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
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 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 39 95 0.00%
2571 Mosys Inc (MOSY) 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 COM 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 COMMUNICATI 3 58 0.00%
2588 WISDOMTREE ETF AUSTRALIA DIVIDEND FD 1 56 0.00%
2589 AVALON HOLDINGS CORP COM 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 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%
Page 1 of 48