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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
1951 CORMEDIX INCORPORATED 360 1 0.00%
1952 ABERDEEN CHILE FD INC 80 1 0.00%
1953 TRIO TECH INTL 297 1 0.00%
1954 TRISTATE CAP HLDGS INC COM 70 1 0.00%
1955 Cordia Bancorp Inc 185 1 0.00%
1956 TROVAGENE INC 390 1 0.00%
1957 Trovagene Inc Com 400 1 0.00%
1958 TSR INC 415 1 0.00%
1959 Integrated Electrical Svc 200 1 0.00%
1960 CONSOLIDATED WATER CO INC ORD 116 1 0.00%
1961 CONSOLIDATED TOMOKA LD CO 14 1 0.00%
1962 COMPANIA DE MINAS BUENAVENTU 100 1 0.00%
1963 COMPANHIA SIDERURGICA NACION 200 1 0.00%
1964 COMMUNITYONE BANCORP COM 144 1 0.00%
1965 NORDIC AMERICAN OFFSHORE LTD 60 1 0.00%
1966 Amyris 251 1 0.00%
1967 ULTRALIFE CORP COM 200 1 0.00%
1968 AMERICAN RAILCAR INDS INC 17 1 0.00%
1969 COEUR MNG INC 100 1 0.00%
1970 COAST DISTR SYS 200 1 0.00%
1971 AMERICAN MIDSTREAM PARTNERS 47 1 0.00%
1972 CLOUGH GLOBAL EQUITY FD 40 1 0.00%
1973 AMERICAN EAGLE OUTFITTERS NE 100 1 0.00%
1974 WISDOMTREE JAPAN 34 1 0.00%
1975 UNITED CMNTY BANCORP IND 100 1 0.00%
1976 ZAIS FINL CORP 40 1 0.00%
1977 WISDOMTREE TR 17 1 0.00%
1978 WisdomTree Middle East Dividend ETF 46 1 0.00%
1979 Oncolytics Biotech Inc 881 1 0.00%
1980 CLAYMORE ETF GUGGENHEIM BRAZIL RUSSIA 25 1 0.00%
1981 ORITANI FINL CORP DEL 84 1 0.00%
1982 Newstar Finl Inc Com 100 1 0.00%
1983 NEW YORK & CO INC 147 1 0.00%
1984 NEW SOURCE ENERGY PRTNERS 36 1 0.00%
1985 P & F INDS INC CL A NEW 91 1 0.00%
1986 Pacific Booker Minerals Inc 300 1 0.00%
1987 PACIFIC CONTINENTAL CORP 96 1 0.00%
1988 NEUBERGER BERMAN NY INT MUN 48 1 0.00%
Page 40 of 40