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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
RIO icon
176
CALL
Rio Tinto
RIO
$148B
$668K 0.07%
+20,000
New +$637K
RIO icon
177
PUT
Rio Tinto
RIO
$148B
$668K 0.07%
20,000
+5,200
+35% +$166K
RSG icon
178
PUT
Republic Services
RSG
$66.7B
$661K 0.07%
+13,100
New +$671K
CHKP icon
179
Check Point Software Technologies
CHKP
$13.3B
$660K 0.07%
+8,500
New +$659K
NG icon
180
CALL
NovaGold Resources
NG
$2.6B
$659K 0.07%
117,600
-210,300
-64% -$1.31M
SAND
181
PUT
DELISTED
Sandstorm Gold
SAND
$648K 0.07%
+128,800
New +$722K
APTV icon
182
PUT
Aptiv
APTV
$12B
$642K 0.07%
+9,000
New +$607K
FCH
183
DELISTED
Felcor Lodging Trust
FCH
$617K 0.07%
95,917
-20,337
-17% -$133K
FXI icon
184
PUT
iShares China Large-Cap ETF
FXI
$4.31B
$608K 0.07%
+16,000
New +$587K
TRIP icon
185
TripAdvisor
TRIP
$1.59B
$600K 0.07%
+9,500
New +$611K
TQQQ icon
186
CALL
ProShares UltraPro QQQ
TQQQ
$31.1B
$579K 0.06%
+216,000
New +$534K
PSX icon
187
Phillips 66
PSX
$82.9B
$564K 0.06%
7,000
– –
SPLS
188
CALL
DELISTED
Staples Inc
SPLS
$564K 0.06%
66,000
– –
MGA icon
189
PUT
Magna International
MGA
$17.9B
$558K 0.06%
+13,000
New +$512K
STJ
190
PUT
DELISTED
St Jude Medical
STJ
$558K 0.06%
+7,000
New +$565K
EMD
191
Western Asset Emerging Markets Debt Fund
EMD
$609M
$555K 0.06%
34,150
+16,110
+89% +$261K
AFCO
192
DELISTED
American Farmland Company
AFCO
$552K 0.06%
+70,000
New +$446K
PN
193
DELISTED
Patriot National, Inc.
PN
$546K 0.06%
+60,652
New +$528K
UHAL icon
194
U-Haul Holding Co
UHAL
$14B
$524K 0.06%
16,160
– –
PHM icon
195
CALL
Pultegroup
PHM
$24.5B
$501K 0.06%
+25,000
New +$518K
BALL icon
196
PUT
Ball Corp
BALL
$17B
$492K 0.06%
+12,000
New +$459K
TNA icon
197
CALL
Direxion Daily Small Cap Bull 3x ETF
TNA
$1.34B
$479K 0.05%
+12,000
New +$451K
ORCL icon
198
CALL
Oracle
ORCL
$331B
$471K 0.05%
+12,000
New +$489K
WGO icon
199
Winnebago Industries
WGO
$870M
$471K 0.05%
+20,000
New +$466K
ZD icon
200
PUT
Ziff Davis
ZD
$1.9B
$466K 0.05%
+8,050
New +$469K
6 7
8
9 10

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WIM
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LCG
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CCM
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SMA
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SCA
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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.