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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 ($)
%
Options
Notes
2601 DICERNA PHARMACEUTICALS INC 3 38 0.00%
2602 FIRST BK WILLIAMSTOWN NEW JE 6 37 0.00%
2603 JOES JEANS INC 37 36 0.00%
2604 HAEMONETICS CORP MASS COM 1 35 0.00%
2605 MFS CHARTER INCOME TR 4 35 0.00%
2606 NeoPhotonics Corp 10 34 0.00%
2607 MAGAL SECURITY SYS LTD 8 34 0.00%
2608 PREMIER INC CL A 1 33 0.00%
2609 WISDOMTREE JAPAN 1 32 0.00%
2610 State Bank Financial Corporati 2 32 0.00%
2611 BANKFINANCIAL CORP 3 31 0.00%
2612 NANOMETRICS INC 2 30 0.00%
2613 VALLEY NATL BANCORP 349 27 0.00%
2614 Textura Corp 1 26 0.00%
2615 DARA BIOSCIENCES INC 23 25 0.00%
2616 AMERICAN INTL GROUP INC 1 24 0.00%
2617 MONARCH CASINO & RESORT INC COM 2 24 0.00%
2618 FARMERS CAP BK CORP COM 1 23 0.00%
2619 WISDOMTREE TR 1 23 0.00%
2620 AXOGEN INC 9 22 0.00%
2621 OXFORD RESOURCE PARTNERS LP 28 22 0.00%
2622 BIODEL INC 13 22 0.00%
2623 PROSHARES TR II 1 20 0.00%
2624 NUVEEN REAL ASSET INC & GROW 1 19 0.00%
2625 COMMUNITYONE BANCORP COM 2 18 0.00%
2626 SUNSHINE HEART INC 3 17 0.00%
2627 POINT.360 30 16 0.00%
2628 AIR T INC 1 13 0.00%
2629 EATON VANCE N Y MUN BD FD II 1 12 0.00%
2630 ZBB ENERGY CORPORATION 20 11 0.00%
2631 LEE ENTERPRISES INC 3 10 0.00%
2632 DELTA APPAREL INC COM 1 9 0.00%
2633 LEVY ACQUISITION CORP 24 8 0.00%
2634 HUDSON GLOBAL INC 2 8 0.00%
2635 CRESUD SA COMERCIAL 200 6 0.00%
2636 NANOSPHERE INC 10 6 0.00%
2637 INTERNET PATENTS CORP 2 6 0.00%
2638 EnerJex Resources Inc. 1 6 0.00%
2639 WESTELL TECHNOLOGIES INC 1 2 0.00%
2640 ArQule Inc 2 2 0.00%
2641 S&W SEED CO 5 1 0.00%
2642 REPROS THERAPEUTICS INC 202 0 0.00%
2643 COCA-COLA HBC AG 644 0 0.00%
2644 EQUITY COMWLTH 127 0 0.00%
2645 THOMPSON CREEK 6.50% 263 0 0.00%
2646 GLORI ENERGY INC WARRANTS EXPIRES 316 0 0.00%
2647 FAB Universal Corporation 1 0 0.00%
2648 GLEACHER & CO INC 309 0 0.00%
2649 RETAIL OPPORTUNITY INVTS COR 300 0 0.00%
2650 Lihua International 203 0 0.00%
Page 53 of 54
Restatement filing (0001420506-15-000046) filed in 2015.02.05
#
Name
Shares
Value ($)
%
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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