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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
2151 AMERICAN SOFTWARE CL A CLASS A 166 1 0.00%
2152 RCI HOSPITALITY HLDGS INC COM 55 1 0.00%
2153 RENT A CENTER INC-NEW 25 1 0.00%
2154 RADIO ONE INC CL A 200 1 0.00%
2155 RADA ELECTR INDS LTD 400 1 0.00%
2156 Quicksilver Resources Inc 1,000 1 0.00%
2157 RESOURCE AMERICA INC 62 1 0.00%
2158 QUICKLOGIC CORP 372 1 0.00%
2159 QUALITY DISTR INC FLA 100 1 0.00%
2160 QLT INC 200 1 0.00%
2161 QCR HOLDINGS INC 40 1 0.00%
2162 QAD Inc 33 1 0.00%
2163 PROSHARES TR 29 1 0.00%
2164 ALLOT COMMUNICATIONS LTD 56 1 0.00%
2165 PROSHARES TR 28 1 0.00%
2166 PROPHASE LABS INC 500 1 0.00%
2167 XENCOR INC COM 100 1 0.00%
2168 PRIMO WTR CORP COM 200 1 0.00%
2169 Fox Factory Holding Corp 39 1 0.00%
2170 ROI ACQUISITION CORP II 100 1 0.00%
2171 XERIUM TECHNOLOGIES INC 94 1 0.00%
2172 POZEN INC 196 1 0.00%
2173 PMC-SIERRA INC 100 1 0.00%
2174 PIMCO MUN INCOME FD III 100 1 0.00%
2175 ALCOBRA LTD 52 1 0.00%
2176 RUBY TUESDAY INC COM 100 1 0.00%
2177 PERNIX THERAPEUTICS HLDGS IN 87 1 0.00%
2178 PERMIAN BASIN RTY TR 100 1 0.00%
2179 PEREGRINE SEMICONDUCTOR CORP 100 1 0.00%
2180 PEOPLES BANCORP INC 60 1 0.00%
2181 S&W SEED CO 232 1 0.00%
2182 PAR TECHNOLOGY CORP 210 1 0.00%
2183 ORION ENERGY SYSTEMS INC 200 1 0.00%
2184 ONCOMED PHARMACEUTICALS INC COM 51 1 0.00%
2185 OMNOVA SOLUTIONS INCORPORATED 200 1 0.00%
2186 OLYMPIC STEEL INC 61 1 0.00%
2187 SANDY SPRING BANCORP INC COM 36 1 0.00%
2188 Odyssey Marine Exploration Inc 923 1 0.00%
2189 OCERA THERAPEUTICS INC 200 1 0.00%
2190 SAPIENS INTL CORP N V SHS NEW 200 1 0.00%
2191 Oaktree Cap Grp Llc 13 1 0.00%
2192 NV5 HLDGS INC 300 1 0.00%
2193 NUVEEN TX ADV TOTAL RET STRG 67 1 0.00%
2194 NUVEEN PREFERRED SECURITIES 111 1 0.00%
2195 NUVEEN MUN INCOME FD INC 50 1 0.00%
2196 NUVEEN MASSACHUSETS QLT MUN 100 1 0.00%
2197 NUVEEN MUNICIPAL CREDIT INC 100 1 0.00%
2198 NUMEREX CORP PA 68 1 0.00%
2199 NORTHWEST PIPE CO 20 1 0.00%
2200 SEACHANGE INTL INC 124 1 0.00%
Page 44 of 48