0001752724-22-271750.txt : 20221128 0001752724-22-271750.hdr.sgml : 20221128 20221128165849 ACCESSION NUMBER: 0001752724-22-271750 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221128 DATE AS OF CHANGE: 20221128 PERIOD START: 20230630 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHERN LIGHTS FUND TRUST III CENTRAL INDEX KEY: 0001537140 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-22655 FILM NUMBER: 221426302 BUSINESS ADDRESS: STREET 1: 225 PICTORIA DRIVE STREET 2: SUITE 450 CITY: CINCINNATI STATE: OH ZIP: 45246 BUSINESS PHONE: 631-470-2621 MAIL ADDRESS: STREET 1: 17605 WRIGHT STREET CITY: OMAHA STATE: NE ZIP: 68130 0001537140 S000076537 HCM Dynamic Income Fund C000236510 HCM Dynamic Income Fund Investor Class Shares HCMFX C000236511 HCM Dynamic Income Fund Class A Shares HCMBX C000236512 HCM Dynamic Income Fund Class I Shares HCMUX NPORT-P 1 primary_doc.xml NPORT-P false 0001537140 XXXXXXXX S000076537 C000236512 C000236510 C000236511 NORTHERN LIGHTS FUND TRUST III 811-22655 0001537140 549300PPUECJSQFBYV98 225 PICTORIA DRIVE SUITE 450 CINCINNATI 45246 631-470-2600 HCM Dynamic Income Fund S000076537 549300KURG63HWXTKP17 2023-06-30 2022-09-30 N 130255671.91 142190.20 130113481.71 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 N HCM BBH SWEEP N/A BBH SWEEP VEHICLE N/A 130094030.30000000 PA USD 130094030.30000000 99.98505042694 Long STIV US N 1 N N N 2022-10-28 NORTHERN LIGHTS FUND TRUST III Brian Curley Brian Curley Treasurer XXXX NPORT-EX 2 hcmnportex.htm HCM DYNAMIC INCOME FUND_NQ_9.30.2022

 

HCM TACTICAL GROWTH FUND
SCHEDULE OF INVESTMENTS (Unaudited)
September 30, 2022
 
Shares             Fair Value
    COMMON STOCKS — 1.9%      
    ADVERTISING & MARKETING - 0.1%      
10,598   Omnicom Group, Inc.       $ 668,628
         
    BEVERAGES - 0.1%      
7,197   Monster Beverage Corporation(a)         625,851
             
    E-COMMERCE DISCRETIONARY - 0.0%(b)      
12,335   eBay, Inc.         454,051
             
    HOME CONSTRUCTION - 0.0%(b)      
7,907   Lennar Corporation, Class A         589,467
           
    INDUSTRIAL SUPPORT SERVICES - 0.1%      
1,550   WW Grainger, Inc.         758,245
             
    INTERNET MEDIA & SERVICES - 0.1%      
7,400   Alphabet, Inc., Class C(a)         711,510
             
    RETAIL - DISCRETIONARY - 0.1%      
3,865   Lowe's Companies, Inc.         725,886
             
    SEMICONDUCTORS - 0.3%      
7,577   Advanced Micro Devices, Inc.(a)         480,079
4,692   Analog Devices, Inc.         653,783
13,910   Intel Corporation         358,461
2,446   KLA Corporation         740,234
4,796   NVIDIA Corporation         582,186
4,331   QUALCOMM, Inc.         489,316
             

3,304,059

    SOFTWARE - 0.7%      
2,884   Microsoft Corporation         671,683
46,390   Salesforce, Inc.(a)         6,672,737
             

7,344,420

 

 

 

 

HCM TACTICAL GROWTH FUND
SCHEDULE OF INVESTMENTS (Unaudited) (Continued)
September 30, 2022
 
Shares             Fair Value
    COMMON STOCKS — 1.9% (Continued)      
    SPECIALTY FINANCE - 0.1%      
5,521   American Express Company       $ 744,838
             
    TECHNOLOGY HARDWARE - 0.2%      
5,071   Apple, Inc.         700,812
14,287   Cisco Systems, Inc.         571,480
5,390   Garmin Ltd.         432,871
             

1,705,163

    TECHNOLOGY SERVICES - 0.0%(b)      
2,674   PayPal Holdings, Inc.(a)         230,151
           
    TOBACCO & CANNABIS - 0.1%(b)      
7,567   Philip Morris International, Inc.         628,137
             
    TOTAL COMMON STOCKS (Cost $22,726,364)    

