3
WWAV
The WhiteWave Foods Company
WWAV
+$10.8M
4
BMY icon
Bristol-Myers Squibb
BMY
+$10.2M
5
KLAC icon
KLA
KLAC
+$7.95M

Top Sells

Rank Stock Value
1
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$30.2M
2
HOT
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
+$18M
3
CPGX
COLUMBIA PIPELINE GROUP IN COM STK (DE)
CPGX
+$14.1M
4
FNFG
FIRST NIAGARA FINANCIAL GROUP INC
FNFG
+$12.4M
5
CPXX
CELATOR PHARMACEUTICALS INC. COMMON STOCK
CPXX
+$8.13M

Sector Composition

Rank Sector Weight
1 Technology 11.22%
2 Energy 4.6%
3 Communication Services 4.08%
4 Industrials 4.05%
5 Financials 3.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLG icon
26
PUT
SL Green Realty
SLG
$3.88B
$8.65M 0.97%
82,641
+65,596
+385% +$7.2M
BMY icon
27
Bristol-Myers Squibb
BMY
$127B
$8.53M 0.96%
+158,200
New +$10.2M
XLU icon
28
PUT
State Street Utilities Select Sector SPDR ETF
XLU
$24.1B
$8.33M 0.93%
+340,000
New +$8.63M
BABA icon
29
PUT
Alibaba
BABA
$269B
$7.93M 0.89%
+75,000
New +$6.95M
LPX icon
30
Louisiana-Pacific
LPX
$5.2B
$7.59M 0.85%
+403,057
New +$7.81M
BMY icon
31
CALL
Bristol-Myers Squibb
BMY
$127B
$7.27M 0.82%
+134,800
New +$8.66M
GIS icon
32
CALL
General Mills
GIS
$19.2B
$7.2M 0.81%
+131,900
New +$9.18M
IWM icon
33
PUT
iShares Russell 2000 ETF
IWM
$80.9B
$7.14M 0.8%
+57,500
New +$6.99M
BFH icon
34
CALL
Bread Financial
BFH
$4.21B
$6.44M 0.72%
+37,590
New +$6.4M
MXIM
35
DELISTED
Maxim Integrated Products
MXIM
$6.39M 0.72%
160,000
+5,000
+3% +$197K
NXPI icon
36
NXP Semiconductors
NXPI
$68B
$6.28M 0.7%
61,600
-21,900
-26% -$1.86M
AGN
37
CALL
DELISTED
Allergan plc
AGN
$5.76M 0.65%
25,000
+21,000
+525% +$5.13M
GOOGL icon
38
CALL
Alphabet (Google) Class A
GOOGL
$3.91T
$5.63M 0.63%
140,000
-260,000
-65% -$10.2M
DDC
39
DELISTED
Dominion Diamond Corporation
DDC
$5.58M 0.63%
+573,152
New +$5.14M
SPY icon
40
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$778B
$5.41M 0.61%
+25,000
New +$5.4M
QQQ icon
41
CALL
Invesco QQQ Trust
QQQ
$455B
$5.34M 0.6%
45,000
-205,000
-82% -$23.7M
TQQQ icon
42
PUT
ProShares UltraPro QQQ
TQQQ
$31.1B
$5.23M 0.59%
1,953,600
+993,600
+104% +$2.46M
APIC
43
DELISTED
Apigee Corporation Common Stock
APIC
$5.21M 0.58%
+299,229
New +$4.37M
PRGO icon
44
CALL
Perrigo
PRGO
$1.4B
$5.08M 0.57%
55,000
+25,000
+83% +$2.3M
KLRE
45
DELISTED
KLR Energy Acquisition Corp
KLRE
$5.07M 0.57%
501,202
+1,202
+0.2% +$12.1K
TNA icon
46
PUT
Direxion Daily Small Cap Bull 3x ETF
TNA
$1.34B
$5M 0.56%
125,200
+81,200
+185% +$3.05M
DBD
47
DELISTED
Diebold Nixdorf Incorporated
DBD
$4.91M 0.55%
+197,900
New +$5.26M
PR
48
Permian Resources
PR
$17.9B
$4.9M 0.55%
311,267
-388,733
-56% -$4.76M
KLAC icon
49
PUT
KLA
KLAC
$275B
$4.87M 0.55%
+699,000
New +$5.03M
C icon
50
PUT
Citigroup
C
$222B
$4.72M 0.53%
+100,000
New +$4.55M
1
2
3 4 5

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WIM
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LCG
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CCM
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K2 Principal Fund's Q3 2016 Portfolio in Review

As of Q3 2016, K2 Principal Fund held 388 positions worth $892M, up 18% from $758M the previous quarter. Its ten largest holdings account for 28% of the portfolio.

K2 Principal Fund deployed $76.1M of net new capital in Q3 2016, opening 139 new positions and adding to 53 existing holdings. Its largest new stake was Alphabet (Google) Class C: 410,620 shares worth $16M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, up from 11% a quarter earlier, followed by Energy and Communication Services.

On the sell side, the largest reduction was Permian Resources, an estimated $4.76M trimmed.

  • K2 Principal Fund's largest Q3 2016 buy was Alphabet (Google) Class C: 410,620 shares worth $16M.
  • K2 Principal Fund added most to Yahoo Inc in Q3 2016, an estimated $11.1M increase.
  • K2 Principal Fund's biggest Q3 2016 reduction was Permian Resources, cutting an estimated $4.76M.
  • K2 Principal Fund fully exited Alphabet (Google) Class A in Q3 2016, selling an estimated $30.2M.
  • K2 Principal Fund's ten largest holdings make up 28% of its $892M portfolio in Q3 2016.
  • K2 Principal Fund opened 139 new positions and closed 111 in Q3 2016.
  • K2 Principal Fund's portfolio value rose 18% quarter-over-quarter to $892M.

Based on K2 Principal Fund's 13F filing for Q3 2016, filed 15 Nov 2016.