Dark
Light
System
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
201 CAE INC 25 303 0.00%
202 MINERVA NEUROSCIENCES INC COM 50 303 0.00%
203 BLACK BOX CORP DEL 13 303 0.00%
204 ASTEA INTL INC 153 303 0.00%
205 COLLABRX INC 288 311 0.00%
206 FRISCHS RESTAURANTS INC 11 311 0.00%
207 ENVIVIO INC 173 318 0.00%
208 U S PHYSICAL THERAPY COM 9 319 0.00%
209 PERCEPTRON INC COM 33 323 0.00%
210 REMY INTERNATIONAL 16 328 0.00%
211 FIRST CMNTY BANKSHARES INC V 23 329 0.00%
212 ALLIED NEVADA GOLD UTIL 100 331 0.00%
213 WAFERGEN BIO-SYSTEMS INC 76 331 0.00%
214 AASTROM BIOSCIENCES INC 119 339 0.00%
215 CELLCOM ISRAEL LTD 31 340 0.00%
216 SYNERGETICS USA INC 100 341 0.00%
217 CHINA SOUTHN AIRLS LTD 21 343 0.00%
218 TUNIU CORP 20 343 0.00%
219 STRATA SKIN SCIENCES INC COM 200 344 0.00%
220 MARTHA STEWART LIVING OMNIME 96 346 0.00%
221 TIMMINS GOLD CORP 270 348 0.00%
222 VIGGLE INC 100 350 0.00%
223 SEMILEDS CORP 800 360 0.00%
224 Oxford Immunotec Global PLC 24 366 0.00%
225 CONATUS PHARMACEUTICALS INC 61 373 0.00%
226 BENEFITFOCUS INCORPORATED 14 377 0.00%
227 EATON VANCE MASS MUN BD FD COM 27 387 0.00%
228 TIPTREE INC 47 388 0.00%
229 CARBONITE INC 38 389 0.00%
230 UBS AG JERSEY BRH 27 389 0.00%
231 PROSHARES TR II 4 393 0.00%
232 BROOKFIELD HIGH INCOME FD IN 42 394 0.00%
233 CUTWATER SELECT INCOME FUND 20 395 0.00%
234 OCULUS INNOVATIVE SCIENCES I 168 395 0.00%
235 SUNGY MOBILE LTD 61 398 0.00%
236 XTL BIOPHARMACEUTICALS LTD 229 401 0.00%
237 GP Strategies Corp 14 402 0.00%
238 NUVEEN VIRGINIA QLTY MUNCPL 31 408 0.00%
239 Skyline Corporation 99 409 0.00%
240 HERITAGE COMMERCE CORP 50 411 0.00%
241 Marchex Inc 100 415 0.00%
242 ATHERSYS INC NEW 300 417 0.00%
243 ADVISORY BRD CO 9 419 0.00%
244 FUWEI FILMS HLDGS CO LTD 400 420 0.00%
245 STRATUS PPTYS INC 30 420 0.00%
246 LIBERTY GLOBAL PLC 10 427 0.00%
247 CACHE INC COM STK 508 428 0.00%
248 BLACKROCK MUN 2020 TERM TR 27 430 0.00%
249 SIEBERT FINL CORP 200 432 0.00%
250 UTSTARCOM HOLDINGS CORP SHS NEW 143 438 0.00%
Page 5 of 54
Restatement filing (0001420506-15-000046) filed in 2015.02.05
#
Name
Shares
Value ($)
%
Options
Notes
1 APPLE INC 21,900 2,206 4.17%
2 EXXON MOBIL CORP 7,238 681 1.29%
3 MICROSOFT CORP 13,885 644 1.22%
4 ISHARES 14,824 644 1.22%
5 JOHNSON & JOHNSON 4,755 507 0.96%
6 GENERAL ELECTRIC CO 18,003 461 0.87%
7 BERKSHIRE HATHAWAY INC DEL 3,072 424 0.80%
8 WELLS FARGO CO NEW 8,007 415 0.78%
9 PROCTER AND GAMBLE CO 4,682 392 0.74%
10 JPMORGAN CHASE & CO 6,342 382 0.72%
11 Mylan Laboratories Inc 8,310 378 0.71%
12 VERIZON COMMUNICATIONS INC 6,950 347 0.66%
13 Former Charter Communication (Del 5/18/2016) 2,187 331 0.63%
14 BLACKBERRY LTD 33,060 329 0.62%
15 PFIZER INC 10,689 316 0.60%
16 AT&T INC 8,742 308 0.58%
17 BANK AMER CORP 17,727 302 0.57%
18 INTERNATIONAL BUSINESS MACHS 1,563 297 0.56%
19 INTEL CORP 8,346 291 0.55%
20 MERCK & CO INC 4,863 288 0.54%
21 CHEVRON CORP NEW 2,400 286 0.54%
22 COCA COLA CO 6,654 284 0.54%
23 ISHARES NASDAQ BIOTECHNOLOGY ETF 480 282 0.53%
24 JAZZ PHARMACEUTICALS PLC 1,754 282 0.53%
25 GOOGLE INC 480 277 0.52%
26 QUALCOMM INC 3,671 274 0.52%
27 GILEAD SCIENCES INC 2,547 271 0.51%
28 CITIGROUP INC 5,112 265 0.50%
29 PHILIP MORRIS INTL INC 3,134 261 0.49%
30 FACEBOOK INC 3,288 260 0.49%
31 Sigma-Aldrich 1,883 256 0.48%
32 VISA INC 1,131 241 0.46%
33 PEPSICO INC 2,548 237 0.45%
34 CISCO SYS INC 9,295 234 0.44%
35 WAL-MART STORES INC 2,911 223 0.42%
36 GOPRO INC 2,377 223 0.42%
37 AMGEN INC 1,581 222 0.42%
38 SCHLUMBERGER LTD 2,184 222 0.42%
39 ISHARES 7,152 220 0.42%
40 HOME DEPOT INC 2,268 208 0.39%
41 AMAZON COM INC 639 206 0.39%
42 NETAPP INC 4,753 204 0.39%
43 SPDR SERIES TRUST 3,347 197 0.37%
44 UNION PAC CORP 1,812 196 0.37%
45 DISNEY WALT CO 2,161 192 0.36%
46 CONOCOPHILLIPS 2,423 185 0.35%
47 CDK GLOBAL INC 6,000 184 0.35%
48 ORACLE CORP 4,781 183 0.35%
49 ABBVIE INC 2,954 171 0.32%
50 CTRIP COM INTL LTD 3,009 171 0.32%
Page 1 of 48