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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
2201 NW Biotherapeutics 240 1 0.00%
2202 NORTHERN TECH INTL CORP 55 1 0.00%
2203 NORTECH SYS INC 260 1 0.00%
2204 NISKA GAS STORAGE PARTNERS L 97 1 0.00%
2205 NEW MEDIA INVT GROUP INC COM 72 1 0.00%
2206 NBT BANCORP INC COM 49 1 0.00%
2207 NAVIOS MARITIME PARTNERS L P 50 1 0.00%
2208 NAUTILUS INC COM 125 1 0.00%
2209 NATIONAL RESH CORP CL A 100 1 0.00%
2210 SEMLER SCIENTIFIC INC 196 1 0.00%
2211 NATIONAL HEALTHCARE CORP 71 1 0.00%
2212 NASDAQ INC 32 1 0.00%
2213 NANOSTRING TECHNOLOGIES INC 103 1 0.00%
2214 SERVICESOURCE INTL 230 1 0.00%
2215 SEVCON INC 179 1 0.00%
2216 SHENANDOAH TELECOMM CO CDT COM 57 1 0.00%
2217 MYR GROUP INC DEL COM 48 1 0.00%
2218 MORGAN STANLEY 12 1 0.00%
2219 SHORE BANCSHARES INC 69 1 0.00%
2220 MONMOUTH REAL ESTATE INVT CO 60 1 0.00%
2221 MOKO SOCIAL MEDIA LTD 234 1 0.00%
2222 SIGMATRON INTL INC 194 1 0.00%
2223 MODUSLINK GLOBAL SOLUTIONS INC 150 1 0.00%
2224 MIX TELEMATICS LTD 99 1 0.00%
2225 SINOVAC BIOTECH LTD 145 1 0.00%
2226 MICROVISION INC DEL 291 1 0.00%
2227 MICRONET ENERTEC TECH INC COM 200 1 0.00%
2228 SMART AND FINAL STORES INC COM 70 1 0.00%
2229 SMART TECHNOLOGIES INC 892 1 0.00%
2230 Smartpros Ltd 317 1 0.00%
2231 MICREL INC 100 1 0.00%
2232 MGP INGREDIENTS INC NEW COM 48 1 0.00%
2233 MFS INTERMEDIATE INCOME TRUST SH BEN INT 100 1 0.00%
2234 SOLAR SR CAP LTD 95 1 0.00%
2235 MFS CALIF MUN FD 110 1 0.00%
2236 MEXCO ENERGY CORP 200 1 0.00%
2237 SOTHERLY HOTELS INC 95 1 0.00%
2238 MERIT MED SYS INC COM 117 1 0.00%
2239 MEI PHARMA INC 200 1 0.00%
2240 Medical Action Industries Inc OLD 100 1 0.00%
2241 MECOX LANE LIMITED SPON ADR REP 35 246 1 0.00%
2242 MARKET VECTORS ETF TR 34 1 0.00%
2243 MARINE PRODS CORP 120 1 0.00%
2244 MARATHON PATENT GROUP INC COM NEW 67 1 0.00%
2245 MANITEX INTL INC 65 1 0.00%
2246 MANDALAY DIGITAL GROUP INC 187 1 0.00%
2247 MALIBU BOATS INCORPORATED COM CLASS A 36 1 0.00%
2248 MAINSOURCE FINANCIAL GP INC 34 1 0.00%
2249 LOGITECH INTL S A 81 1 0.00%
2250 LO-JACK CORP 140 1 0.00%
Page 45 of 48