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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 ($)
%
Options
Notes
1 GERON CORP 352 0 0.00%
2 AMERICAN SPECTRUM REALTY INC COM 32 0 0.00%
3 AMBIENT CORPORATION NEW 200 0 0.00%
4 EQUITY COMWLTH 127 0 0.00%
5 RETAIL OPPORTUNITY INVTS COR 300 0 0.00%
6 AQUASITION CORP 500 0 0.00%
7 VECTRUS INC 300 0 0.00%
8 Lihua International 203 0 0.00%
9 GLEACHER & CO INC 309 0 0.00%
10 FAB Universal Corporation 1 0 0.00%
11 THOMPSON CREEK 6.50% 263 0 0.00%
12 REPROS THERAPEUTICS INC 202 0 0.00%
13 GLORI ENERGY INC WARRANTS EXPIRES 316 0 0.00%
14 TEXAS CAPITAL BANCSHARES INC 300 0 0.00%
15 COCA-COLA HBC AG 644 0 0.00%
16 INTERMUNE INC 50 0 0.00%
17 ALPS ETF TR 500 0 0.00%
18 S&W SEED CO 5 1 0.00%
19 ARQULE INC 2 2 0.00%
20 WESTELL TECHNOLOGIES INC 1 2 0.00%
21 CRESUD SA COMERCIAL 200 6 0.00%
22 INTERNET PATENTS CORP 2 6 0.00%
23 NANOSPHERE INC 10 6 0.00%
24 EnerJex Resources Inc 1 6 0.00%
25 LEVY ACQUISITION CORP 24 8 0.00%
26 HUDSON GLOBAL INC 2 8 0.00%
27 DELTA APPAREL INC COM 1 9 0.00%
28 LEE ENTERPRISES INC 3 10 0.00%
29 ZBB ENERGY CORPORATION 20 11 0.00%
30 EATON VANCE N Y MUN BD FD II 1 12 0.00%
31 AIR T INC 1 13 0.00%
32 POINT 360 COM 30 16 0.00%
33 SUNSHINE HEART INC 3 17 0.00%
34 COMMUNITYONE BANCORP COM 2 18 0.00%
35 NUVEEN REAL ASSET INC & GROW 1 19 0.00%
36 PROSHARES TR II 1 20 0.00%
37 BIODEL INC 13 22 0.00%
38 AXOGEN INC 9 22 0.00%
39 OXFORD RESOURCE PARTNERS LP 28 22 0.00%
40 WISDOMTREE TR 1 23 0.00%
41 FARMERS CAP BK CORP COM 1 23 0.00%
42 MONARCH CASINO & RESORT INC COM 2 24 0.00%
43 AMERICAN INTL GROUP INC 1 24 0.00%
44 DARA BIOSCIENCES INC 23 25 0.00%
45 Textura Corp 1 26 0.00%
46 VALLEY NATL BANCORP 349 27 0.00%
47 NANOMETRICS INC 2 30 0.00%
48 BANKFINANCIAL CORP 3 31 0.00%
49 WISDOMTREE JAPAN 1 32 0.00%
50 State Bank Financial Corporati 2 32 0.00%
Page 1 of 54
Restatement filing (0001420506-15-000046) filed in 2015.02.05
#
Name
Shares
Value ($)
%
Options
Notes
2001 PEGASYSTEMS INC 128 2 0.00%
2002 PAYLOCITY HOLDING CORPORATION COM 83 2 0.00%
2003 NATIONAL BEVERAGE CORP 79 2 0.00%
2004 BAY BANCORP INC 500 2 0.00%
2005 TPG SPECIALTY LENDING INC 100 2 0.00%
2006 BARCLAYS BANK PLC 95 2 0.00%
2007 FIRST TR EXCH TRD ALPHA FD I 55 2 0.00%
2008 BANK MARIN BANCORP 39 2 0.00%
2009 BANCORP NEW JERSEY INC NEW 160 2 0.00%
2010 BANCO MACRO SA 43 2 0.00%
2011 WISDOMTREE TR 33 2 0.00%
2012 FIRST TR EXCH TRD ALPHA FD I 59 2 0.00%
2013 FIRST TRUST EXCHANGE TRADED ALPHADEX FUND II ASIA PAC EX 50 2 0.00%
2014 WISDOMTREE TR 64 2 0.00%
2015 FIRST TR EXCHANGE TRADED FD 52 2 0.00%
2016 AURINIA PHARMACEUTICALS INC 500 2 0.00%
2017 FIRST TR ENHANCED EQTY INC F 110 2 0.00%
2018 First Security Group Inc 1,048 2 0.00%
2019 WISDOMTREE TR 43 2 0.00%
2020 ASURE SOFTWARE INC COM 361 2 0.00%
2021 FIRST LONG IS CORP 55 2 0.00%
2022 SENOMYX INC 292 2 0.00%
2023 ASM INTL N V 64 2 0.00%
2024 PATRICK INDS INC 54 2 0.00%
2025 STONERIDGE INC 200 2 0.00%
2026 YOU ON DEMAND HLDGS INC 923 2 0.00%
2027 MDC PARTNERS INC 110 2 0.00%
2028 ARROW FINL CORP 64 2 0.00%
2029 MCDERMOTT INTL INC 400 2 0.00%
2030 ARDMORE SHIPPING CORP 200 2 0.00%
2031 EXAR CORP 200 2 0.00%
2032 ADVENT CLAYMORE CV SECS & INCORPORATED 113 2 0.00%
2033 ANNIE S INC 40 2 0.00%
2034 Internet Gold Golden Lines Ltd 200 2 0.00%
2035 INTERNATIONAL BANCSHARES CORP COM 100 2 0.00%
2036 REGADO BIOSCIENCES INC 1,402 2 0.00%
2037 REDIFF.COM INDIA LIMITED 700 2 0.00%
2038 READING INTERNATIONAL INC 245 2 0.00%
2039 MAZOR ROBOTICS LTD 135 2 0.00%
2040 Rcs Capital Corp 100 2 0.00%
2041 PIONEER DIVERSIFIED HIGH INC 99 2 0.00%
2042 TRUPANION INC 200 2 0.00%
2043 AMERICAN RLTY INVS INC 398 2 0.00%
2044 NUVEEN MISSOURI QLT MUN INC 150 2 0.00%
2045 EURO TECH HOLDINGS CO LTD 406 2 0.00%
2046 QUOTIENT LTD 188 2 0.00%
2047 RESEARCH FRONTIERS INC 277 2 0.00%
2048 TSR INC 600 2 0.00%
2049 TURKISH INVT FD INC 200 2 0.00%
2050 SUMMIT FINANCIAL GROUP INC COM 200 2 0.00%
Page 41 of 48