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ICM

III Capital Management Portfolio holdings

AUM $344M
1-Year Est. Return 11.22%
This Fund
S&P 500
This Quarter Est. Return
+0.06%
1 Year Est. Return
+11.22%
3 Year Est. Return
+12.16%
5 Year Est. Return
+12.02%
10 Year Est. Return
–
AUM
$1.37B
AUM Growth
-$196M
Cap. Flow
-$969M
Cap. Flow %
-70.78%
Top 10 Hldgs %
53.7%
Holding
219
New
45
Increased
15
Reduced
49
Closed
60

Top Buys

Rank Stock Value
1
RBCP
RBC Bearings Incorporated 5.00% Series A Mandatory Convertible Preferred Stock
RBCP
+$5.58M
2
FSR
Fisker Inc.
FSR
+$2.2M
3
BLEUU
bleuacacia ltd Unit
BLEUU
+$2.01M
4
NEE icon
NextEra Energy
NEE
+$1.86M
5
GMFIU
Aetherium Acquisition Corp Unit
GMFIU
+$1.5M

Top Sells

Rank Stock Value
1
ON icon
ON Semiconductor
ON
+$5.72M
2
NIO icon
NIO
NIO
+$5.67M
3
AQNU
Algonquin Power & Utilities Corp Units
AQNU
+$4.74M
4
META icon
Meta Platforms (Facebook)
META
+$4.22M
5
XYZ
Block Inc
XYZ
+$3.4M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.61%
2 Communication Services 0.43%
3 Industrials 0.4%
4 Financials 0.38%
5 Healthcare 0.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DKNG icon
126
PUT
DraftKings
DKNG
$11B
– –
-1,050
Closed -$12K
DXCM icon
127
CALL
DexCom
DXCM
$31.3B
– –
-300
Closed -$251K
DXCM icon
128
DexCom
DXCM
$31.3B
– –
-8,000
Closed -$1.09M
ELAN icon
129
Elanco Animal Health
ELAN
$12.1B
– –
-47,000
Closed -$1.5M
GEO icon
130
PUT
The GEO Group
GEO
$4.03B
– –
-163
Closed -$4K
IONS icon
131
PUT
Ionis Pharmaceuticals
IONS
$9.06B
– –
-802
Closed -$44K
JOBY.WS icon
132
Joby Aviation Warrants
JOBY.WS
$171K
– –
-71,632
Closed -$159K
MCHP icon
133
CALL
Microchip Technology
MCHP
$40.4B
– –
-920
Closed -$74K
META icon
134
Meta Platforms (Facebook)
META
$1.5T
– –
-12,429
Closed -$4.22M
NIO icon
135
NIO
NIO
$11.5B
– –
-159,300
Closed -$5.67M
NIO icon
136
PUT
NIO
NIO
$11.5B
– –
-1,675
Closed -$4K
ON icon
137
ON Semiconductor
ON
$18.6B
– –
-101,000
Closed -$5.72M
PCRX icon
138
Pacira BioSciences
PCRX
$1.02B
– –
-14,000
Closed -$784K
PDD icon
139
PUT
Pinduoduo
PDD
$129B
– –
-238
Closed -$1K
SKIN icon
140
SkinHealth Systems
SKIN
$99.5M
– –
-124,500
Closed -$3.23M
TMUS icon
141
T-Mobile US
TMUS
$193B
– –
-10,000
Closed -$1.28M
UBER icon
142
CALL
Uber
UBER
$143B
– –
-400
Closed -$4K
VRM icon
143
Vroom Inc
VRM
$48.3M
– –
-288
Closed -$507K
VRM icon
144
PUT
Vroom Inc
VRM
$48.3M
– –
-16
Closed -$341K
Z icon
145
Zillow
Z
$7.65B
– –
-14,000
Closed -$1.23M
XYZ
146
Block Inc
XYZ
$47B
– –
-15,700
Closed -$3.4M
VLD.WS
147
DELISTED
Velo3D, Inc. Redeemable warrants, each Warrant exercisable for 1/35th of a share of Common Stock at an exercise price of $402.50
VLD.WS
– –
-21,920
Closed -$32K
DNA.WS
148
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
– –
-34,703
Closed -$117K
KRNLU
149
DELISTED
Kernel Group Holdings, Inc. Units
KRNLU
– –
-25,000
Closed -$250K
LCAAU
150
DELISTED
L Catterton Asia Acquisition Corp Units
LCAAU
– –
-25,000
Closed -$248K
4 5
6
7 8

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III Capital Management's Q4 2021 Portfolio in Review

As of Q4 2021, III Capital Management held 219 positions worth $1.37B, down 13% from $1.56B the previous quarter. Its ten largest holdings account for 54% of the portfolio.

III Capital Management withdrew a net $969M in Q4 2021, closing 60 positions and reducing 49 holdings. Its most notable exit was ON Semiconductor, an estimated $5.72M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.61% of assets, down from 0.8% a quarter earlier, followed by Communication Services and Industrials.

Against the trend, III Capital Management opened a new position in Fisker Inc. worth $2M.

  • III Capital Management's largest Q4 2021 buy was Fisker Inc.: 126,900 shares worth $2M.
  • III Capital Management added most to RBC Bearings Incorporated 5.00% Series A Mandatory Convertible Preferred Stock in Q4 2021, an estimated $5.58M increase.
  • III Capital Management's biggest Q4 2021 reduction was Algonquin Power & Utilities Corp Units, cutting an estimated $4.74M.
  • III Capital Management fully exited ON Semiconductor in Q4 2021, selling an estimated $5.72M.
  • III Capital Management's ten largest holdings make up 54% of its $1.37B portfolio in Q4 2021.
  • III Capital Management opened 45 new positions and closed 60 in Q4 2021.
  • III Capital Management's portfolio value fell 13% quarter-over-quarter to $1.37B.

Based on III Capital Management's 13F filing for Q4 2021, filed 15 Feb 2022.