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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 GLOBALSTAR INC 195,862 832,414 1.69%
2 ISHARES TR 118,848 14,120,331 28.69%
3 TWENTY FIRST CENTY FOX INC 22,190 779,979 1.58%
4 COMCAST CORP NEW 22,168 1,189,978 2.42%
5 MONDELEZ INTL INC 17,743 667,314 1.36%
6 ISHARES TR 17,176 636,199 1.29%
7 NMI HLDGS INC CL A 13,253 139,157 0.28%
8 ZYNGA INC 12,248 39,316 0.08%
9 GENERAL ELECTRIC CO 11,232 295,177 0.60%
10 ISHARES TR 9,500 363,375 0.74%
11 MICROSOFT CORP 8,436 351,781 0.71%
12 MIMEDX GROUP INC COM 8,132 57,656 0.12%
13 ZIOPHARM ONCOLOGY INC 7,910 31,877 0.06%
14 OFFICE DEPOT INC 7,631 43,420 0.09%
15 PROTHENA CORP PLC 7,357 165,900 0.34%
16 PFIZER INC 7,146 212,093 0.43%
17 FIFTH THIRD BANCORP 6,605 141,017 0.29%
18 PETSMART 6,215 371,657 0.76%
19 PERNIX THERAPEUTICS HLDGS IN 6,166 55,371 0.11%
20 VENTRUS BIOSCIENCES INC 5,840 7,650 0.02%
21 AT&T INC 5,787 204,628 0.42%
22 CISCO SYS INC 5,766 143,285 0.29%
23 INTEL CORP 5,566 171,989 0.35%
24 WELLS FARGO & CO NEW 5,360 281,722 0.57%
25 PEPCO HOLDINGS INC 5,284 145,204 0.30%
26 KONGZHONG CORP SPONSO 5,241 45,492 0.09%
27 EXXON MOBIL CORP 4,789 482,157 0.98%
28 VERIZON COMMUNICATIONS INC 4,636 226,839 0.46%
29 Dynavax Techs Cp New 4,462 7,139 0.01%
30 FORD MTR CO DEL 4,414 76,097 0.15%
31 NOVABAY PHARMACEUTICALS INC 4,333 3,423 0.01%
32 COCA COLA CO 4,242 179,691 0.37%
33 JPMORGAN CHASE & CO 4,240 244,309 0.50%
34 XG TECHNOLOGY INC 4,100 2,747 0.01%
35 FIRST TR STOXX EUROPEAN SELE 3,929 59,406 0.12%
36 ORACLE CORP 3,861 156,486 0.32%
37 FOSTER WHEELER LIMITED 3,623 123,436 0.25%
38 OPUS BK IRVINE CALIF COM 3,600 104,616 0.21%
39 CM FIN INC 3,442 50,116 0.10%
40 CITIGROUPINC 3,400 160,140 0.33%
41 PROOFPOINT INC 3,336 124,967 0.25%
42 MERCK & CO INC 3,292 190,442 0.39%
43 JOHNSON & JOHNSON 3,166 331,227 0.67%
44 Solar Capital Ltd. 3,119 66,372 0.13%
45 MICRON TECHNOLOGY INC 3,040 100,168 0.20%
46 PROCTER AND GAMBLE CO 3,036 238,599 0.48%
47 AMERICAN CAP SR FLOATING LTD 3,035 42,490 0.09%
48 ServisFirst Bancshares Inc 3,024 261,364 0.53%
49 ISHARES TR 3,006 196,532 0.40%
50 MITEL NETWORKS CORP 2,960 31,198 0.06%
Page 1 of 39
Restatement filing (0001420506-15-000045) filed in 2015.02.05
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES TR 118,848 14,120 27.40%
2 COMCAST CORP NEW 22,168 1,190 2.31%
3 GLOBALSTAR INC 195,862 832 1.61%
4 TWENTY FIRST CENTY FOX INC 22,190 780 1.51%
5 MONDELEZ INTL INC 17,743 667 1.29%
6 ISHARES TR 17,176 636 1.23%
7 EXXON MOBIL CORP 4,838 487 0.95%
8 PETSMART 6,215 372 0.72%
9 ISHARES TR 9,500 363 0.70%
10 MICROSOFT CORP 8,456 353 0.69%
11 JOHNSON & JOHNSON 3,166 331 0.64%
12 GENERAL ELECTRIC CO 11,232 295 0.57%
13 ISHARES NASDAQ BIOTECHNOLOGY ETF 501 293 0.57%
14 WELLS FARGO & CO NEW 5,360 282 0.55%
15 CHEVRON CORP NEW 2,138 279 0.54%
16 ServisFirst Bancshares Inc 3,024 261 0.51%
17 JPMORGAN CHASE & CO 4,240 244 0.47%
18 PROCTER AND GAMBLE CO 3,036 239 0.46%
19 VERIZON COMMUNICATIONS INC 4,636 227 0.44%
20 SIGNATURE BANK 1,717 217 0.42%
21 PFIZER INC 7,146 212 0.41%
22 AT&T INC 5,828 206 0.40%
23 INTERNATIONAL BUSINESS MACHS 1,096 199 0.39%
24 ISHARES TR 3,006 197 0.38%
25 SCHLUMBERGER LTD 1,664 196 0.38%
26 MERCK & CO INC 3,292 190 0.37%
27 GOOGLE INC 316 182 0.35%
28 COCA COLA CO 4,242 180 0.35%
29 INTEL CORP 5,566 172 0.33%
30 FACEBOOK INC 2,495 168 0.33%
31 PROTHENA CORP PLC 7,357 166 0.32%
32 CITIGROUPINC 3,400 160 0.31%
33 ORACLE CORP 3,876 157 0.30%
34 DISNEY WALT CO 1,824 156 0.30%
35 PEPSICO INC 1,704 152 0.29%
36 QUALCOMM INC 1,894 150 0.29%
37 PHILIP MORRIS INTL INC 1,774 150 0.29%
38 PEPCO HOLDINGS INC 5,384 148 0.29%
39 GILEAD SCIENCES INC 1,722 143 0.28%
40 CISCO SYS INC 5,766 143 0.28%
41 FIFTH THIRD BANCORP 6,605 141 0.27%
42 NMI HLDGS INC CL A 13,253 139 0.27%
43 WAL-MART STORES INC 1,812 136 0.26%
44 MCDONALDS CORP 1,308 132 0.26%
45 HOME DEPOT INC 1,576 128 0.25%
46 PROOFPOINT INC 3,336 125 0.24%
47 FOSTER WHEELER LIMITED 3,623 123 0.24%
48 VISA INC 568 120 0.23%
49 CONOCOPHILLIPS 1,372 118 0.23%
50 ATHENA HEALTH INC. 900 113 0.22%
Page 1 of 40