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III Capital Management Portfolio holdings

AUM $344M
1-Year Est. Return 11.22%
This Fund
S&P 500
This Quarter Est. Return
-0.16%
1 Year Est. Return
+11.22%
3 Year Est. Return
+12.16%
5 Year Est. Return
+12.02%
10 Year Est. Return
–
AUM
$1.56B
AUM Growth
+$303M
Cap. Flow
-$924M
Cap. Flow %
-59.06%
Top 10 Hldgs %
45.58%
Holding
197
New
49
Increased
11
Reduced
11
Closed
20

Top Buys

Rank Stock Value
1
RBCP
RBC Bearings Incorporated 5.00% Series A Mandatory Convertible Preferred Stock
RBCP
+$10.4M
2
ACRO.U
Acropolis Infrastructure Acquisition Corp Units
ACRO.U
+$4.98M
3
ON icon
ON Semiconductor
ON
+$4.32M
4
XYZ
Block Inc
XYZ
+$4.03M
5
KKR icon
KKR & Co
KKR
+$3.58M

Top Sells

Rank Stock Value
1
PCGU
PG&E Corporation
PCGU
+$7.9M
2
NOVA
Sunnova Energy
NOVA
+$5.07M
3
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
+$4.19M
4
ILMN icon
Illumina
ILMN
+$3.55M
5
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$3.32M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.8%
2 Technology 0.79%
3 Communication Services 0.78%
4 Healthcare 0.71%
5 Financials 0.39%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ACAHU
76
DELISTED
Atlantic Coastal Acquisition Corp. Unit
ACAHU
$296K 0.02%
30,000
– –
DXCM icon
77
CALL
DexCom
DXCM
$31.1B
$251K 0.02%
+300
New +$37.8K
KRNLU
78
DELISTED
Kernel Group Holdings, Inc. Units
KRNLU
$250K 0.02%
25,000
– –
ACQRU
79
DELISTED
Independence Holdings Corp. Units
ACQRU
$249K 0.02%
25,000
– –
LCAAU
80
DELISTED
L Catterton Asia Acquisition Corp Units
LCAAU
$248K 0.02%
25,000
– –
MIT.U
81
DELISTED
Mason Industrial Technology, Inc. Units, each consisting of one share of Class A common stock and one-third of one redeemable warrant to purchase one share of Class A common stock
MIT.U
$248K 0.02%
25,000
– –
GLHAU
82
DELISTED
Glass Houses Acquisition Corp. Unit
GLHAU
$248K 0.02%
25,000
– –
TSPQ.U
83
DELISTED
TCW Special Purpose Acquisition Corp. Units, each consisting of one share of Class A common stock and one-third of one redeemable warrant
TSPQ.U
$246K 0.02%
25,000
– –
VAQC
84
DELISTED
Vector Acquisition Corporation II Class A Ordinary Shares
VAQC
$243K 0.02%
25,000
– –
VSXY
85
Victoria's Secret
VSXY
$7.43B
$240K 0.02%
+4,349
New +$264K
UPH
86
DELISTED
UpHealth, Inc.
UPH
$237K 0.02%
7,500
– –
ZNGA
87
DELISTED
ZYNGA INC. CL A COMMON
ZNGA
$221K 0.01%
+29,400
New +$267K
WALDU
88
DELISTED
Waldencast Acquisition Corp. Units
WALDU
$217K 0.01%
21,495
-7,600
-26% -$77.5K
ON icon
89
CALL
ON Semiconductor
ON
$19.1B
$183K 0.01%
+750
New +$32.1K
BABA icon
90
Alibaba
BABA
$306B
$174K 0.01%
+1,177
New +$214K
ILMN icon
91
CALL
Illumina
ILMN
$29.5B
$169K 0.01%
182
-103
-36% -$47.4K
AAL icon
92
PUT
American Airlines Group
AAL
$10.6B
$160K 0.01%
15,000
+6,000
+67% +$122K
JOBY.WS icon
93
Joby Aviation Warrants
JOBY.WS
$171K
$159K 0.01%
+71,632
New +$153K
UPH
94
PUT
DELISTED
UpHealth, Inc.
UPH
$130K 0.01%
+65
New +$3.4K
DNA.WS
95
DELISTED
Ginkgo Bioworks Holdings, Inc. Warrants, each whole warrant exercisable to purchase one-fortieth (1/40th) of a share of Class A Common Stock at an exercise price of $460.00 per share
DNA.WS
$117K 0.01%
+34,703
New +$124K
UNIT
96
PUT
Uniti Group
UNIT
$2.35B
$102K 0.01%
+1,000
New +$12.2K
WPCA.U
97
DELISTED
Warburg Pincus Capital Corporation I-A Units, each consisting of one Class A ordinary share, and one-fifth of one redeemable warrant
WPCA.U
$100K 0.01%
10,000
– –
TRCA.U
98
DELISTED
Twin Ridge Capital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
TRCA.U
$99K 0.01%
10,000
– –
RKTA.U
99
DELISTED
Rocket Internet Growth Opportunities Corp. Units, each consisting of one Class A ordinary share and one-fourth of one redeemable warrant
RKTA.U
$99K 0.01%
10,000
– –
WPCB.U
100
DELISTED
Warburg Pincus Capital Corporation I-B Units, each consisting of one Class A ordinary share, and one-fifth of one redeemable warrant
WPCB.U
$99K 0.01%
10,000
– –
2 3
4
5 6

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III Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, III Capital Management held 197 positions worth $1.56B, up 24% from $1.26B the previous quarter. Its ten largest holdings account for 46% of the portfolio.

III Capital Management withdrew a net $924M in Q3 2021, closing 20 positions and reducing 11 holdings. Its most notable exit was PG&E Corporation, an estimated $7.9M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.8% of assets, down from 1.1% a quarter earlier, followed by Technology and Communication Services.

Against the trend, III Capital Management opened a new position in RBC Bearings Incorporated 5.00% Series A Mandatory Convertible Preferred Stock worth $9.93M.

  • III Capital Management's largest Q3 2021 buy was RBC Bearings Incorporated 5.00% Series A Mandatory Convertible Preferred Stock: 90,000 shares worth $9.93M.
  • III Capital Management added most to Alphabet (Google) Class C in Q3 2021, an estimated $1.65M increase.
  • III Capital Management's biggest Q3 2021 reduction was Illumina, cutting an estimated $3.55M.
  • III Capital Management fully exited PG&E Corporation in Q3 2021, selling an estimated $7.9M.
  • III Capital Management's ten largest holdings make up 46% of its $1.56B portfolio in Q3 2021.
  • III Capital Management opened 49 new positions and closed 20 in Q3 2021.
  • III Capital Management's portfolio value rose 24% quarter-over-quarter to $1.56B.

Based on III Capital Management's 13F filing for Q3 2021, filed 16 Nov 2021.