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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
2551 KU6 MEDIA CO LTD 100 126 0.00%
2552 EMPIRE RES INC DEL COM 23 122 0.00%
2553 OSSEN INNOVATION CO LTD 100 118 0.00%
2554 DGSE COMPANIES INC 86 117 0.00%
2555 GENERAL MTRS CO 5 112 0.00%
2556 ASPEN AEROGELS INC COM 11 111 0.00%
2557 PROSHARES TR 8 110 0.00%
2558 GUIDANCE SOFTWARE INC 16 108 0.00%
2559 Mid Penn Bancorp Inc 7 108 0.00%
2560 SABINE ROYALTY TR 2 108 0.00%
2561 SOLITARIO EXPL & RTY CORP COM 90 108 0.00%
2562 TAMINCO CORP 4 104 0.00%
2563 BLACKROCK MUNIYIELD INVST FD 7 103 0.00%
2564 INOGEN INC COM 5 103 0.00%
2565 OTELCO INC 20 103 0.00%
2566 ATLANTIC COAST FINL CORP 25 102 0.00%
2567 ISHARES MSCI ISRAEL CAPPED ETF 2 102 0.00%
2568 WEST MARINE INC COM 11 99 0.00%
2569 AMERICAN ELECTRIC TECH INC 13 97 0.00%
2570 Biocept Inc. (BIOC) 39 95 0.00%
2571 MOSYS INC 38 92 0.00%
2572 TIGERLOGIC CORP 100 92 0.00%
2573 IDEAL PWR INC 12 90 0.00%
2574 Cordia Bancorp Inc 25 90 0.00%
2575 INNSUITES HOSPITALITY TR 40 84 0.00%
2576 ENERGOUS CORP 7 80 0.00%
2577 ALLIQUA BIOMEDICAL INC 16 78 0.00%
2578 QUMU CORP 6 78 0.00%
2579 U S CONCRETE INC 3 78 0.00%
2580 NUVEEN MULTI MKT INCOME FD 10 76 0.00%
2581 ROBERTS REALTY INVS 99 75 0.00%
2582 ROYCE VALUE TR INC 5 73 0.00%
2583 BLUEROCK RESIDENTIAL GRW REI 5 65 0.00%
2584 SELECT SECTOR SPDR TR 1 64 0.00%
2585 ASIA PACIFIC WIRE & CABLE CO 25 63 0.00%
2586 SUTOR TECH GROUP LTD 100 63 0.00%
2587 CITIZENS HLDG CO MISS 3 58 0.00%
2588 WISDOMTREE ETF AUSTRALIA DIVIDEND FD 1 56 0.00%
2589 AVALON HOLDINGS CORP-A 14 54 0.00%
2590 CADIZ INC COM USD0.01 5 52 0.00%
2591 ESCALON MEDICAL CORP 33 52 0.00%
2592 NUVEEN S&P 500 BUY-WRITE INC 4 51 0.00%
2593 ROI ACQUISITION CORP II 160 46 0.00%
2594 ALTO PALERMO S A 2 45 0.00%
2595 PREFERRED BK LOS ANGELES CA 2 45 0.00%
2596 MICRONET ENERTEC TECH INC 100 44 0.00%
2597 COEUR MNG INC 72 44 0.00%
2598 TEUCRIUM COMMODITY TR 1 40 0.00%
2599 MAJESCO ENTERTAINMENT CO COM PAR NEW 38 40 0.00%
2600 SKULLCANDY INC 5 39 0.00%
Page 52 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 National Australia Bank ADR 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 CITIGROUPINC 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%
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