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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 (2014Q3)
Original 13F HR (0001420506-14-000425) filed in 2014.11.06
#
Name
Shares
Value ($)
%
Options
Notes
51 CYPRESS SEMICONDUCTOR CORP 16,975 167,628 0.32%
52 WYNN RESORTS LTD 856 160,140 0.30%
53 3M CO 1,091 154,573 0.29%
54 BOEING CO 1,209 154,002 0.29%
55 ALTRIA GROUP INC 3,345 153,669 0.29%
56 BRISTOL MYERS SQUIBB CO 2,990 153,028 0.29%
57 UNITED TECHNOLOGIES CORP 1,434 151,430 0.29%
58 MICHAELS COS INC 8,594 150,223 0.28%
59 MCDONALDS CORP 1,456 138,043 0.26%
60 AMERICAN EXPRESS CO 1,518 132,886 0.25%
61 UNITEDHEALTH GROUP INC 1,538 132,653 0.25%
62 BIOGEN INC 399 131,993 0.25%
63 Linear Technology Corp 2,944 130,684 0.25%
64 AMERICAN INTL GROUP INC 2,406 129,972 0.25%
65 STARBUCKS CORP 1,714 129,338 0.24%
66 US BANCORP DEL 3,039 127,121 0.24%
67 GOLDMAN SACHS GROUP INC 690 126,663 0.24%
68 OCCIDENTAL PETE CORP DEL 1,314 126,341 0.24%
69 TEXAS INSTRS INC 2,649 126,331 0.24%
70 CVS HEALTH CORP 1,553 123,603 0.23%
71 MASTERCARD INCORPORATED 1,659 122,633 0.23%
72 COMCAST CORP NEW 2,253 121,166 0.23%
73 EBAY INC 2,105 119,206 0.23%
74 ISHARES TR 1,688 118,278 0.22%
75 ALLERGAN PLC 485 117,021 0.22%
76 DORMAN PRODUCTS INC 2,896 116,014 0.22%
77 ABBOTT LABS 2,774 115,371 0.22%
78 HONEYWELL INTL INC 1,220 113,606 0.21%
79 Hewlett Packard Co 3,147 111,624 0.21%
80 LOCKHEED MARTIN CORP 606 110,765 0.21%
81 DU PONT E I DE NEMOURS & CO 1,542 110,654 0.21%
82 WISDOMTREE TR 1,262 110,463 0.21%
83 TIME WARNER INC 1,440 108,302 0.20%
84 VANGUARD WORLD FD 984 107,699 0.20%
85 RANDGOLD RES LTD 1,590 107,468 0.20%
86 PROSHARES TR ULTRAPRO QQQ 1,232 106,580 0.20%
87 NIKE INC 1,185 105,702 0.20%
88 CELGENE CORP 1,110 105,206 0.20%
89 CATERPILLAR INC 1,059 104,873 0.20%
90 LILLY ELI & CO 1,609 104,344 0.20%
91 OFFICE DEPOT INC 20,247 104,070 0.20%
92 FS KKR CAPITAL CORP COM 9,625 103,661 0.20%
93 OMNIVISION TECHS INC 3,905 103,326 0.20%
94 Medtronic Inc 1,650 102,218 0.19%
95 METLIFE INC 1,896 101,853 0.19%
96 PRICELINE GRP INC 87 100,796 0.19%
97 WISDOMTREE TR 1,323 100,641 0.19%
98 ILLINOIS TOOL WKS INC 1,190 100,460 0.19%
99 MONSANTO CO NEW 885 99,571 0.19%
100 CHINA FIN ONLINE CO LTD 14,466 99,381 0.19%
Page 2 of 54
Restatement filing (0001420506-15-000046) filed in 2015.02.05
#
Name
Shares
Value ($)
%
Options
Notes
2101 CASCADE MICROTECH INC 69 1 0.00%
2102 CARVER BANCORP INC 150 1 0.00%
2103 WASHINGTON FED INC 100 1 0.00%
2104 CAREDX INC 200 1 0.00%
2105 Capstone Turbine 520 1 0.00%
2106 CAPITOL FED FINL INC 48 1 0.00%
2107 Capital Bank Financial Corp Cl 30 1 0.00%
2108 CALIFORNIA WTR SVC GROUP 60 1 0.00%
2109 WCI COMMUNITIES ORD 39 1 0.00%
2110 BURCON NUTRASCIENCE CORP 200 1 0.00%
2111 BTU INTERNATIONAL INC 433 1 0.00%
2112 BROOKDALE SR LIVING INC 30 1 0.00%
2113 BRIGHTCOVE INC COM 100 1 0.00%
2114 BOSTON PRIVATE FINL HLDGS IN 200 1 0.00%
2115 BOS BETTER ONLINE SOLUTIONS 300 1 0.00%
2116 BONA FILM GROUP LTD 249 1 0.00%
2117 ZOOM TECHNOLOGIES INC COM PAR $0.01 200 1 0.00%
2118 BLUEKNIGHT ENERGY PARTNERS LCOM UNIT 115 1 0.00%
2119 WESTERN ASST MN PRT FD INC 38 1 0.00%
2120 BLACKROCK MUNIVEST FD II INC COM 76 1 0.00%
2121 WESTFIELD FINANCIAL INC NEW 100 1 0.00%
2122 BLACKROCK ENHANCED CAP INC 83 1 0.00%
2123 BLACKROCK ENERGY & RES TR COM 60 1 0.00%
2124 BLACKROCK CORPOR HI YLD FD I 100 1 0.00%
2125 BIOANALYTICAL SYS INC 269 1 0.00%
2126 BIOAMBER INC 300 1 0.00%
2127 BIO-REFERENCE LABS INC 53 1 0.00%
2128 BEL FUSE INC CL B 42 1 0.00%
2129 Bear State Financial Inc 152 1 0.00%
2130 Bdca Venture Inc 265 1 0.00%
2131 BAZAARVOICE INC 100 1 0.00%
2132 Baylake Corp 100 1 0.00%
2133 BARNWELL INDS INC 200 1 0.00%
2134 BAR HBR BANKSHARES 36 1 0.00%
2135 BALDWIN AND LYONS INC CL B 32 1 0.00%
2136 AVIANCA HLDGS SA 100 1 0.00%
2137 WISDOMTREE TR 24 1 0.00%
2138 ATLAS FINANCIAL HOLDINGS INC SHS NEW 54 1 0.00%
2139 WISDOMTREE EMERGING 28 1 0.00%
2140 ASTROTECH CORP 364 1 0.00%
2141 ASSEMBLY BIOSCIENCES INC 140 1 0.00%
2142 WISDOMTREE GLOBAL EX-US UTILITIES FUND 47 1 0.00%
2143 ARTS WAY MFG INC 200 1 0.00%
2144 WL ROSS HOLDING CORP 100 1 0.00%
2145 ARTESIAN RES CORP 63 1 0.00%
2146 ARRHYTHMIA RESEARCH TECHNOLOGY ORD 100 1 0.00%
2147 WORLD ENERGY SOLUTIONS INC D 295 1 0.00%
2148 ARCH COAL INC 300 1 0.00%
2149 ANGIES LIST INC 100 1 0.00%
2150 AMTECH SYS INC 59 1 0.00%
Page 43 of 48