0001752724-22-271751.txt : 20221128 0001752724-22-271751.hdr.sgml : 20221128 20221128165715 ACCESSION NUMBER: 0001752724-22-271751 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: 221426303 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 S000045942 HCM Tactical Growth Fund C000143207 HCM Tactical Growth Fund Class A Shares HCMGX C000143208 HCM Tactical Growth Fund Investor Shares HCMDX C000143209 HCM Tactical Growth Fund Class I Shares HCMIX C000143210 HCM Tactical Growth Fund Class R Shares HCMSX NPORT-P 1 primary_doc.xml NPORT-P false 0001537140 XXXXXXXX S000045942 C000143207 C000143210 C000143208 C000143209 NORTHERN LIGHTS FUND TRUST III 811-22655 0001537140 549300PPUECJSQFBYV98 225 PICTORIA DRIVE SUITE 450 CINCINNATI 45246 631-470-2600 HCM Tactical Growth Fund S000045942 549300LA1LOGG3IG6P44 2023-06-30 2022-09-30 N 990454181.25 1619832.22 988834349.03 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 7095603.23000000 N Omnicom Group Inc HKUPACFHSSASQK8HLS17 OMNICOM GROUP 681919106 10598.00000000 NS USD 668627.82000000 0.067617778514 Long EC CORP US N 1 N N N Salesforce Inc RCGZFPDMRW58VJ54VR07 SALESFORCE INC 79466L302 46390.00000000 NS USD 6672737.60000000 0.674808435461 Long EC CORP US N 1 N N N NVIDIA Corp. 549300S4KLFTLO7GSQ80 NVIDIA CORP 67066G104 4796.00000000 NS USD 582186.44000000 0.058876033237 Long EC CORP US N 1 N N N Intel Corporation KNX4USFCNGPY45LOCE31 INTEL CORP 458140100 13910.00000000 NS USD 358460.70000000 0.036250834161 Long EC CORP US N 1 N N N Alphabet Inc. 5493006MHB84DD0ZWV18 ALPHABET INC-C 02079K107 7400.00000000 NS USD 711510.00000000 0.071954417916 Long EC CORP US N 1 N N N Analog Devices Inc. GYVOE5EZ4GDAVTU4CQ61 ANALOG DEVICES 032654105 4692.00000000 NS USD 653783.28000000 0.066116562459 Long EC CORP US N 1 N N N Lowes Companies, Inc. WAFCR4OKGSC504WU3E95 LOWE'S COS INC 548661107 3865.00000000 NS USD 725885.65000000 0.073408215512 Long EC CORP US N 1 N N N Advanced Micro Devices, Inc. R2I72C950HOYXII45366 ADV MICRO DEVICE 007903107 7577.00000000 NS USD 480078.72000000 0.048549963952 Long EC CORP US N 1 N N N Vanguard World Fd 549300MP6BT0L4Q61L10 VANGUARD MEGA CAP GROWTH 921910816 457857.00000000 NS USD 79799896.53000000 8.070097545486 Long EC RF US N 1 N N N Lennar Corporation 529900G61XVRLX5TJX09 LENNAR CORP-A 526057104 7907.00000000 NS USD 589466.85000000 0.059612295080 Long EC CORP US N 1 N N N Vanguard Index Fds 549300G6KNDK44WUN559 VANGUARD GROWTH ETF 922908736 396107.00000000 NS USD 84747092.65000000 8.570403398014 Long EC RF US N 1 N N N Paypal Holdings Incorporation 5493005X2GO78EFZ3E94 PAYPAL HOLDINGS 70450Y103 2674.00000000 NS USD 230151.18000000 0.023274998509 Long EC CORP US N 1 N N N Philip Morris International Inc. HL3H1H2BGXWVG3BSWR90 PHILIP MORRIS IN 718172109 7567.00000000 NS USD 628136.67000000 0.063522941998 Long EC CORP US N 1 N N N Grainger W W Inc 549300TWZSP6O1IH2V34 WW GRAINGER INC 384802104 1550.00000000 NS USD 758244.50000000 0.076680639254 Long EC CORP US N 1 N N N Proshares Trust 5493005D9DS7C1P5AM59 PROSHARES ULTRA S&P500 74347R107 787242.00000000 NS USD 31269252.24000000 3.162233620896 Long EC RF US N 1 N N N eBay Inc. OML71K8X303XQONU6T67 EBAY INC 278642103 12335.00000000 NS USD 454051.35000000 0.045917837547 Long EC CORP US N 1 N N N Invesco Qqq Trust 549300VY6FEJBCIMET58 INVESCO QQQ TRUST SERIES 46090E103 282680.00000000 NS USD 75549056.80000000 7.640213638827 Long EC RF US N 1 N N N Microsoft Corporation INR2EJN1ERAN0W5ZP974 MICROSOFT CORP 594918104 2884.00000000 NS USD 671683.60000000 0.067926807018 Long EC CORP US N 1 N N N HCM BBH SWEEP N/A BBH SWEEP VEHICLE N/A 686853550.26000000 PA USD 686853550.26000000 69.46093154366 Long STIV US N 1 N N N QUALCOMM Inc. H1J8DDZKZP6H7RWC0H53 QUALCOMM INC 747525103 4331.00000000 NS USD 489316.38000000 0.049484160868 Long EC CORP US N 1 N N N Cisco Systems, Inc. 549300LKFJ962MZ46593 CISCO SYSTEMS 17275R102 14287.00000000 NS USD 571480.00000000 0.057793299814 Long EC CORP US N 1 N N N American Express Company R4PP93JZOLY261QX3811 AMERICAN EXPRESS 025816109 5521.00000000 NS USD 744838.11000000 0.075324862119 Long EC CORP US N 1 N N N Monster Beverage Corp 52990090AP0E7HCB6F33 MONSTER BEVERAGE 61174X109 7197.00000000 NS USD 625851.12000000 0.063291806217 Long EC CORP US N 1 N N N Apple Inc. HWUPKR0MPOU8FGXBT394 APPLE INC 037833100 5071.00000000 NS USD 700812.20000000 0.070872558248 Long EC CORP US N 1 N N N Garmin Ltd 2549001E0HIPIJQ0W046 GARMIN LTD H2906T109 5390.00000000 NS USD 432870.90000000 0.043775876154 Long EC CORP CH N 1 N N N Vanguard Specialized Funds 549300OM0CLBHZ9MZW59 VANGUARD DIVIDEND APPREC 921908844 40982.00000000 NS USD 5539127.12000000 0.560167345059 Long EC RF US N 1 N N N KLA Corporation 549300H0BF5JCG96TJ81 KLA CORP 482480100 2446.00000000 NS USD 740232.98000000 0.074859149131 Long EC CORP 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 TACTICAL GROWTH 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