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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
+6.61%
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
$669M
AUM Growth
+$39.7M
Cap. Flow
-$77.2M
Cap. Flow %
-11.54%
Top 10 Hldgs %
20.07%
Holding
361
New
109
Increased
44
Reduced
41
Closed
118

Top Buys

Rank Stock Value
1
PFSI icon
PennyMac Financial
PFSI
+$14.1M
2
PRPB.U
CC Neuberger Principal Holdings II
PRPB.U
+$9.95M
3
FGNA.U
FG New America Acquisition Corp. Units, each consisting of one share of Class A common stock and one
FGNA.U
+$8.34M
4
WPF
Foley Trasimene Acquisition Corp.
WPF
+$7.22M
5
CCIV.U
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
+$7.06M

Top Sells

Rank Stock Value
1
GB
Global Blue Group Holding
GB
+$13.5M
2
CFFAU
CF Finance Acquisition Corp. Unit
CFFAU
+$10.5M
3
PAYA
Paya Holdings Inc. Class A Common Stock
PAYA
+$9.71M
4
FSR
Fisker Inc.
FSR
+$7.79M
5
OPEN icon
Opendoor
OPEN
+$6.16M

Sector Composition

Rank Sector Weight
1 Financials 9.57%
2 Technology 6%
3 Consumer Discretionary 4.46%
4 Consumer Staples 3.65%
5 Healthcare 3.57%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BTRSW
176
CALL
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
$552K 0.08%
+394,372
New +$513K
ECOLW
177
CALL
DELISTED
US Ecology, Inc. Warrant
ECOLW
$544K 0.08%
111,720
– –
RST
178
DELISTED
ROSETTA STONE INC
RST
$539K 0.08%
+17,971
New +$465K
BKI
179
CALL
DELISTED
Black Knight, Inc. Common Stock
BKI
$522K 0.08%
+6,000
New +$472K
EOSEW
180
CALL
DELISTED
Eos Energy Enterprises Warrant
EOSEW
$516K 0.08%
382,068
-165,937
-30% -$246K
CCAC.U
181
DELISTED
CITIC Capital Acquisition Corp. Units, each consisting of one Class A ordinary share, $0.0001 par va
CCAC.U
$472K 0.07%
46,130
– –
BEN icon
182
CALL
Franklin Resources
BEN
$16.8B
$468K 0.07%
23,000
-13,000
-36% -$273K
GOEVW
183
CALL
DELISTED
Canoo Inc. Warrant
GOEVW
$457K 0.07%
197,980
-386,800
-66% -$753K
CDOR
184
DELISTED
Condor Hospitality Trust, Inc. Common Stock
CDOR
$422K 0.06%
+161,257
New +$648K
ACM icon
185
CALL
Aecom
ACM
$9.46B
$418K 0.06%
10,000
-75,000
-88% -$2.86M
CELUW
186
CALL
DELISTED
Celularity Inc
CELUW
$418K 0.06%
261,200
-88,800
-25% -$134K
CSV icon
187
Carriage Services
CSV
$647M
$405K 0.06%
+18,147
New +$382K
SCPE.WS
188
CALL
DELISTED
SC Health Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at an
SCPE.WS
$388K 0.06%
388,350
+1,700
+0.4% +$1.82K
CCL icon
189
CALL
Carnival Corporation Ltd
CCL
$38.1B
$380K 0.06%
25,000
– –
JFKKR
190
CALL
DELISTED
8i Enterprises Acquisition Corp Right
JFKKR
$355K 0.05%
417,164
-75,551
-15% -$55.1K
CNK icon
191
Cinemark Holdings
CNK
$4.07B
$331K 0.05%
+33,128
New +$413K
SCVX.WS
192
CALL
DELISTED
SCVX Corp.
SCVX.WS
$321K 0.05%
213,800
– –
PHGE.WS
193
CALL
DELISTED
BiomX Inc. Warrants to purchase one-half of a share of Common Stock
PHGE.WS
$305K 0.05%
429,156
-26,011
-6% -$13.9K
SCPE.U
194
DELISTED
SC Health Corporation Units, each consisting of one Class A ordinary share, $0.0001 par value, and o
SCPE.U
$288K 0.04%
27,300
– –
SWN
195
DELISTED
Southwestern Energy Company
SWN
$287K 0.04%
+122,157
New +$325K
BLU
196
DELISTED
BELLUS Health Inc.
BLU
$264K 0.04%
+116,470
New +$330K
THCAW
197
CALL
DELISTED
Tuscan Holdings Corp. II Warrant
THCAW
$263K 0.04%
584,556
– –
CCX.WS
198
CALL
DELISTED
Churchill Capital Corp II Warrants, each exercisable for one share of Class A common stock at an exe
CCX.WS
$257K 0.04%
117,718
+67,093
+133% +$158K
NFINW
199
CALL
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
$232K 0.03%
176,806
-459,108
-72% -$624K
LTRYW icon
200
CALL
Sports Entertainment Gaming Global Corp Warrants
LTRYW
$916
$216K 0.03%
587,205
+550,695
+1,508% +$186K
6 7
8
9 10

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LCG
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K2 Principal Fund's Q3 2020 Portfolio in Review

As of Q3 2020, K2 Principal Fund held 361 positions worth $669M, up 6.3% from $629M the previous quarter. Its ten largest holdings account for 20% of the portfolio.

K2 Principal Fund withdrew a net $77.2M in Q3 2020, closing 118 positions and reducing 41 holdings. Its most notable exit was Global Blue Group Holding, an estimated $13.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 9.6% of assets, up from 6.9% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, K2 Principal Fund opened a new position in CC Neuberger Principal Holdings II worth $10.1M.

  • K2 Principal Fund's largest Q3 2020 buy was CC Neuberger Principal Holdings II: 976,880 shares worth $10.1M.
  • K2 Principal Fund added most to PennyMac Financial in Q3 2020, an estimated $14.1M increase.
  • K2 Principal Fund's biggest Q3 2020 reduction was Tuscan Holdings Corp. II Common Stock, cutting an estimated $3.5M.
  • K2 Principal Fund fully exited Global Blue Group Holding in Q3 2020, selling an estimated $13.5M.
  • K2 Principal Fund's ten largest holdings make up 20% of its $669M portfolio in Q3 2020.
  • K2 Principal Fund opened 109 new positions and closed 118 in Q3 2020.
  • K2 Principal Fund's portfolio value rose 6.3% quarter-over-quarter to $669M.

Based on K2 Principal Fund's 13F filing for Q3 2020, filed 13 Nov 2020.