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KPF

K2 Principal Fund Portfolio holdings

AUM $1.36B
1-Year Est. Return 25.58%
This Fund
S&P 500
This Quarter Est. Return
+11.93%
1 Year Est. Return
+25.58%
3 Year Est. Return
+76.48%
5 Year Est. Return
+60.09%
10 Year Est. Return
+267.47%
AUM
$892M
AUM Growth
+$133M
Cap. Flow
-$30.7M
Cap. Flow %
-3.45%
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 Miscellaneous 56.37%
2 Technology 12.49%
3 Financials 6.44%
4 Energy 4.85%
5 Communication Services 4.08%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
QQQ icon
1
PUT
Invesco QQQ Trust
QQQ
$490B
$76M 8.52%
640,000
+135,000
+27% +$15.6M
TLT icon
2
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$47.1B
$26.1M 2.93%
+190,000
New +$26.4M
SMH icon
3
PUT
VanEck Semiconductor ETF
SMH
$69B
$25.5M 2.86%
735,000
+250,000
+52% +$8M
ACAS
4
DELISTED
American Capital Ltd
ACAS
$21.7M 2.43%
1,283,893
+467,988
+57% +$7.75M
YHOO
5
DELISTED
Yahoo Inc
YHOO
$21.4M 2.4%
497,466
+271,000
+120% +$11.1M
QCOM icon
6
PUT
Qualcomm
QCOM
$180B
$16.1M 1.81%
235,000
+175,000
+292% +$10.6M
GOOG icon
7
Alphabet (Google) Class C
GOOG
$4.1T
$16M 1.79%
+410,620
New +$15.6M
KLAC icon
8
KLA
KLAC
$242B
$15.3M 1.72%
2,200,000
+1,104,290
+101% +$7.95M
XLF icon
9
State Street Financial Select Sector SPDR ETF
XLF
$55B
$15M 1.68%
775,000
-22,402
-3% -$462K
VAL
10
DELISTED
Valspar
VAL
$14.7M 1.65%
138,927
-10,834
-7% -$1.15M
NYRT
11
DELISTED
New York REIT, Inc.
NYRT
$13.6M 1.53%
149,022
+30,574
+26% +$2.92M
SHOR
12
DELISTED
ShoreTel, Inc.
SHOR
$13.4M 1.5%
1,672,909
+86,731
+5% +$679K
IM
13
DELISTED
Ingram Micro
IM
$13.4M 1.5%
375,000
+29,683
+9% +$1.03M
LNKD
14
DELISTED
LinkedIn Corporation
LNKD
$12.4M 1.39%
64,732
-9,768
-13% -$1.87M
WCN
15
Waste Connections
WCN
$41.5B
$12.3M 1.38%
246,953
+55,451
+29% +$2.8M
CYNA
16
DELISTED
CYNAPSUS THERAPEUTICS INC COM PAR NO PAR (CANADA)
CYNA
$11.5M 1.29%
+286,023
New +$7.06M
WWAV
17
DELISTED
The WhiteWave Foods Company
WWAV
$10.7M 1.2%
+196,452
New +$10.8M
CY
18
DELISTED
Cypress Semiconductor
CY
$10.6M 1.19%
875,000
+102,700
+13% +$1.17M
STJ
19
DELISTED
St Jude Medical
STJ
$10.3M 1.16%
129,550
-29,790
-19% -$2.41M
NUGT icon
20
PUT
Direxion Daily Gold Miners Index Bull 2X ETF
NUGT
$1.3B
$10.3M 1.15%
27,160
+26,285
+3,004% +$13.9M
SPY icon
21
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$814B
$9.95M 1.12%
+46,000
New +$9.94M
XLF icon
22
CALL
State Street Financial Select Sector SPDR ETF
XLF
$55B
$9.46M 1.06%
+490,100
New +$10.1M
PYPL icon
23
PUT
PayPal
PYPL
$47B
$9.42M 1.06%
230,000
+87,500
+61% +$3.36M
NEXT icon
24
NextDecade
NEXT
$1.95B
$9.04M 1.01%
900,000
– –
POT
25
CALL
DELISTED
Potash Corp Of Saskatchewan
POT
$8.87M 0.99%
543,500
+423,500
+353% +$6.99M
1
2 3 4 5

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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 withdrew a net $30.7M in Q3 2016, closing 111 positions and reducing 52 holdings. Its most notable exit was Alphabet (Google) Class A, an estimated $30.2M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 56% of assets, up from 53% a quarter earlier, followed by Technology and Financials.

Against the trend, K2 Principal Fund opened a new position in Alphabet (Google) Class C worth $16M.

  • 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.