  18,490,406

               
    EXCHANGE-TRADED FUNDS — 28.0%      
    EQUITY - 28.0%      
282,680   Invesco QQQ Trust Series 1         75,549,057
787,242   ProShares Ultra S&P500         31,269,252
40,982   Vanguard Dividend Appreciation ETF         5,539,127
396,107   Vanguard Growth ETF         84,747,092
457,857   Vanguard Mega Cap Growth ETF         79,799,897
    TOTAL EXCHANGE-TRADED FUNDS (Cost $287,228,382)      

276,904,425

               
    TOTAL INVESTMENTS - 29.9% (Cost $309,954,746)     $ 295,394,831
    OTHER ASSETS IN EXCESS OF LIABILITIES - 70.1%    

693,439,518

    NET ASSETS - 100.0%        

$ 988,834,349

           
               
 

 

 

 

ETF  - Exchange-Traded Fund
LTD  - Limited Company
(a) Non-income producing security.
(b) Percentage rounds to less than 0.1%.
 

 

 

HCM DIVIDEND SECTOR PLUS FUND
SCHEDULE OF INVESTMENTS (Unaudited)
September 30, 2022
 
Shares             Fair Value
    COMMON STOCKS — 12.6%      
    APPAREL & TEXTILE PRODUCTS - 0.2%      
33,449   Ralph Lauren Corporation       $ 2,840,824
             
    ASSET MANAGEMENT - 0.3%      
33,658   Raymond James Financial, Inc.         3,326,084
             
    BANKING - 1.1%      
40,953   Comerica, Inc.         2,911,758
27,840   JPMorgan Chase & Company         2,909,280
18,692   M&T Bank Corporation         3,295,774
152,007   Regions Financial Corporation         3,050,780
             

12,167,592

    BEVERAGES - 0.2%      
55,402   Molson Coors Beverage Company, Class B         2,658,742
             
    BIOTECH & PHARMA - 1.1%      
53,320   Gilead Sciences, Inc.         3,289,311
19,646   Moderna, Inc.(a)         2,323,140
5,535   Regeneron Pharmaceuticals, Inc.(a)         3,812,895
332,398   Viatris, Inc.         2,832,031
             

12,257,377

    CHEMICALS - 0.8%      
36,091   CF Industries Holdings, Inc.         3,473,759
62,628   Dow, Inc.         2,751,248
36,846   LyondellBasell Industries N.V., Class A         2,773,767
             

8,998,774

    COMMERCIAL SUPPORT SERVICES - 0.3%      
41,702   Robert Half International, Inc.         3,190,203
             
    ELECTRIC UTILITIES - 1.4%      
163,131   AES Corporation (The)         3,686,760
51,801   Edison International         2,930,901
72,696   Exelon Corp.         2,723,192
89,380   NRG Energy, Inc.         3,420,573

 

 

 

 

HCM DIVIDEND SECTOR PLUS FUND
SCHEDULE OF INVESTMENTS (Unaudited) (Continued)
September 30, 2022
 
Shares             Fair Value
    COMMON STOCKS — 12.6% (Continued)      
    ELECTRIC UTILITIES - 1.4% (Continued)      
116,337   PPL Corporation       $ 2,949,143
             

15,710,569

    ENTERTAINMENT CONTENT - 0.5%      
91,596   Fox Corporation, Class A         2,810,165
98,821   Fox Corporation - Class B         2,816,399
             

5,626,564

    FOOD - 0.2%      
38,686   Tyson Foods, Inc., Class A         2,550,568
             
    HEALTH CARE FACILITIES & SERVICES - 0.2%      
29,269   Universal Health Services, Inc., Class B         2,580,940
             
    HOME & OFFICE PRODUCTS - 0.2%      
19,410   Whirlpool Corporation         2,616,662
             
    HOME CONSTRUCTION - 1.0%      
42,773   DR Horton, Inc.         2,880,761
47,727   Fortune Brands Home & Security, Inc.         2,562,463
39,566   Lennar Corporation, Class A         2,949,644
72,201   PulteGroup, Inc.         2,707,538
             

11,100,406

    INDUSTRIAL SUPPORT SERVICES - 0.3%      
11,721   United Rentals, Inc.(a)         3,166,077
             
    METALS & MINING - 0.3%      
113,662   Freeport-McMoRan, Inc.       3,106,382
           
    OIL & GAS PRODUCERS - 1.4%      
94,165   APA Corporation         3,219,501
35,264   ConocoPhillips         3,608,918
26,746   Diamondback Energy, Inc.         3,221,823
140,511   Marathon Oil Corporation         3,172,738
14,664   Pioneer Natural Resources Company         3,175,196
             

