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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
2051 BLACKROCK MUNI 2018 TERM TR 99 1,576 0.00%
2052 EP Energy Corp 90 1,573 0.00%
2053 FIRST TR ENHANCED EQTY INC F 110 1,572 0.00%
2054 MGIC INVT CORP WIS 200 1,562 0.00%
2055 FRESENIUS MED CARE AG&CO KGA 45 1,562 0.00%
2056 CHINA ADVANCED CONSTR MATLS 400 1,560 0.00%
2057 ISHARES 28 1,559 0.00%
2058 DISCOVERY COMMUNICATNS NEW 41 1,558 0.00%
2059 PRIMERO MNG CORP 320 1,552 0.00%
2060 COMMUNICATIONS SYS INC 139 1,551 0.00%
2061 NATIONAL BEVERAGE CORP 79 1,541 0.00%
2062 GUGGENHEIM BULLETSHARES 2016 CORPORATE BOND ETF 69 1,540 0.00%
2063 EMBOTELLADORA ANDINA S A 95 1,534 0.00%
2064 ROGERS CORP 28 1,533 0.00%
2065 A-MARK PRECIOUS METALS INC 133 1,530 0.00%
2066 BLACKROCK ECOSOLUTIONS INVT 200 1,528 0.00%
2067 UNITED ONLINE INC 139 1,522 0.00%
2068 ACCURIDE CORP NEW 400 1,516 0.00%
2069 FIRST TRUST EXCHANGE TRADED ALPHADEX FUND II ASIA PAC EX 50 1,513 0.00%
2070 BLACK DIAMOND INC COM 200 1,512 0.00%
2071 BLACKROCK NY MUNI INC QLTY T 116 1,509 0.00%
2072 WISDOMTREE TR 33 1,501 0.00%
2073 GENMARK DIAGNOSTICS INC 167 1,498 0.00%
2074 BONA FILM GROUP LTD 249 1,496 0.00%
2075 NAUTILUS INC COM 125 1,496 0.00%
2076 BIO-REFERENCE LABS INC 53 1,487 0.00%
2077 CORE-MARK HLDG CO INC COM 28 1,485 0.00%
2078 SAPIENS INTL CORP N V SHS NEW 200 1,480 0.00%
2079 Global Eagle Entertainment Inc 131 1,470 0.00%
2080 SUN BANCORP INC COM NEW 81 1,467 0.00%
2081 AMERICAN SOFTWARE CL A CLASS A 166 1,464 0.00%
2082 SMART TECHNOLOGIES INC 892 1,463 0.00%
2083 SOLAR SR CAP LTD 95 1,462 0.00%
2084 SEVCON INC 179 1,459 0.00%
2085 ZAZA ENERGY CORPORATION 400 1,452 0.00%
2086 WORLD ENERGY SOLUTIONS INC D 295 1,448 0.00%
2087 POZEN INC 196 1,439 0.00%
2088 CONSTANT CONTACT INC 53 1,438 0.00%
2089 BLACKROCK ENERGY & RES TR COM 60 1,435 0.00%
2090 PEOPLES BANCORP INC 60 1,425 0.00%
2091 SHENANDOAH TELECOMM CO CDT COM 57 1,414 0.00%
2092 SIGMATRON INTL INC 194 1,410 0.00%
2093 BTU INTERNATIONAL INC 433 1,407 0.00%
2094 Eastern Co 88 1,406 0.00%
2095 CAREDX INC 200 1,400 0.00%
2096 IRIDEX CORP 200 1,398 0.00%
2097 Bdca Venture Inc 265 1,391 0.00%
2098 MERIT MED SYS INC COM 117 1,390 0.00%
2099 MEXCO ENERGY CORP 200 1,384 0.00%
2100 MEI PHARMA INC 200 1,380 0.00%
Page 42 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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