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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
+1%
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
$925M
AUM Growth
+$96.1M
Cap. Flow
-$40.2M
Cap. Flow %
-4.35%
Top 10 Hldgs %
15.68%
Holding
421
New
140
Increased
50
Reduced
44
Closed
117

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$20.8M
2
V icon
Visa
V
+$9.2M
3
SPCE icon
Virgin Galactic
SPCE
+$8.23M
4
AMD icon
Advanced Micro Devices
AMD
+$8M
5
QCOM icon
Qualcomm
QCOM
+$7.9M

Top Sells

Rank Stock Value
1
LLL
L3 Technologies, Inc.
LLL
+$8.64M
2
RHT
Red Hat Inc
RHT
+$8M
3
TRCO
TRIBUNE MEDIA COMPANY CLASS A
TRCO
+$7.86M
4
DFBHU
DFB Healthcare Acquisitions Corp. Unit
DFBHU
+$7.84M
5
CTOS icon
Custom Truck One Source
CTOS
+$6.52M

Sector Composition

Rank Sector Weight
1 Industrials 7.92%
2 Consumer Discretionary 6.81%
3 Technology 6.05%
4 Communication Services 4.25%
5 Financials 3.52%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PVG
201
PUT
DELISTED
PRETIUM RESOURCES INC.
PVG
$721K 0.08%
62,600
– –
USAS
202
Americas Gold and Silver
USAS
$1.36B
$684K 0.07%
+96,040
New +$711K
UAA icon
203
Under Armour
UAA
$3.02B
$682K 0.07%
+34,200
New +$755K
CPE
204
CALL
DELISTED
Callon Petroleum Company
CPE
$651K 0.07%
+15,000
New +$732K
CARS icon
205
Cars.com
CARS
$667M
$639K 0.07%
71,140
-30,981
-30% -$418K
MVSTW
206
CALL
DELISTED
Microvast Holdings Warrants
MVSTW
$626K 0.07%
+823,278
New +$673K
PARA
207
CALL
DELISTED
Paramount Global Class B
PARA
$606K 0.07%
+15,000
New +$702K
GDX icon
208
VanEck Gold Miners ETF
GDX
$23B
$598K 0.06%
+22,400
New +$627K
JE
209
CALL
DELISTED
Just Energy Group Inc
JE
$585K 0.06%
+7,476
New +$650K
CFFAW
210
CALL
DELISTED
CF Finance Acquisition Corp. Warrant
CFFAW
$570K 0.06%
+877,541
New +$530K
IPOA.WS
211
CALL
DELISTED
Social Capital Hedosophia Holdings Corp. Warrants, each whole warrant exercisable for one Class A Or
IPOA.WS
$538K 0.06%
+215,135
New +$396K
NFLX icon
212
PUT
Netflix
NFLX
$297B
$536K 0.06%
+20,000
New +$626K
BTCT icon
213
BTC Digital
BTCT
$9.5M
$520K 0.06%
85
+2
+2% +$12.1K
GCMG icon
214
GCM Grosvenor
GCMG
$754M
$513K 0.06%
+50,749
New +$511K
IYT icon
215
iShares US Transportation ETF
IYT
$2.31B
$484K 0.05%
10,400
-4,000
-28% -$187K
ROX
216
DELISTED
Castle Brands, Inc.
ROX
$480K 0.05%
+381,304
New +$308K
TMCXW
217
CALL
DELISTED
Trinity Merger Corp. Warrant
TMCXW
$468K 0.05%
+368,200
New +$210K
LBTYK icon
218
Liberty Global Class C
LBTYK
$3.29B
$433K 0.05%
+18,205
New +$474K
CECO icon
219
Ceco Environmental
CECO
$4.21B
$407K 0.04%
58,214
-47,161
-45% -$377K
NUGT icon
220
PUT
Direxion Daily Gold Miners Index Bull 2X ETF
NUGT
$877M
$390K 0.04%
+2,800
New +$478K
OLBK
221
DELISTED
Old Line Bancshares, Inc.
OLBK
$389K 0.04%
+13,420
New +$366K
STC icon
222
CALL
Stewart Information Services
STC
$2.04B
$388K 0.04%
+10,000
New +$372K
BGC icon
223
BGC Group
BGC
$5.57B
$381K 0.04%
69,200
-110,800
-62% -$593K
THWWW
224
CALL
DELISTED
Target Hospitality Corp. Warrant expiring 3/15/2024
THWWW
$372K 0.04%
+354,225
New +$473K
CHAC.WS
225
CALL
DELISTED
Chardan Healthcare Acquisition Corp.
CHAC.WS
$354K 0.04%
+472,211
New +$376K
7 8
9
10 11

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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 2019 Portfolio in Review

As of Q3 2019, K2 Principal Fund held 421 positions worth $925M, up 12% from $828M the previous quarter. Its ten largest holdings account for 16% of the portfolio.

K2 Principal Fund withdrew a net $40.2M in Q3 2019, closing 117 positions and reducing 44 holdings. Its most notable exit was L3 Technologies, Inc., an estimated $8.64M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 7.9% of assets, up from 7.8% a quarter earlier, followed by Consumer Discretionary and Technology.

Against the trend, K2 Principal Fund opened a new position in Amazon worth $19.5M.

  • K2 Principal Fund's largest Q3 2019 buy was Amazon: 224,300 shares worth $19.5M.
  • K2 Principal Fund added most to Virgin Galactic in Q3 2019, an estimated $8.23M increase.
  • K2 Principal Fund's biggest Q3 2019 reduction was LiveVox Holding, Inc. Unit, cutting an estimated $6.14M.
  • K2 Principal Fund fully exited L3 Technologies, Inc. in Q3 2019, selling an estimated $8.64M.
  • K2 Principal Fund's ten largest holdings make up 16% of its $925M portfolio in Q3 2019.
  • K2 Principal Fund opened 140 new positions and closed 117 in Q3 2019.
  • K2 Principal Fund's portfolio value rose 12% quarter-over-quarter to $925M.

Based on K2 Principal Fund's 13F filing for Q3 2019, filed 15 Nov 2019.