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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
2001 DSP GROUP INC 200 1,774 0.00%
2002 FOSTER WHEELER LIMITED 56 1,771 0.00%
2003 IMATION CORP 600 1,770 0.00%
2004 USANA HEALTH SCIENCES INC 24 1,768 0.00%
2005 ONVIA INC COM 400 1,768 0.00%
2006 DEUTSCHE BK AG LONDON BRH 81 1,757 0.00%
2007 Internet Gold Golden Lines Ltd 200 1,752 0.00%
2008 KONAMI CORP SPONSORED ADR 84 1,746 0.00%
2009 RETRACTABLE TECHNOLOGIES INC 600 1,740 0.00%
2010 DIXIE GROUP INC CL A 200 1,734 0.00%
2011 NATIONAL INFO CONSORTIUM INC 100 1,722 0.00%
2012 BLACKROCK ENHANCED GOVT FD I 122 1,713 0.00%
2013 CHEROKEE INC DEL NEW COM 94 1,712 0.00%
2014 BANCO MACRO SA 43 1,703 0.00%
2015 CAVCO INDS INC DEL 25 1,700 0.00%
2016 TRUPANION INC 200 1,700 0.00%
2017 RETAILMENOT INC COM SER 1 105 1,697 0.00%
2018 GALECTIN THERAPEUTICS INC COM 333 1,675 0.00%
2019 LAKES ENTERTAINMEN 200 1,666 0.00%
2020 KULICKE & SOFFA INDS INC 117 1,665 0.00%
2021 MORGANS HOTEL GROUP CO 206 1,662 0.00%
2022 STEEL PARTNERS HLDGS L P 100 1,661 0.00%
2023 AGIOS PHARMACEUTICALS INC COM 27 1,656 0.00%
2024 EASTMAN KODAK COMPANY WARRANT EXP 090318 300 1,653 0.00%
2025 MYERS INDS INC COM 93 1,641 0.00%
2026 PAYLOCITY HOLDING CORPORATION COM 83 1,631 0.00%
2027 SKY-MOBI LTD 200 1,626 0.00%
2028 KINGOLD JEWELRY INC 1,231 1,625 0.00%
2029 Engility Hldgs Inc 52 1,621 0.00%
2030 UNITED SEC BANCSHARES FRESNO CALIFORNIA 290 1,615 0.00%
2031 EURO TECH HOLDINGS CO LTD 406 1,612 0.00%
2032 HEICO CORP NEW 40 1,612 0.00%
2033 BIOSCRIP INC 233 1,610 0.00%
2034 COMPUTER PROGRAMS & SYS INC COM 28 1,610 0.00%
2035 ENTERCOM COMMUNICATIONS CORP 200 1,606 0.00%
2036 ARROW FINL CORP 64 1,604 0.00%
2037 REDIFF.COM INDIA LIMITED 700 1,603 0.00%
2038 WISDOMTREE TR 64 1,603 0.00%
2039 TPG SPECIALTY LENDING INC 100 1,601 0.00%
2040 AURINIA PHARMACEUTICALS INC 500 1,600 0.00%
2041 OXIGENE INC 742 1,595 0.00%
2042 FIVE PRIME THERAPEUTICS INC 136 1,595 0.00%
2043 RESEARCH FRONTIERS INC 277 1,593 0.00%
2044 PORTOLA PHARMACEUTICALS INC 63 1,593 0.00%
2045 HACKETT GROUP INC 267 1,591 0.00%
2046 MAZOR ROBOTICS LTD 135 1,590 0.00%
2047 KOREA EQUITY FD INC COM 192 1,588 0.00%
2048 CMS BANCORP INC 123 1,587 0.00%
2049 REGADO BIOSCIENCES INC 1,402 1,584 0.00%
2050 ServisFirst Bancshares Inc 55 1,584 0.00%
Page 41 of 54
Restatement filing (0001420506-15-000046) filed in 2015.02.05
#
Name
Shares
Value ($)
%
Options
Notes
1 Eastern Virginia Bankshares Inc 200 1 0.00%
2 Eastern Co 88 1 0.00%
3 EARTHLINK HOLDINGS ORD 402 1 0.00%
4 ROCKY MTN CHOC FACTORY 100 1 0.00%
5 ARRHYTHMIA RESEARCH TECHNOLOGY ORD 100 1 0.00%
6 ARTESIAN RES CORP 63 1 0.00%
7 ARTS WAY MFG INC 200 1 0.00%
8 ASSEMBLY BIOSCIENCES INC 140 1 0.00%
9 RESOURCE AMERICA INC 62 1 0.00%
10 UPBOUND GROUP INC COM 25 1 0.00%
11 ASTROTECH CORP 364 1 0.00%
12 ATLAS FINANCIAL HOLDINGS INC SHS NEW 54 1 0.00%
13 RCI HOSPITALITY HLDGS INC COM 55 1 0.00%
14 RADIO ONE INC CL A 200 1 0.00%
15 RADA ELECTR INDS LTD 400 1 0.00%
16 QUICKSILVER RESOURCES INC COM 1,000 1 0.00%
17 QUICKLOGIC CORP 372 1 0.00%
18 QUALITY DISTR INC FLA 100 1 0.00%
19 XUNLEI LTD SPONSORED ADR 49 1 0.00%
20 QLT INC 200 1 0.00%
21 AVIANCA HLDGS SA 100 1 0.00%
22 QCR HOLDINGS INC 40 1 0.00%
23 QAD Inc 33 1 0.00%
24 PROSHARES TR 29 1 0.00%
25 PROSHARES TR 28 1 0.00%
26 PROPHASE LABS INC 500 1 0.00%
27 BALDWIN AND LYONS INC CL B 32 1 0.00%
28 PRIMO WTR CORP COM 200 1 0.00%
29 POZEN INC 196 1 0.00%
30 PMC-SIERRA INC 100 1 0.00%
31 XOMA CORP DEL 288 1 0.00%
32 PIMCO MUN INCOME FD III 100 1 0.00%
33 BAR HARBOR BANKSHARES 36 1 0.00%
34 PERNIX THERAPEUTICS HLDGS IN 87 1 0.00%
35 PERMIAN BASIN RTY TR 100 1 0.00%
36 PEREGRINE SEMICONDUCTOR CORP 100 1 0.00%
37 PEOPLES BANCORP INC 60 1 0.00%
38 BARNWELL INDS INC 200 1 0.00%
39 PAR Technology Corp 210 1 0.00%
40 Baylake Corp 100 1 0.00%
41 BAZAARVOICE INC 100 1 0.00%
42 ORION ENERGY SYSTEMS INC 200 1 0.00%
43 Bdca Venture Inc 265 1 0.00%
44 BEAR ST FINL INC 152 1 0.00%
45 ONCOMED PHARMACEUTICALS INC 51 1 0.00%
46 OMNOVA SOLUTIONS INC COM 200 1 0.00%
47 OLYMPIC STEEL INC COM 61 1 0.00%
48 BEL FUSE INC CL B 42 1 0.00%
49 Odyssey Marine Exploration Inc 923 1 0.00%
50 OCERA THERAPEUTICS INC 200 1 0.00%
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