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