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CSC

Caldwell Sutter Capital Portfolio holdings

AUM $246M
1-Year Est. Return 23.62%
This Fund
S&P 500
This Quarter Est. Return
-2.71%
1 Year Est. Return
+23.62%
3 Year Est. Return
+65.79%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$181M
AUM Growth
-$10.1M
Cap. Flow
-$2.53M
Cap. Flow %
-1.4%
Top 10 Hldgs %
23.14%
Holding
908
New
41
Increased
133
Reduced
140
Closed
17

Top Buys

Rank Stock Value
1
DG icon
Dollar General
DG
+$765K
2
SENEA icon
Seneca Foods Class A
SENEA
+$450K
3
OKE icon
Oneok
OKE
+$320K
4
VIG icon
Vanguard Dividend Appreciation ETF
VIG
+$271K
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$214K

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$1.64M
2
GOLD
Gold.com Inc
GOLD
+$1.18M
3
NHS
Neuberger High Yield Strategies Fund Inc
NHS
+$502K
4
MMP
Magellan Midstream Partners, L.P.
MMP
+$470K
5
CVS icon
CVS Health
CVS
+$286K

Sector Composition

Rank Sector Weight
1 Financials 21.51%
2 Technology 12.44%
3 Industrials 12.39%
4 Energy 8.35%
5 Consumer Staples 8.14%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CVBF icon
276
CVB Financial
CVBF
$4.09B
$84K 0.05%
5,068
– –
IWF icon
277
iShares Russell 1000 Growth ETF
IWF
$128B
$82.5K 0.05%
1,240
-160
-11% -$11K
TTSH
278
DELISTED
Tile Shop Holdings
TTSH
$82.3K 0.05%
15,000
– –
CATY icon
279
Cathay General Bancorp
CATY
$4.32B
$81.7K 0.05%
2,350
– –
NIC icon
280
Nicolet Bankshares
NIC
$3.68B
$78.8K 0.04%
1,129
– –
XEL icon
281
Xcel Energy
XEL
$48.5B
$78.2K 0.04%
1,366
+158
+13% +$9.5K
PSLV icon
282
Sprott Physical Silver Trust
PSLV
$12.3B
$78.1K 0.04%
10,300
– –
EMR icon
283
Emerson Electric
EMR
$87.5B
$77.9K 0.04%
807
– –
TFC icon
284
Truist Financial
TFC
$64.6B
$77.5K 0.04%
2,709
+386
+17% +$11.9K
LULU icon
285
lululemon athletica
LULU
$13.9B
$77.1K 0.04%
+200
New +$76.4K
SO icon
286
Southern Company
SO
$107B
$76.6K 0.04%
1,184
+70
+6% +$4.86K
STZ icon
287
Constellation Brands
STZ
$22.4B
$75.9K 0.04%
302
– –
MS icon
288
Morgan Stanley
MS
$343B
$75.9K 0.04%
929
-40
-4% -$3.47K
LLY icon
289
Eli Lilly
LLY
$991B
$75.2K 0.04%
140
-12
-8% -$6.18K
UBFO
290
DELISTED
United Security Bancshares
UBFO
$74.9K 0.04%
10,065
– –
AMLP icon
291
Alerian MLP ETF
AMLP
$12.9B
$74.5K 0.04%
1,764
-74
-4% -$3.04K
FPE icon
292
First Trust Preferred Securities and Income ETF
FPE
$6.35B
$74.1K 0.04%
4,643
+368
+9% +$5.93K
HE icon
293
Hawaiian Electric Industries
HE
$2.2B
$72.6K 0.04%
5,900
– –
IGSB icon
294
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23B
$71.3K 0.04%
1,431
+554
+63% +$27.7K
ORCL icon
295
Oracle
ORCL
$424B
$71.2K 0.04%
672
-25
-4% -$2.89K
SWK icon
296
Stanley Black & Decker
SWK
$15.4B
$69.9K 0.04%
836
+58
+7% +$5.37K
OVV icon
297
Ovintiv
OVV
$16.9B
$69K 0.04%
1,450
– –
CCK icon
298
Crown Holdings
CCK
$13.1B
$68.2K 0.04%
771
-300
-28% -$26.9K
IEFA icon
299
iShares Core MSCI EAFE ETF
IEFA
$193B
$67.8K 0.04%
1,054
+233
+28% +$15.6K
U icon
300
Unity
U
$15.4B
$67.8K 0.04%
+2,160
New +$83.2K
10 11
12
13 14

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IRP
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HA
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DB
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HWM
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FPW
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EPIM
Equinox Partners Investment Management Stamford, Connecticut $245M AUM 225.58% 1-Year Est. Return

Caldwell Sutter Capital's Q3 2023 Portfolio in Review

As of Q3 2023, Caldwell Sutter Capital held 908 positions worth $181M, down 5.3% from $191M the previous quarter. Its ten largest holdings account for 23% of the portfolio.

Caldwell Sutter Capital's Q3 2023 filing shows 41 new, 133 increased, 140 reduced and 17 closed positions. Its largest new stake was Unity: 2,160 shares worth $67.8K. The largest sale was Apple, an estimated $1.64M.

By sector, the portfolio is most concentrated in Financials at 22% of assets, up from 21% a quarter earlier, followed by Technology and Industrials.

  • Caldwell Sutter Capital's largest Q3 2023 buy was Unity: 2,160 shares worth $67.8K.
  • Caldwell Sutter Capital added most to Dollar General in Q3 2023, an estimated $765K increase.
  • Caldwell Sutter Capital's biggest Q3 2023 reduction was Apple, cutting an estimated $1.64M.
  • Caldwell Sutter Capital fully exited Neuberger High Yield Strategies Fund Inc in Q3 2023, selling an estimated $502K.
  • Caldwell Sutter Capital's ten largest holdings make up 23% of its $181M portfolio in Q3 2023.
  • Caldwell Sutter Capital opened 41 new positions and closed 17 in Q3 2023.
  • Caldwell Sutter Capital's portfolio value fell 5.3% quarter-over-quarter to $181M.

Based on Caldwell Sutter Capital's 13F filing for Q3 2023, filed 25 Oct 2023.