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 ($)
%
Options
Notes
1 GERON CORP 352 0 0.00%
2 AMERICAN SPECTRUM REALTY INC COM 32 0 0.00%
3 AMBIENT CORPORATION NEW 200 0 0.00%
4 EQUITY COMWLTH 127 0 0.00%
5 RETAIL OPPORTUNITY INVTS COR 300 0 0.00%
6 AQUASITION CORP 500 0 0.00%
7 VECTRUS INC 300 0 0.00%
8 Lihua International 203 0 0.00%
9 GLEACHER & CO INC 309 0 0.00%
10 FAB Universal Corporation 1 0 0.00%
11 THOMPSON CREEK 6.50% 263 0 0.00%
12 REPROS THERAPEUTICS INC 202 0 0.00%
13 GLORI ENERGY INC WARRANTS EXPIRES 316 0 0.00%
14 TEXAS CAPITAL BANCSHARES INC 300 0 0.00%
15 COCA-COLA HBC AG 644 0 0.00%
16 INTERMUNE INC 50 0 0.00%
17 ALPS ETF TR 500 0 0.00%
18 S&W SEED CO 5 1 0.00%
19 ARQULE INC 2 2 0.00%
20 WESTELL TECHNOLOGIES INC 1 2 0.00%
21 CRESUD SA COMERCIAL 200 6 0.00%
22 INTERNET PATENTS CORP 2 6 0.00%
23 NANOSPHERE INC 10 6 0.00%
24 EnerJex Resources Inc 1 6 0.00%
25 LEVY ACQUISITION CORP 24 8 0.00%
26 HUDSON GLOBAL INC 2 8 0.00%
27 DELTA APPAREL INC COM 1 9 0.00%
28 LEE ENTERPRISES INC 3 10 0.00%
29 ZBB ENERGY CORPORATION 20 11 0.00%
30 EATON VANCE N Y MUN BD FD II 1 12 0.00%
31 AIR T INC 1 13 0.00%
32 POINT 360 COM 30 16 0.00%
33 SUNSHINE HEART INC 3 17 0.00%
34 COMMUNITYONE BANCORP COM 2 18 0.00%
35 NUVEEN REAL ASSET INC & GROW 1 19 0.00%
36 PROSHARES TR II 1 20 0.00%
37 BIODEL INC 13 22 0.00%
38 AXOGEN INC 9 22 0.00%
39 OXFORD RESOURCE PARTNERS LP 28 22 0.00%
40 WISDOMTREE TR 1 23 0.00%
41 FARMERS CAP BK CORP COM 1 23 0.00%
42 MONARCH CASINO & RESORT INC COM 2 24 0.00%
43 AMERICAN INTL GROUP INC 1 24 0.00%
44 DARA BIOSCIENCES INC 23 25 0.00%
45 Textura Corp 1 26 0.00%
46 VALLEY NATL BANCORP 349 27 0.00%
47 NANOMETRICS INC 2 30 0.00%
48 BANKFINANCIAL CORP 3 31 0.00%
49 WISDOMTREE JAPAN 1 32 0.00%
50 State Bank Financial Corporati 2 32 0.00%
Page 1 of 54
Restatement filing (0001420506-15-000046) filed in 2015.02.05
#
Name
Shares
Value ($)
%
Options
Notes
2101 CASCADE MICROTECH INC 69 1 0.00%
2102 CARVER BANCORP INC 150 1 0.00%
2103 WASHINGTON FED INC 100 1 0.00%
2104 CAREDX INC 200 1 0.00%
2105 Capstone Turbine 520 1 0.00%
2106 CAPITOL FED FINL INC 48 1 0.00%
2107 CAPITAL BK FINL CORP CL A COM 30 1 0.00%
2108 CALIFORNIA WTR SVC GROUP 60 1 0.00%
2109 WCI COMMUNITIES ORD 39 1 0.00%
2110 BURCON NUTRASCIENCE CORP 200 1 0.00%
2111 BTU INTERNATIONAL INC 433 1 0.00%
2112 BROOKDALE SENIOR LIVING INC COM 30 1 0.00%
2113 BRIGHTCOVE INC COM 100 1 0.00%
2114 BOSTON PRIVATE FINL HLDGS IN 200 1 0.00%
2115 BOS BETTER ONLINE SOLUTIONS 300 1 0.00%
2116 BONA FILM GROUP LTD 249 1 0.00%
2117 ZOOM TECHNOLOGIES INC COM PAR $0.01 200 1 0.00%
2118 BLUEKNIGHT ENERGY PARTNERS LCOM UNIT 115 1 0.00%
2119 WESTERN ASSET 38 1 0.00%
2120 BLACKROCK MUNIVEST FD II INC COM 76 1 0.00%
2121 WESTFIELD FINANCIAL INC NEW 100 1 0.00%
2122 BLACKROCK ENHANCED CAP INC 83 1 0.00%
2123 BLACKROCK ENERGY & RES TR COM 60 1 0.00%
2124 BLACKROCK CORPOR HI YLD FD I 100 1 0.00%
2125 BIOANALYTICAL SYS INC 269 1 0.00%
2126 BIOAMBER INC 300 1 0.00%
2127 BIO-REFERENCE LABS INC 53 1 0.00%
2128 BEL FUSE INC CL B 42 1 0.00%
2129 BEAR ST FINL INC 152 1 0.00%
2130 Bdca Venture Inc 265 1 0.00%
2131 BAZAARVOICE INC 100 1 0.00%
2132 Baylake Corp 100 1 0.00%
2133 BARNWELL INDS INC 200 1 0.00%
2134 BAR HARBOR BANKSHARES 36 1 0.00%
2135 BALDWIN AND LYONS INC CL B 32 1 0.00%
2136 AVIANCA HLDGS SA 100 1 0.00%
2137 WISDOMTREE TR 24 1 0.00%
2138 ATLAS FINANCIAL HOLDINGS INC SHS NEW 54 1 0.00%
2139 WISDOMTREE TR 28 1 0.00%
2140 ASTROTECH CORP 364 1 0.00%
2141 ASSEMBLY BIOSCIENCES INC 140 1 0.00%
2142 WISDOMTREE GLOBAL EX-US UTILITIES FUND 47 1 0.00%
2143 ARTS WAY MFG INC 200 1 0.00%
2144 WL ROSS HOLDING CORP 100 1 0.00%
2145 ARTESIAN RES CORP 63 1 0.00%
2146 ARRHYTHMIA RESEARCH TECHNOLOGY ORD 100 1 0.00%
2147 WORLD ENERGY SOLUTIONS INC D 295 1 0.00%
2148 ARCH COAL INC 300 1 0.00%
2149 ANGIES LIST INC COM 100 1 0.00%
2150 AMTECH SYS INC 59 1 0.00%
Page 43 of 48