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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
HCAR
51
DELISTED
Healthcare Services Acquisition Corporation Class A Common Stock
HCAR
$5.05M 0.41%
517,571
-27,206
-5% -$263K
BASE
52
DELISTED
Couchbase
BASE
$4.82M 0.39%
+155,000
New +$5.7M
ANY icon
53
Sphere 3D
ANY
$17M
$4.51M 0.37%
+10,854
New +$3.49M
CHPM
54
DELISTED
CHP Merger Corp. Class A Common Stock
CHPM
$4.43M 0.36%
442,226
– –
GCMGW
55
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
$4.3M 0.35%
+2,160,999
New +$3.68M
SC
56
DELISTED
SANTANDER CONSUMER USA HOLDINGS INC
SC
$4.28M 0.35%
+102,613
New +$4.22M
BNZI icon
57
Banzai International
BNZI
$6.4M
$4.22M 0.34%
43
– –
SNCE
58
DELISTED
Science 37 Holdings, Inc. Common Stock
SNCE
$4.19M 0.34%
20,936
– –
MX icon
59
Magnachip Semiconductor
MX
$117M
$4.17M 0.34%
235,000
+215,000
+1,075% +$4.28M
DNZ
60
DELISTED
D and Z Media Acquisition Corp.
DNZ
$4.16M 0.34%
427,302
-100
-0% -$969
OBIO icon
61
Orchestra BioMed
OBIO
$231M
$4.16M 0.34%
420,349
+100,000
+31% +$987K
XEC
62
DELISTED
CIMAREX ENERGY CO
XEC
$4.11M 0.33%
+47,179
New +$3.28M
PKBO
63
DELISTED
Peak Bio, Inc. Common Stock
PKBO
$4.04M 0.33%
412,651
+68,323
+20% +$663K
TYGO icon
64
Tigo Energy
TYGO
$120M
$3.93M 0.32%
+400,000
New +$3.93M
RKT icon
65
PUT
Rocket Companies
RKT
$39.2B
$3.92M 0.32%
244,200
+147,600
+153% +$2.58M
BRIV
66
DELISTED
B. Riley Principal 250 Merger Corp. Class A common stock
BRIV
$3.86M 0.31%
+399,999
New +$3.86M
WINVU
67
DELISTED
WinVest Acquisition Corp. Unit
WINVU
$3.81M 0.31%
+375,000
New +$3.8M
HZAC
68
DELISTED
Horizon Acquisition Corporation
HZAC
$3.78M 0.31%
378,735
-100,000
-21% -$994K
TXNM
69
TXNM Energy Inc
TXNM
$6.42B
$3.76M 0.31%
75,951
-24,752
-25% -$1.21M
VER
70
DELISTED
VEREIT, Inc.
VER
$3.67M 0.3%
81,140
-47,906
-37% -$2.33M
ADVM
71
DELISTED
Adverum Biotechnologies
ADVM
$3.59M 0.29%
165,387
+75,556
+84% +$1.93M
DS
72
DELISTED
Drive Shack Inc.
DS
$3.56M 0.29%
+1,268,462
New +$3.41M
MDB icon
73
PUT
MongoDB
MDB
$24.8B
$3.54M 0.29%
+7,500
New +$3.02M
CIIGU
74
DELISTED
CIIG Capital Partners II, Inc. Unit
CIIGU
$3.53M 0.29%
+350,000
New +$3.53M
WBT
75
DELISTED
Welbilt, Inc.
WBT
$3.46M 0.28%
148,818
+43,169
+41% +$1.01M
1 2
3
4 5

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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.