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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
2251 LMI Aerospace, Inc. 61 1 0.00%
2252 Life Partners Holdings Inc 464 1 0.00%
2253 LIBERTY TRIPADVISOR HLDGS IN 36 1 0.00%
2254 LHC GROUP INC 53 1 0.00%
2255 LEIDOS HLDGS INC 33 1 0.00%
2256 LEADING BRANDS INC COM NEW 290 1 0.00%
2257 LANTRONIX INC 350 1 0.00%
2258 LA JOLLA PHARMACEUTICAL CO 100 1 0.00%
2259 KOPIN CORP 153 1 0.00%
2260 SPOK HLDGS INC COM 54 1 0.00%
2261 KINGTONE WIRELESSINFO SOL HL 200 1 0.00%
2262 JOHNSON OUTDOORS INC 36 1 0.00%
2263 Standard Register Co 115 1 0.00%
2264 Jive Software Inc 100 1 0.00%
2265 ISSUER DIRECT CORPORATION 68 1 0.00%
2266 ISHARES TR 7 1 0.00%
2267 STARRETT L S CO 42 1 0.00%
2268 ISHARES TR 7 1 0.00%
2269 ISHARES TR 5 1 0.00%
2270 STEIN MART INC 84 1 0.00%
2271 XOMA CORP DEL 288 1 0.00%
2272 STEMLINE THERAPEUTICS INC 49 1 0.00%
2273 ISHARES TR 100 1 0.00%
2274 IRIDEX CORP 200 1 0.00%
2275 STERLING CONSTRUCTION CO INC 97 1 0.00%
2276 STEWARDSHIP FINL CORP 200 1 0.00%
2277 INVESTMENT TECHNOLOGY GRP NEW 71 1 0.00%
2278 INTRICON CORP 185 1 0.00%
2279 AIR INDS GROUP 79 1 0.00%
2280 INTEVAC INC 160 1 0.00%
2281 STONEGATE BANK 26 1 0.00%
2282 STONEGATE MTG CORP 100 1 0.00%
2283 STONEMOR PARTNERS L P 35 1 0.00%
2284 INTERSECTIONS INC COM 143 1 0.00%
2285 INTERNET INITIATIVE JAPAN IN 52 1 0.00%
2286 INTERCLOUD SYS INC 400 1 0.00%
2287 SUCAMPO PHARMACEUTICALS INC 80 1 0.00%
2288 INTEGRATED SILICON SOLUTION 81 1 0.00%
2289 SUN BANCORP INC COM NEW 81 1 0.00%
2290 Integrated Electrical Svc 93 1 0.00%
2291 SUNSHINE BANCORP INC 43 1 0.00%
2292 INSTEEL IND 41 1 0.00%
2293 INSIGNIA SYS INC 200 1 0.00%
2294 SUNTRUST BKS INC 300 1 0.00%
2295 INDUSTRIAL SVCS AMER INC FLA 128 1 0.00%
2296 INCOME OPPORTUNITY RLTY INVS COM 185 1 0.00%
2297 XUNLEI LTD SPONSORED ADR 49 1 0.00%
2298 IMPERIAL HLDGS INC 200 1 0.00%
2299 IGNITE RESTAURANT GROUP INC 200 1 0.00%
2300 SYNAGEVA BIOPHARMA CORP 15 1 0.00%
Page 46 of 48