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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
+5.15%
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
$1.23B
AUM Growth
+$28.2M
Cap. Flow
-$167M
Cap. Flow %
-13.57%
Top 10 Hldgs %
30.38%
Holding
553
New
191
Increased
38
Reduced
38
Closed
238

Top Buys

Rank Stock Value
1
CIXX
CI Financial Corp.
CIXX
+$88.5M
2
PFSI icon
PennyMac Financial
PFSI
+$40.7M
3
PMT
PennyMac Mortgage Investment
PMT
+$16M
4
PFTAU
Perception Capital Corp. III Unit
PFTAU
+$16M
5
CHWAU
CHW Acquisition Corporation Unit
CHWAU
+$9.92M

Top Sells

Rank Stock Value
1
SKIN icon
SkinHealth Systems
SKIN
+$21.8M
2
PRPB
CC Neuberger Principal Holdings II Class A Ordinary Shares
PRPB
+$15.1M
3
GACQU
Global Consumer Acquisition Corp. Unit
GACQU
+$12.2M
4
BPYU
Brookfield Property REIT Inc. Class A Common Stock
BPYU
+$10.2M
5
SVOK
Seven Oaks Acquisition Corp. Class A Common Stock
SVOK
+$8.78M

Sector Composition

Rank Sector Weight
1 Financials 18.24%
2 Real Estate 4.79%
3 Healthcare 4.26%
4 Technology 2.93%
5 Communication Services 2.46%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CAI
476
DELISTED
CAI International, Inc.
CAI
– –
-9,000
Closed -$504K
ZGYHR
477
CALL
DELISTED
Yunhong International Right
ZGYHR
– –
-551,721
Closed -$193K
ZGYHW
478
CALL
DELISTED
Yunhong International Warrant
ZGYHW
– –
-376,255
Closed -$207K
SKINW
479
CALL
DELISTED
The Beauty Health Company Warrant expiring 5/4/2026
SKINW
– –
-1,182,164
Closed -$7.57M
MCADR
480
CALL
DELISTED
Mountain Crest Acquisition Corp. II Right
MCADR
– –
-194,839
Closed -$166K
LEGO
481
DELISTED
Legato Merger Corp. Common stock
LEGO
– –
-112,607
Closed -$1.13M
HZAC.WS
482
CALL
DELISTED
Horizon Acquisition Corporation Warrants, each whole warrant exercisable for one Class A ordinary sh
HZAC.WS
– –
-156,041
Closed -$278K
ALTA
483
DELISTED
Altabancorp
ALTA
– –
-31,909
Closed -$1.38M
PTK.WS
484
CALL
DELISTED
PTK Acquisition Corp. Warrants, each whole warrant exercisable for one half (1/2) of a share of Comm
PTK.WS
– –
-835,470
Closed -$434K
LATNW
485
CALL
DELISTED
Union Acquisition Corp. II Warrant
LATNW
– –
-193,000
Closed -$176K
PTK
486
DELISTED
PTK Acquisition Corp.
PTK
– –
-483,563
Closed -$4.79M
SNR
487
DELISTED
NEW SENIOR INVESTMENT GROUP INC.
SNR
– –
-80,080
Closed -$703K
ACIC
488
DELISTED
Atlas Crest Investment Corp.
ACIC
– –
-289,721
Closed -$2.89M
CHAQ.WS
489
CALL
DELISTED
Chardan Healthcare Acquisition 2 Corp. Warrants, entitling the holder thereof to purchase one-half (
CHAQ.WS
– –
-149,885
Closed -$96K
KIN
490
DELISTED
Kindred Biosciences, Inc.
KIN
– –
-14,458
Closed -$133K
EXFO
491
DELISTED
EXFO INC.
EXFO
– –
-144,029
Closed -$857K
MXIM
492
DELISTED
Maxim Integrated Products
MXIM
– –
-75,292
Closed -$7.93M
USCR
493
DELISTED
U S Concrete, Inc.
USCR
– –
-20,000
Closed -$1.48M
RMGB
494
DELISTED
RMG Acquisition Corp. II Class A Ordinary Shares
RMGB
– –
-598,941
Closed -$5.96M
GRNVR
495
CALL
DELISTED
GreenVision Acquisition Corp Rights
GRNVR
– –
-594,364
Closed -$324K
SCPE
496
DELISTED
SC Health Corporation
SCPE
– –
-50,000
Closed -$504K
WRI
497
DELISTED
Weingarten Realty Investors
WRI
– –
-66,589
Closed -$2.14M
NEBC
498
DELISTED
Nebula Caravel Acquisition Corp. Class A Common Stock
NEBC
– –
-45,874
Closed -$458K
TLND
499
DELISTED
Talend S.A. American Depositary Shares
TLND
– –
-61,608
Closed -$4.04M
BPYU
500
DELISTED
Brookfield Property REIT Inc. Class A Common Stock
BPYU
– –
-541,344
Closed -$10.2M
17 18 19
20
21

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K2 Principal Fund's Q3 2021 Portfolio in Review

As of Q3 2021, K2 Principal Fund held 553 positions worth $1.23B, up 2.3% from $1.2B the previous quarter. Its ten largest holdings account for 30% of the portfolio.

K2 Principal Fund withdrew a net $167M in Q3 2021, closing 238 positions and reducing 38 holdings. Its most notable exit was CC Neuberger Principal Holdings II Class A Ordinary Shares, an estimated $15.1M position sold in full.

By sector, the portfolio is most concentrated in Financials at 18% of assets, up from 15% a quarter earlier, followed by Real Estate and Healthcare.

Against the trend, K2 Principal Fund opened a new position in Perception Capital Corp. III Unit worth $15.9M.

  • K2 Principal Fund's largest Q3 2021 buy was Perception Capital Corp. III Unit: 1,600,000 shares worth $15.9M.
  • K2 Principal Fund added most to CI Financial Corp. in Q3 2021, an estimated $88.5M increase.
  • K2 Principal Fund's biggest Q3 2021 reduction was SkinHealth Systems, cutting an estimated $21.8M.
  • K2 Principal Fund fully exited CC Neuberger Principal Holdings II Class A Ordinary Shares in Q3 2021, selling an estimated $15.1M.
  • K2 Principal Fund's ten largest holdings make up 30% of its $1.23B portfolio in Q3 2021.
  • K2 Principal Fund opened 191 new positions and closed 238 in Q3 2021.
  • K2 Principal Fund's portfolio value rose 2.3% quarter-over-quarter to $1.23B.

Based on K2 Principal Fund's 13F filing for Q3 2021, filed 12 Nov 2021.