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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
51 CYPRESS SEMICONDUCTOR CORP 16,975 168 0.32%
52 WYNN RESORTS LTD 856 160 0.30%
53 3M CO 1,091 155 0.29%
54 ALTRIA GROUP INC 3,345 154 0.29%
55 BOEING CO 1,209 154 0.29%
56 BRISTOL MYERS SQUIBB CO 2,990 153 0.29%
57 UNITED TECHNOLOGIES CORP 1,434 151 0.29%
58 MICHAELS COS INC 8,594 150 0.28%
59 MCDONALDS CORP 1,456 138 0.26%
60 AMERICAN EXPRESS CO 1,518 133 0.25%
61 UNITEDHEALTH GROUP INC 1,538 133 0.25%
62 BIOGEN INC 399 132 0.25%
63 Linear Technology Corp 2,944 131 0.25%
64 AMERICAN INTL GROUP INC 2,406 130 0.25%
65 STARBUCKS CORP 1,714 129 0.24%
66 US BANCORP DEL 3,039 127 0.24%
67 GOLDMAN SACHS GROUP INC 690 127 0.24%
68 TEXAS INSTRS INC 2,649 126 0.24%
69 OCCIDENTAL PETE CORP DEL 1,314 126 0.24%
70 CVS HEALTH CORP 1,553 124 0.23%
71 MASTERCARD INCORPORATED 1,659 123 0.23%
72 COMCAST CORP NEW 2,253 121 0.23%
73 EBAY INC 2,105 119 0.22%
74 ISHARES TR 1,688 118 0.22%
75 ALLERGAN PLC 485 117 0.22%
76 DORMAN PRODUCTS INC 2,896 116 0.22%
77 ABBOTT LABS 2,774 115 0.22%
78 HONEYWELL INTL INC 1,220 114 0.22%
79 Hewlett Packard Co 3,147 112 0.21%
80 LOCKHEED MARTIN CORP 606 111 0.21%
81 DU PONT E I DE NEMOURS & CO 1,542 111 0.21%
82 WISDOMTREE TR 1,262 110 0.21%
83 TIME WARNER INC 1,440 108 0.20%
84 VANGUARD WORLD FD 984 108 0.20%
85 RANDGOLD RES LTD 1,590 107 0.20%
86 PROSHARES TR ULTRAPRO QQQ 1,232 107 0.20%
87 NIKE INC 1,185 106 0.20%
88 CATERPILLAR INC 1,059 105 0.20%
89 CELGENE CORP 1,110 105 0.20%
90 OFFICE DEPOT INC 20,247 104 0.20%
91 LILLY ELI & CO 1,609 104 0.20%
92 FS KKR CAPITAL CORP COM 9,625 104 0.20%
93 OMNIVISION TECHS INC 3,905 103 0.19%
94 Medtronic Inc 1,650 102 0.19%
95 METLIFE INC 1,896 102 0.19%
96 PRICELINE GRP INC 87 101 0.19%
97 WISDOMTREE TR 1,323 101 0.19%
98 ILLINOIS TOOL WKS INC 1,190 100 0.19%
99 MONSANTO CO NEW 885 100 0.19%
100 CHINA FIN ONLINE CO LTD 14,466 99 0.19%
Page 2 of 48