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Institutional Investment Manager
Ground Swell Capital, LLC
Ground Swell Capital, LLC (CIK: 0001534450) incorporated in South Carolina, located at 105 West Huron Avenue, Folly Beach, SC. Institutional holdings reported to the SEC.

Institutional Holdings (2014Q2)
Original 13F HR (0001420506-14-000311) filed in 2014.08.14
#
Name
Shares
Value ($)
%
Options
Notes
1 IKANOS COMMUNICATIONS INC 1 0 0.00%
2 Apricus Biosciences, Inc. 1 2 0.00%
3 COEUR MNG INC 3 3 0.00%
4 SMTC CORP 2 4 0.00%
5 MAJESCO ENTERTAINMENT CO COM PAR NEW 3 7 0.00%
6 MEDGENICS INC 1 8 0.00%
7 BG Medicine, Inc. 8 8 0.00%
8 NEUROCRINE BIOSCIENCES INC 1 15 0.00%
9 TILE SHOP HLDGS INC 1 15 0.00%
10 OPTICAL CABLE CORP COM NEW 4 16 0.00%
11 INFOSONICS CORP 8 19 0.00%
12 OSSEN INNOVATION CO LTD 20 20 0.00%
13 CAROLINA TR BK LINCOLNTON NC 4 20 0.00%
14 Radnet Inc 3 20 0.00%
15 BODY CENT CORP 23 20 0.00%
16 ROI ACQUISITION CORP II 60 21 0.00%
17 Ultrapetrol (Bahamas) Ltd 7 21 0.00%
18 REALPAGE INC 1 22 0.00%
19 CADIZ INC COM USD0.01 3 25 0.00%
20 CONATUS PHARMACEUTICALS INC 3 27 0.00%
21 Pacific Sunwear Calif Inc 13 31 0.00%
22 OCERA THERAPEUTICS INC 4 31 0.00%
23 ZBB ENERGY CORPORATION 20 32 0.00%
24 INTELLIGENT SYS CORP NEW 25 34 0.00%
25 STERLING BANCORP DEL COM 3 36 0.00%
26 PUTNAM MANAGED MUN INCOME TR 5 36 0.00%
27 PERMA-FIX ENVIRONMENTAL SVCS 8 37 0.00%
28 PRO-DEX INC COLO 20 42 0.00%
29 CENTRAL FED CORP 29 43 0.00%
30 China Sunergy Co Ltd 13 44 0.00%
31 RENESOLA LTD 15 44 0.00%
32 ATLANTICUS HLDGS CORP 16 45 0.00%
33 VILLAGE SUPER MKT INC CL A NEW 2 47 0.00%
34 METHES ENERGIES INTL LTD 200 48 0.00%
35 ARQULE INC 31 48 0.00%
36 POINT 360 COM 137 49 0.00%
37 WIRELESS TELECOM GROUP INC 20 53 0.00%
38 SELECT SECTOR SPDR TR 1 54 0.00%
39 FIDELITY 2 54 0.00%
40 DIREXION DAILY JUNIOR GOLD 2 55 0.00%
41 LUNA INNOVATIONS 40 55 0.00%
42 ESSA BANCORP INC 5 56 0.00%
43 VALLEY NATL BANCORP 349 56 0.00%
44 DRDGOLD LIMITED 19 56 0.00%
45 NextEra Energy Inc 1 65 0.00%
46 GLOBAL X FDS 5 68 0.00%
47 ORTHOFIX INTL N V 2 73 0.00%
48 IRIDIUM COMMUNICATIONS INC 201 76 0.00%
49 ROBERTS REALTY INVS 100 79 0.00%
50 GRAVITY CO LTD 100 80 0.00%
Page 1 of 39
Restatement filing (0001420506-15-000045) filed in 2015.02.05
#
Name
Shares
Value ($)
%
Options
Notes
1901 AMBIT BIOSCIENCES CORP 167 1 0.00%
1902 WESTERN REFNG LOGISTICS LP 40 1 0.00%
1903 BIOLIFE SOLUTIONS INC 300 1 0.00%
1904 OMEGA PROTEIN CORP 81 1 0.00%
1905 BAY BANCORP INC 100 1 0.00%
1906 ECOLOGY & ENVIRONMENT INC 135 1 0.00%
1907 SUPREME INDS INC 200 1 0.00%
1908 EATON VANCE TAX MANAGED GLOB 100 1 0.00%
1909 EATON VANCE NY MUNI INCOME T 48 1 0.00%
1910 ADCARE HEALTH SYSTEMS INC 128 1 0.00%
1911 EATON VANCE N Y MUN BD FD II 108 1 0.00%
1912 EATON VANCE MUN INCOME 2028 89 1 0.00%
1913 Eastern Virginia Bankshares Inc 193 1 0.00%
1914 ABERDEEN LATIN AMER EQTY FD 20 1 0.00%
1915 SYNTHETIC BIOLOGICS INCORPORATED 370 1 0.00%
1916 BANK COMM HLDGS 100 1 0.00%
1917 DYNEGY INCORPORATED NEW DEL WARRANT EXP 100217 248 1 0.00%
1918 TAT TECHNOLOGIES LTD 200 1 0.00%
1919 DSP GROUP INC 77 1 0.00%
1920 TECHNICAL COMMUNICATIONS CORP COM 240 1 0.00%
1921 DOVER MOTORSPORTS INC 200 1 0.00%
1922 DORAL FINL CORP 132 1 0.00%
1923 TELENAV INC COM 226 1 0.00%
1924 AV HOMES INC COM 90 1 0.00%
1925 DIGIRAD CORP 200 1 0.00%
1926 TESARO 26 1 0.00%
1927 TEUCRIUM COMMODITY TR 59 1 0.00%
1928 AUTOBYTEL INC COM NEW 39 1 0.00%
1929 Dendreon Corp 600 1 0.00%
1930 DELAWARE INVTS DIV & INCOME 75 1 0.00%
1931 DELAWARE INVTS COLO MUN INCO 64 1 0.00%
1932 THE9 LTD 251 1 0.00%
1933 ATMI INC 42 1 0.00%
1934 DATA I O CORP COM 200 1 0.00%
1935 THRESHOLD PHARMACEUTICAL INC 168 1 0.00%
1936 THT HEAT TRANSFER TECHNOLOGY 685 1 0.00%
1937 CYTORI THERAPEUTIC INC 223 1 0.00%
1938 CYREN LTD 215 1 0.00%
1939 ATLAS FINANCIAL HOLDINGS INC SHS NEW 50 1 0.00%
1940 Culp, Inc. 42 1 0.00%
1941 TOFUTTI BRANDS INC 200 1 0.00%
1942 TORCHLIGHT ENERGY RES INC 200 1 0.00%
1943 CSP INC 200 1 0.00%
1944 TOWER GROUP INTERN 797 1 0.00%
1945 TOWER SEMICONDUCTOR LTD SHS NEW 87 1 0.00%
1946 CRAFT BREW ALLIANCE INC 130 1 0.00%
1947 TRANS WORLD ENTMT CORP 200 1 0.00%
1948 ITAU CORPBANCA SPONSORED ADR 74 1 0.00%
1949 TREX CO INC COM 38 1 0.00%
1950 ABERDEEN ISRAEL FUND INC COM 50 1 0.00%
Page 39 of 40