Mutual Fund Database

Northern Lights Fund Trust III

Swan Defined Risk Fund

Fund of Funds
Series ID: S000037505
LEI: 549300A86W0U1NC10X11
SEC CIK: 1537140
$749.78M Avg Monthly Net Assets
$730.41M Total Assets
$16.67M Total Liabilities
$713.74M Net Assets
Swan Defined Risk Fund is a Fund of Funds in Northern Lights Fund Trust III , based in Ohio, United States of America. The fund has three share classes and monthly net assets of $749.78M. On August 28th, 2024 it reported 55 holdings, the largest being iShare Trust (50.0%), Select Sector Spdr Trust (14.7%) and Select Sector Spdr Trust (5.6%). Data provided by Fincoded.

Share Classes

Name Class/Contract ID Ticker Monthly Returns (2 years)
Swan Defined Risk Fund Class A C000115777 SDRAX Jun 22Jul 22Aug 22Sep 22Oct 22Nov 22Dec 22Jan 23Feb 23Mar 23Apr 23May 23Jun 23Jul 23Aug 23Sep 23Oct 23Nov 23Dec 23Jan 24Feb 24Mar 24Apr 24May 245.96% (Max)-4.21% (Min)
Swan Defined Risk Fund Class C C000115778 SDRCX Jun 22Jul 22Aug 22Sep 22Oct 22Nov 22Dec 22Jan 23Feb 23Mar 23Apr 23May 23Jun 23Jul 23Aug 23Sep 23Oct 23Nov 23Dec 23Jan 24Feb 24Mar 24Apr 24May 245.94% (Max)-4.22% (Min)
Swan Defined Risk Fund Class I C000115779 SDRIX Jun 22Jul 22Aug 22Sep 22Oct 22Nov 22Dec 22Jan 23Feb 23Mar 23Apr 23May 23Jun 23Jul 23Aug 23Sep 23Oct 23Nov 23Dec 23Jan 24Feb 24Mar 24Apr 24May 245.93% (Max)-4.18% (Min)

