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SRCM

Sage Rock Capital Management Portfolio holdings

AUM $22.3M
1-Year Est. Return 4.09%
This Fund
S&P 500
This Quarter Est. Return
-0.99%
1 Year Est. Return
+4.09%
3 Year Est. Return
+12.97%
5 Year Est. Return
+43.23%
10 Year Est. Return
–
AUM
$673M
AUM Growth
-$89.6M
Cap. Flow
-$81.1M
Cap. Flow %
-12.05%
Top 10 Hldgs %
10.96%
Holding
272
New
52
Increased
14
Reduced
29
Closed
63

Top Buys

Rank Stock Value
1
AHPAU
Avista Public Acquisition Corp. II Unit
AHPAU
+$7.54M
2
PFTAU
Perception Capital Corp. III Unit
PFTAU
+$7.34M
3
ACRO.U
Acropolis Infrastructure Acquisition Corp Units
ACRO.U
+$7.33M
4
CNDA.U
Concord Acquisition Corp II Units, each consisting of one share of Class A Common Stock and one-third of one Warrant
CNDA.U
+$6.6M
5
SWAGU
Software Acquisition Group Inc. III Unit
SWAGU
+$6.5M

Top Sells

Rank Stock Value
1
ETAC
E.Merge Technology Acquisition Corp. Class A Common Stock
ETAC
+$7.47M
2
RTPYU
Reinvent Technology Partners Y Unit
RTPYU
+$6.9M
3
SPAQ.U
Spartan Acquisition Corp. III Units, each consisting of one share of Class A common stock and one-fo
SPAQ.U
+$6.67M
4
CFV
CF Acquisition Corp. V Class A Common Stock
CFV
+$6.55M
5
NDACU
NightDragon Acquisition Corp. SCALE Units
NDACU
+$6.55M

Sector Composition

Rank Sector Weight
1 Financials 29.21%
2 Healthcare 1.99%
3 Technology 1.8%
4 Utilities 0.86%
5 Communication Services 0.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FMAC.U
251
DELISTED
FirstMark Horizon Acquisition Corp. Units, each consisting of one share of Class A common stock and
FMAC.U
– –
-111,188
Closed -$1.16M
MOTV.U
252
DELISTED
Motive Capital Corp Units, each consisting of one Class A ordinary share, and one-third of one redee
MOTV.U
– –
-451,700
Closed -$4.54M
SPAQ.U
253
DELISTED
Spartan Acquisition Corp. III Units, each consisting of one share of Class A common stock and one-fo
SPAQ.U
– –
-663,000
Closed -$6.67M
NXU.U
254
DELISTED
Novus Capital Corporation II Units, each consisting of one share of Class A common stock and one thi
NXU.U
– –
-449,186
Closed -$4.55M
ENNVU
255
DELISTED
ECP Environmental Growth Opportunities Corp. Unit
ENNVU
– –
-482,000
Closed -$4.89M
IVAN.WS
256
DELISTED
Ivanhoe Capital Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A
IVAN.WS
– –
-201,266
Closed -$370K
CFV
257
DELISTED
CF Acquisition Corp. V Class A Common Stock
CFV
– –
-663,327
Closed -$6.55M
CFFVW
258
DELISTED
CF Acquisition Corp. V Warrant
CFFVW
– –
-221,109
Closed -$243K
GMIIU
259
DELISTED
Gores Metropoulos II, Inc. Unit
GMIIU
– –
-557,593
Closed -$5.66M
ATHN.U
260
DELISTED
Athena Technology Acquisition Corp. Units, each consisting of one share of Class A Common Stock and
ATHN.U
– –
-100,000
Closed -$997K
YAC
261
DELISTED
Yucaipa Acquisition Corporation Class A Ordinary Shares
YAC
– –
-573,800
Closed -$5.66M
DMYQ.WS
262
DELISTED
dMY Technology Group, Inc. IV Redeemable warrants, each whole warrant exercisable for one share of C
DMYQ.WS
– –
-366,635
Closed -$521K
LIII.U
263
DELISTED
Leo Holdings III Corp Units, each consisting of one Class A ordinary share, and one-fifth of one red
LIII.U
– –
-97,985
Closed -$988K
RTPYU
264
DELISTED
Reinvent Technology Partners Y Unit
RTPYU
– –
-683,800
Closed -$6.9M
KCAC.U
265
DELISTED
Kensington Capital Acquisition Corp. II Units, each consisting of one share of Class A common stock,
KCAC.U
– –
-386,356
Closed -$4.02M
LATNW
266
DELISTED
Union Acquisition Corp. II Warrant
LATNW
– –
-1,430,000
Closed -$1.3M
TWCTW
267
DELISTED
TWC Tech Holdings II Corp. Warrant
TWCTW
– –
-476,148
Closed -$826K
TWCT
268
DELISTED
TWC Tech Holdings II Corp. Class A Common Stock
TWCT
– –
-125,500
Closed -$1.25M
LIVKW
269
DELISTED
LIV Capital Acquisition Corp. Warrant
LIVKW
– –
-578,386
Closed -$549K
NEBCW
270
DELISTED
Nebula Caravel Acquisition Corp. Warrant
NEBCW
– –
-34,901
Closed -$91K
NEBC
271
DELISTED
Nebula Caravel Acquisition Corp. Class A Common Stock
NEBC
– –
-141,467
Closed -$1.41M
EMPW.WS
272
DELISTED
Empower Ltd. Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at a
EMPW.WS
– –
-200,000
Closed -$376K
7 8 9 10
11

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Sage Rock Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, Sage Rock Capital Management held 272 positions worth $673M, down 12% from $763M the previous quarter. Its ten largest holdings account for 11% of the portfolio.

Sage Rock Capital Management withdrew a net $81.1M in Q3 2021, closing 63 positions and reducing 29 holdings. Its most notable exit was E.Merge Technology Acquisition Corp. Class A Common Stock, an estimated $7.47M position sold in full.

By sector, the portfolio is most concentrated in Financials at 29% of assets, up from 25% a quarter earlier, followed by Healthcare and Technology.

Against the trend, Sage Rock Capital Management opened a new position in Avista Public Acquisition Corp. II Unit worth $7.59M.

  • Sage Rock Capital Management's largest Q3 2021 buy was Avista Public Acquisition Corp. II Unit: 750,000 shares worth $7.59M.
  • Sage Rock Capital Management added most to Vy Global Growth in Q3 2021, an estimated $3.19M increase.
  • Sage Rock Capital Management's biggest Q3 2021 reduction was Live Oak Mobility Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-fifth of one warrant, cutting an estimated $3.29M.
  • Sage Rock Capital Management fully exited E.Merge Technology Acquisition Corp. Class A Common Stock in Q3 2021, selling an estimated $7.47M.
  • Sage Rock Capital Management's ten largest holdings make up 11% of its $673M portfolio in Q3 2021.
  • Sage Rock Capital Management opened 52 new positions and closed 63 in Q3 2021.
  • Sage Rock Capital Management's portfolio value fell 12% quarter-over-quarter to $673M.

Based on Sage Rock Capital Management's 13F filing for Q3 2021, filed 15 Nov 2021.