16,398,176

 

 

 

 

HCM DIVIDEND SECTOR PLUS FUND
SCHEDULE OF INVESTMENTS (Unaudited) (Continued)
September 30, 2022
 
Shares             Fair Value
    COMMON STOCKS — 12.6% (Continued)      
    PUBLISHING & BROADCASTING - 0.5%      
189,705   News Corporation, Class A       $ 2,866,443
187,605   News Corporation, Class B         2,892,868
             

5,759,311

    RETAIL - CONSUMER STAPLES - 0.5%      
69,951   Kroger Company (The)         3,060,357
83,701   Walgreens Boots Alliance, Inc.         2,628,211
             

5,688,568

    SEMICONDUCTORS - 0.4%      
82,602   Intel Corporation         2,128,654
53,442   Micron Technology, Inc.         2,677,444
             

4,806,098

    STEEL - 0.2%      
26,333   Nucor Corporation         2,817,368
             
    TECHNOLOGY HARDWARE - 0.4%      
232,968   Hewlett Packard Enterprise Company         2,790,956
68,661   Western Digital Corporation(a)         2,234,916
             

5,025,872

    TECHNOLOGY SERVICES - 0.2%      
103,471   DXC Technology Company(a)         2,532,970
             
    TELECOMMUNICATIONS - 0.2%      
301,124   Lumen Technologies, Inc.         2,192,183
             
    TOBACCO & CANNABIS - 0.3%      
73,892   Altria Group, Inc.         2,983,759
             
    TRANSPORTATION & LOGISTICS - 0.4%      
32,312   Expeditors International of Washington, Inc.         2,853,473
14,067   FedEx Corporation         2,088,527
             

4,942,000

               
    TOTAL COMMON STOCKS (Cost $158,803,342)    

  145,044,069

               

 

 

 

HCM DIVIDEND SECTOR PLUS FUND
SCHEDULE OF INVESTMENTS (Unaudited) (Continued)
September 30, 2022
 
Shares             Fair Value
    EXCHANGE-TRADED FUNDS — 32.2%      
    EQUITY - 32.2%      
837,663   iShares Select Dividend ETF       $ 89,814,227
548,952   Vanguard Dividend Appreciation ETF         74,196,352
12,580   Vanguard Growth ETF         2,691,491
1,007,034   Vanguard High Dividend Yield ETF         95,547,386
1,969,134   WisdomTree US LargeCap Dividend Fund         108,814,345
    TOTAL EXCHANGE-TRADED FUNDS (Cost $366,292,494)      

371,063,801

               
    TOTAL INVESTMENTS - 44.8% (Cost $525,095,836)     $ 516,107,870
    OTHER ASSETS IN EXCESS OF LIABILITIES - 55.2%    

635,176,540

    NET ASSETS - 100.0%        

$ 1,151,284,410

           
               
 

 

 

 

ETF  - Exchange-Traded Fund
NV  - Naamioze Vennootschap
PLC  - Public Limited Company
(a) Non-income producing security.
 

 

 

 

 

 

 

 

 

HCM INCOME PLUS FUND
SCHEDULE OF INVESTMENTS (Unaudited)
September 30, 2022
 
Shares             Fair Value
    EXCHANGE-TRADED FUNDS — 31.7%      
    EQUITY - 31.7%      
167,164   Invesco QQQ Trust Series 1       $ 44,676,251
440,305   Vanguard Growth ETF         94,203,255
276,353   Vanguard Mega Cap Growth ETF         48,165,564
    TOTAL EXCHANGE-TRADED FUNDS (Cost $215,685,162)      

187,045,070

               
    TOTAL INVESTMENTS - 31.7% (Cost $215,685,162)     $ 187,045,070
    OTHER ASSETS IN EXCESS OF LIABILITIES - 68.3%    

403,884,600

    NET ASSETS - 100.0%        

$ 590,929,670

           

 

 

 

 

ETF  - Exchange-Traded Fund
 

 

 

 

 

 

 

HCM DYNAMIC INCOME FUND
SCHEDULE OF INVESTMENTS (Unaudited)
September 30, 2022
 
    TOTAL INVESTMENTS - 0.0% (Cost $0)     $ 0
    OTHER ASSETS IN EXCESS OF LIABILITIES - 100.0%    

130,113,482

    NET ASSETS - 100.0%        

$ 130,113,482