Holdings

From latest NPORT-P, filed August 28th, 2024 for period ending June 30th, 2024. Historic holdings data available from Fincoded.
Name Profile Category Country Value $USD # Shares % of Fund
FRST AM-GV OB-X (First American Funds Inc.) Long Short-term investment vehicle US $13M – 1.80
ISHARES-C S&P500 (iShare Trust) Long Equity-common US $357M 652K 49.99
REAL EST SEL SEC (Select Sector Spdr Trust) Long Equity-common US $7M 181K 0.97
SPDR-COMM SERV (Select Sector Spdr Trust) Long Equity-common US $30M 351K 4.22
SPDR-CONS DISCRE (Select Sector Spdr Trust) Long Equity-common US $32M 177K 4.53
SPDR-CONS STAPLE (Select Sector Spdr Trust) Long Equity-common US $19M 246K 2.64
SPDR-ENERGY SEL (Select Sector Spdr Trust) Long Equity-common US $12M 131K 1.67
SPDR-FINL SELECT (Select Sector Spdr Trust) Long Equity-common US $40M 981K 5.65
SPDR-HEALTH CARE (Select Sector Spdr Trust) Long Equity-common US $38M 263K 5.38
SPDR-INDU SELECT (Select Sector Spdr Trust) Long Equity-common US $27M 219K 3.74
SPDR-MATERIALS (Select Sector Spdr Trust) Long Equity-common US $7M 80K 0.99
SPDR-TECH SEL S (Select Sector Spdr Trust) Long Equity-common US $105M 463K 14.66
SPDR-UTIL SELECT (Select Sector Spdr Trust) Long Equity-common US $7M 108K 1.03
SPX US 08/16/24 P4200 Long Derivative-equity $245K – 0.03
SPX US 08/16/24 P4500 Short Derivative-equity $-804K – -0.11
SPX US 08/16/24 P4800 Long Derivative-equity $749K – 0.10
SPX US 09/20/24 P1400 Long Derivative-equity $17.3 – 0.00
SPX US 09/20/24 P2400 Short Derivative-equity $-30K – -0.00
SPX US 09/20/24 P3400 Long Derivative-equity $86K – 0.01
SPX US 09/20/24 P4000 Long Derivative-equity $508K – 0.07
SPX US 09/20/24 P4250 Short Derivative-equity $-1M – -0.20
SPX US 09/20/24 P4500 Long Derivative-equity $1M – 0.15
SPX US 10/18/24 P4000 Long Derivative-equity $830K – 0.12
SPX US 10/18/24 P4200 Short Derivative-equity $-1M – -0.15
SPX US 10/18/24 P4500 Short Derivative-equity $-2M – -0.24
SPX US 10/18/24 P4700 Long Derivative-equity $2M – 0.34
SPX US 12/19/25 P5000 Long Derivative-equity $22M – 3.08
SPX US 12/20/24 P2400 Long Derivative-equity $87K – 0.01
SPX US 12/20/24 P3000 Short Derivative-equity $-451K – -0.06
SPX US 12/20/24 P3600 Long Derivative-equity $447K – 0.06
SPX US 12/20/24 P3750 Long Derivative-equity $1M – 0.19
SPX US 12/20/24 P4000 Short Derivative-equity $-2M – -0.25
SPX US 12/20/24 P4250 Short Derivative-equity $-2M – -0.34
SPX US 12/20/24 P4500 Long Derivative-equity $3M – 0.48
SPXW US 06/28/24 C5480 Short Derivative-equity $0 – –
SPXW US 06/28/24 C5510 Short Derivative-equity $0 – –
SPXW US 06/28/24 C5750 Long Derivative-equity $0 – –
SPXW US 06/28/24 C5780 Long Derivative-equity $0 – –
SPXW US 06/28/24 P4950 Short Derivative-equity $0 – –
SPXW US 06/28/24 P5150 Long Derivative-equity $0 – –
SPXW US 06/28/24 P5210 Long Derivative-equity $0 – –
SPXW US 06/28/24 P5235 Long Derivative-equity $0 – –
SPXW US 07/05/24 C5495 Short Derivative-equity $-91K – -0.01
SPXW US 07/05/24 C5520 Short Derivative-equity $-182K – -0.03
SPXW US 07/05/24 C5770 Long Derivative-equity $80.03 – 0.00
SPXW US 07/05/24 C5790 Long Derivative-equity $296.44 – 0.00
SPXW US 07/05/24 P5220 Long Derivative-equity $3K – 0.00
SPXW US 07/05/24 P5245 Long Derivative-equity $14K – 0.00
SPXW US 07/05/24 P5495 Short Derivative-equity $-256K – -0.04
SPXW US 07/05/24 P5520 Short Derivative-equity $-1M – -0.21
SPXW US 07/12/24 C5525 Short Derivative-equity $-592K – -0.08
SPXW US 07/12/24 C5800 Long Derivative-equity $6K – 0.00
SPXW US 07/12/24 P5250 Long Derivative-equity $97K – 0.01
SPXW US 07/12/24 P5525 Short Derivative-equity $-2M – -0.24
SPXW US 07/31/24 C5525 Short Derivative-equity $-2M – -0.22

Address

Northern Lights Fund Trust III
225 Pictoria Drive, Suite 450
Cincinnati
Ohio
45246
United States of America

Websites

Directors

Mark H. Taylor
Jeffrey D. Young
Patricia Luscombe
John V. Palancia

Transfer Agents

Ultimus Fund Solutions, LLC

Pricing Services

ICE Data Services

Custodians

U.S. Bank N.A.

Shareholder Servicing Agents

Ultimus Fund Solutions, LLC

Admins

Ultimus Fund Solutions, LLC

Brokers

UBS
BANK OF AMERICA MERRILL LYNCH
WOLVERINE EXECUTION SERVICES
JANE STREET
DASH FINANCIAL
GOLDMAN SACHS