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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
+3.64%
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
$1.04B
AUM Growth
-$251M
Cap. Flow
-$317M
Cap. Flow %
-30.46%
Top 10 Hldgs %
19.43%
Holding
449
New
137
Increased
69
Reduced
76
Closed
122

Top Buys

Rank Stock Value
1
NRCG
NRC Group Holdings Corp.
NRCG
+$11M
2
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$10.9M
3
SPAQ.U
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
+$10.4M
4
BPYU
Brookfield Property REIT Inc. Class A Common Stock
BPYU
+$9.85M
5
CA
CA, Inc.
CA
+$8.12M

Top Sells

Rank Stock Value
1
NXPI icon
NXP Semiconductors
NXPI
+$25M
2
AABA
Altaba Inc
AABA
+$23.1M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$14.2M
4
LGC.U
Legacy Acquisition Corp. Units, each consisting of one share of Class A common stock, $.0001 par val
LGC.U
+$10.4M
5
PACQU
Pure Acquisition Corp. Unit
PACQU
+$10.4M

Sector Composition

Rank Sector Weight
1 Technology 9.34%
2 Financials 8.83%
3 Industrials 5.23%
4 Communication Services 4.39%
5 Healthcare 4.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ISUN
151
DELISTED
iSun, Inc. Common Stock
ISUN
$1.77M 0.17%
165,790
+39,601
+31% +$429K
EXR icon
152
CALL
Extra Space Storage
EXR
$31.2B
$1.73M 0.17%
20,000
-30,000
-60% -$2.78M
FG.WS
153
DELISTED
FGL Holdings Warrants exercisable for one Ordinary Share at a price of $11.50 per share
FG.WS
$1.7M 0.16%
862,123
+651,623
+310% +$1.06M
PF
154
DELISTED
Pinnacle Foods, Inc.
PF
$1.68M 0.16%
25,889
-16,209
-39% -$1.07M
VAC icon
155
PUT
Marriott Vacations Worldwide
VAC
$3.24B
$1.68M 0.16%
+15,000
New +$1.77M
NAVG
156
DELISTED
Navigators Group Inc
NAVG
$1.68M 0.16%
+24,264
New +$1.55M
NESRW
157
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$1.67M 0.16%
879,086
+6,435
+0.7% +$10.9K
SNV
158
DELISTED
Synovus
SNV
$1.61M 0.15%
+35,222
New +$1.77M
TXN icon
159
PUT
Texas Instruments
TXN
$255B
$1.61M 0.15%
+15,000
New +$1.67M
SMH icon
160
VanEck Semiconductor ETF
SMH
$67.6B
$1.6M 0.15%
+30,000
New +$1.59M
FITB
161
Fifth Third Bancorp
FITB
$52B
$1.57M 0.15%
+56,285
New +$1.65M
LYB icon
162
PUT
LyondellBasell Industries
LYB
$19.5B
$1.54M 0.15%
+15,000
New +$1.64M
BAK icon
163
Braskem
BAK
$980M
$1.52M 0.15%
52,774
-8,326
-14% -$237K
EDGW
164
DELISTED
Edgewater Technology Inc
EDGW
$1.51M 0.14%
353,200
+4,855
+1% +$25K
CA
165
PUT
DELISTED
CA, Inc.
CA
$1.47M 0.14%
+33,300
New +$1.44M
LEN icon
166
Lennar Class A
LEN
$20.4B
$1.46M 0.14%
32,309
+23,759
+278% +$1.2M
PHUN icon
167
Phunware
PHUN
$44M
$1.45M 0.14%
2,761
-464
-14% -$243K
LPNT
168
DELISTED
LifePoint Health, Inc.
LPNT
$1.45M 0.14%
+22,473
New +$1.37M
SNMX
169
DELISTED
Senomyx, Inc.
SNMX
$1.44M 0.14%
+970,968
New +$1.14M
MSFT icon
170
Microsoft
MSFT
$2.84T
$1.43M 0.14%
12,500
-7,500
-38% -$813K
PACQW
171
DELISTED
Pure Acquisition Corp. Warrant
PACQW
$1.43M 0.14%
+1,057,600
New +$1.39M
BROGU
172
DELISTED
Twelve Seas Investment Company Units
BROGU
$1.42M 0.14%
138,700
-761,300
-85% -$7.79M
SWIR
173
CALL
DELISTED
Sierra Wireless
SWIR
$1.41M 0.14%
+70,000
New +$1.3M
HUNT
174
DELISTED
Hunter Maritime Acquisition Corp. Common Stock
HUNT
$1.37M 0.13%
+137,213
New +$1.36M
NRXP icon
175
NRX Pharmaceuticals
NRXP
$161M
$1.34M 0.13%
13,419
-1,220
-8% -$121K
5 6
7
8 9

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WIM
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LCG
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CCM
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K2 Principal Fund's Q3 2018 Portfolio in Review

As of Q3 2018, K2 Principal Fund held 449 positions worth $1.04B, down 19% from $1.29B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

K2 Principal Fund withdrew a net $317M in Q3 2018, closing 122 positions and reducing 76 holdings. Its most notable exit was Altaba Inc, an estimated $23.1M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.3% of assets, down from 14% a quarter earlier, followed by Financials and Industrials.

Against the trend, K2 Principal Fund opened a new position in Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of worth $10.5M.

  • K2 Principal Fund's largest Q3 2018 buy was Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of: 1,031,500 shares worth $10.5M.
  • K2 Principal Fund added most to NRC Group Holdings Corp. in Q3 2018, an estimated $11M increase.
  • K2 Principal Fund's biggest Q3 2018 reduction was NXP Semiconductors, cutting an estimated $25M.
  • K2 Principal Fund fully exited Altaba Inc in Q3 2018, selling an estimated $23.1M.
  • K2 Principal Fund's ten largest holdings make up 19% of its $1.04B portfolio in Q3 2018.
  • K2 Principal Fund opened 137 new positions and closed 122 in Q3 2018.
  • K2 Principal Fund's portfolio value fell 19% quarter-over-quarter to $1.04B.

Based on K2 Principal Fund's 13F filing for Q3 2018, filed 13 Nov 2018.