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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
UPH.WS
151
DELISTED
UpHealth, Inc. Warrants exercisable for one share of Common Stock at an exercise price of $115.00 per share
UPH.WS
– –
-7,500
Closed -$3K
TRCA.U
152
DELISTED
Twin Ridge Capital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
TRCA.U
– –
-10,000
Closed -$99K
SDC
153
DELISTED
SmileDirectClub, Inc. Class A Common Stock
SDC
– –
-15,000
Closed -$79K
NSTD.U
154
DELISTED
Northern Star Investment Corp. IV Units, each consisting of one share of Class A common stock and one-sixth of one redeemable warrant
NSTD.U
– –
-5,000
Closed -$49K
RCLFU
155
DELISTED
Rosecliff Acquisition Corp I Unit
RCLFU
– –
-30,000
Closed -$297K
NSTC.U
156
DELISTED
Northern Star Investment Corp. III Units, each consisting of one share of Class A common stock and one-sixth of one redeemable warrant
NSTC.U
– –
-5,000
Closed -$49K
TCVA
157
DELISTED
TCV Acquisition Corp. Class A Ordinary Shares
TCVA
– –
-5,000
Closed -$49K
CRZNU
158
DELISTED
Corazon Capital V838 Monoceros Corp Unit
CRZNU
– –
-5,000
Closed -$49K
RKTA.U
159
DELISTED
Rocket Internet Growth Opportunities Corp. Units, each consisting of one Class A ordinary share and one-fourth of one redeemable warrant
RKTA.U
– –
-10,000
Closed -$99K
DGNU
160
DELISTED
Dragoneer Growth Opportunities Corp. III Class A Ordinary Shares
DGNU
– –
-4,796
Closed -$47K
ACQRU
161
DELISTED
Independence Holdings Corp. Units
ACQRU
– –
-25,000
Closed -$249K
CLAA.U
162
DELISTED
Colonnade Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fifth of one redeemable warrant
CLAA.U
– –
-5,000
Closed -$48K
WPCB.U
163
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
– –
-10,000
Closed -$99K
WPCA.U
164
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
– –
-10,000
Closed -$100K
SFT
165
DELISTED
Shift Technologies, Inc. Class A Common Stock
SFT
– –
-16,020
Closed -$1.11M
DCRDU
166
DELISTED
Decarbonization Plus Acquisition Corporation IV Unit
DCRDU
– –
-200,000
Closed -$2.02M
CENQU
167
DELISTED
CENAQ Energy Corp. Unit
CENQU
– –
-100,000
Closed -$1M
MIT.U
168
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
– –
-25,000
Closed -$248K
GLHAU
169
DELISTED
Glass Houses Acquisition Corp. Unit
GLHAU
– –
-25,000
Closed -$248K
TSPQ.U
170
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
– –
-25,000
Closed -$246K
AMPI.U
171
DELISTED
Advanced Merger Partners Inc Units
AMPI.U
– –
-10,000
Closed -$98K
SBII.U
172
DELISTED
Sandbridge X2 Corp. Units, each consisting of one share of Class A common stock and one-third of one redeemable warrant
SBII.U
– –
-1,000
Closed -$9K
HIGA.U
173
DELISTED
H.I.G. Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
HIGA.U
– –
-50,000
Closed -$501K
WALDU
174
DELISTED
Waldencast Acquisition Corp. Units
WALDU
– –
-21,495
Closed -$217K
VGII.U
175
DELISTED
Virgin Group Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fifth
VGII.U
– –
-75,000
Closed -$742K
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.