Swan Defined Risk U.S. Small Cap Fund Class C (SDCCX)

Fund Assets	54.31M
Expense Ratio	2.58%
Min. Investment	$2,500
Turnover	n/a
Dividend (ttm)	n/a
Dividend Yield	n/a
Dividend Growth	n/a
Payout Frequency	n/a
Ex-Dividend Date	n/a

Previous Close	8.26
YTD Return	4.65%
1-Year Return	8.94%
5-Year Return	27.98%
52-Week Low	n/a
52-Week High	n/a
Beta (5Y)	n/a
Holdings	11
Inception Date	Dec 29, 2015

About SDCCX

SDCCX was founded on 2015-12-29. The Fund's investment strategy focuses on Growth & Income with 2.48% total expense ratio. The minimum amount to invest in Northern Lights Fund Trust III: Swan Defined Risk US Small Cap Fund; Class C Shares is $2,500 on a standard taxable account. Northern Lights Fund Trust III: Swan Defined Risk US Small Cap Fund; Class C Shares seeks income and growth of capital. It will invest directly, or indirectly through ETFs in equity securities of domestic small capitalization companies, exchange-traded long-term put options, and buy and sell of exchange-traded put and call options on various securities to generate additional returns.

• Category: Options Trading
• Performance Rating: Low
• Risk Rating: High
• Stock Exchange: NASDAQ
• Ticker Symbol: SDCCX
• Share Class: Class C Shares
• Index: Russell 2000 TR

Performance

SDCCX had a total return of 8.94% in the past year, including dividends. Since the fund's inception, the average annual return has been 10.48%.

Equivalent Funds

These are funds that follow the same index from the other major fund companies.

Symbol	Provider	Name	Expense Ratio
FCPEX	Fidelity	Fidelity Small Cap Enhanced Index Fund	0.55%
SWSSX	Schwab	Schwab Small Cap Index Fund®	0.04%
FSSNX	Fidelity	Fidelity Small Cap Index Fund	0.03%
FSCRX	Fidelity	Fidelity Small Cap Discovery Fund	1.03%
FSSLX	Fidelity	Fidelity Series Small Cap Core	0.01%

Other Share Classes

These are alternative share classes of the same fund, from the same provider.

Symbol	Share Class	Expense Ratio
SDCIX	Class I Shares	1.58%
SDCAX	Class A Shares	1.83%

Top 10 Holdings

99.37% of assets

Name	Symbol	Weight
iShares Russell 2000 ETF	IWM	91.99%
RUT US 12/19/25 P2250	n/a	6.55%
First American Government Obligations Fund	FGXXX	1.52%
VIX US 01/22/25 P15	n/a	0.03%
SPX US 02/21/25 C6430	n/a	-0.01%
EEM US 02/21/25 C46.5	n/a	-0.01%
VIX US 01/22/25 C23	n/a	-0.08%
SPX US 03/21/25 C6270	n/a	-0.09%
SPX US 03/21/25 P5550	n/a	-0.25%
SPX US 02/21/25 P5770	n/a	-0.29%

Dividend History

Ex-Dividend	Amount	Pay Date
Feb 24, 2025	$4.7479	Feb 25, 2025
Dec 28, 2022	$0.9038	Dec 29, 2022
Dec 23, 2016	$0.0337	Dec 23, 2016