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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
SBII.U
126
DELISTED
Sandbridge X2 Corp. Units, each consisting of one share of Class A common stock and one-third of one redeemable warrant
SBII.U
$9K ﹤0.01%
1,000
– –
DKNG icon
127
DraftKings
DKNG
$11B
$6K ﹤0.01%
129
– –
GEO icon
128
PUT
The GEO Group
GEO
$4.03B
$4K ﹤0.01%
+163
New +$1.2K
NIO icon
129
PUT
NIO
NIO
$11.5B
$4K ﹤0.01%
1,675
– –
UBER icon
130
CALL
Uber
UBER
$144B
$4K ﹤0.01%
400
– –
UPH.WS
131
DELISTED
UpHealth, Inc. Warrants exercisable for one share of Common Stock at an exercise price of $115.00 per share
UPH.WS
$3K ﹤0.01%
7,500
– –
PDD icon
132
PUT
Pinduoduo
PDD
$129B
$1K ﹤0.01%
238
– –
AMPY icon
133
Amplify Energy
AMPY
$168M
$0 ﹤0.01%
129
– –
IONS icon
134
Ionis Pharmaceuticals
IONS
$9.06B
– –
-6,000
Closed -$226K
NXDR
135
Nextdoor Holdings
NXDR
$983M
– –
-4,100
Closed -$40K
KMX icon
136
CarMax
KMX
$8.24B
– –
-6,000
Closed -$774K
NOVA
137
DELISTED
Sunnova Energy
NOVA
– –
-134,500
Closed -$5.07M
JOYY
138
PUT
JOYY Inc
JOYY
$3.77B
– –
-1,031
Closed -$24K
PCGU
139
DELISTED
PG&E Corporation
PCGU
– –
-78,000
Closed -$7.9M
PSPC.U
140
DELISTED
Post Holdings Partnering Corporation Units, each consisting of one share of Series A common stock, and one-third of one redeemable warrant
PSPC.U
– –
-20,000
Closed -$207K
VPCBU
141
DELISTED
VPC Impact Acquisition Holdings II Unit
VPCBU
– –
-10,000
Closed -$100K
NEE.PRP
142
DELISTED
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
– –
-50,000
Closed -$2.43M
SJIV
143
DELISTED
South Jersey Industries, Inc. Corporate Units
SJIV
– –
-60,000
Closed -$3.32M
MDH.U
144
DELISTED
MDH Acquisition Corp. Units, each consisting of one share of Class A Common Stock, and one-half of one redeemable warrant
MDH.U
– –
-25,000
Closed -$250K
GIWWU
145
DELISTED
GigInternational1, Inc. Units
GIWWU
– –
-240,000
Closed -$2.41M
GGPIU
146
DELISTED
Gores Guggenheim, Inc. Unit
GGPIU
– –
-75,000
Closed -$751K
MOTV.U
147
DELISTED
Motive Capital Corp Units, each consisting of one Class A ordinary share, and one-third of one redee
MOTV.U
– –
-148,350
Closed -$1.49M
VPCC.U
148
DELISTED
VPC Impact Acquisition Holdings III, Inc. Units, each consisting of one share of Class A common stoc
VPCC.U
– –
-15,000
Closed -$154K
NGCAU
149
DELISTED
NextGen Acquisition Corp. II Units
NGCAU
– –
-50,000
Closed -$540K
RTP.WS
150
DELISTED
Reinvent Technology Partners Redeemable Warrants, each whole warrant exercisable for one Class A ord
RTP.WS
– –
-69,592
Closed -$136K
3 4 5
6
7

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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.