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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
KYN icon
26
Kayne Anderson Energy Infrastructure Fund
KYN
$2.45B
$1.55M 0.86%
183,872
-1,454
-0.8% -$12.5K
CSW
27
CSW Industrials
CSW
$5.6B
$1.52M 0.84%
8,664
-500
-5% -$88.5K
CSCO icon
28
Cisco
CSCO
$457B
$1.51M 0.84%
28,106
-2,072
-7% -$112K
BANR icon
29
Banner Corp
BANR
$2.4B
$1.47M 0.81%
34,687
-2,000
-5% -$89.7K
WLY icon
30
John Wiley & Sons Class A
WLY
$2.7B
$1.47M 0.81%
39,488
– –
MCI
31
Barings Corporate Investors
MCI
$337M
$1.4M 0.77%
87,614
– –
JPM icon
32
JPMorgan Chase
JPM
$937B
$1.34M 0.74%
9,243
-351
-4% -$52.6K
DIT icon
33
AMCON Distributing
DIT
$61.1M
$1.31M 0.72%
9,515
– –
UMH
34
UMH Properties
UMH
$1.3B
$1.3M 0.72%
93,021
– –
UNP icon
35
Union Pacific
UNP
$173B
$1.25M 0.69%
6,158
-50
-0.8% -$10.9K
ARL icon
36
American Realty Investors
ARL
$253M
$1.21M 0.67%
82,924
-1,000
-1% -$18.8K
INBK icon
37
First Internet Bancorp
INBK
$261M
$1.2M 0.67%
74,258
– –
VTI icon
38
Vanguard Morningstar Total Stock Market ETF
VTI
$670B
$1.17M 0.65%
5,523
– –
PNBK icon
39
Patriot National Bancorp
PNBK
$138M
$1.12M 0.62%
151,001
– –
MOD icon
40
Modine Manufacturing
MOD
$10.4B
$1.11M 0.61%
24,172
– –
AXP icon
41
American Express
AXP
$233B
$1.1M 0.61%
7,352
– –
BA icon
42
Boeing
BA
$185B
$1.08M 0.6%
5,642
-37
-0.7% -$8.1K
BOND icon
43
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.43B
$1.07M 0.59%
12,223
+1,905
+18% +$171K
NWLI
44
DELISTED
National Western Life Group, Inc. Class A
NWLI
$1.05M 0.58%
2,400
– –
HD icon
45
Home Depot
HD
$339B
$1.04M 0.58%
3,445
-157
-4% -$50.5K
INTC icon
46
Intel
INTC
$459B
$1.03M 0.57%
29,016
-264
-0.9% -$9.2K
CWBC
47
DELISTED
Community West BanCshares
CWBC
$1.02M 0.57%
78,857
– –
META icon
48
Meta Platforms (Facebook)
META
$1.5T
$1M 0.55%
3,333
-10
-0.3% -$3.01K
MCD icon
49
McDonald's
MCD
$188B
$992K 0.55%
3,767
-214
-5% -$61K
CSWC icon
50
Capital Southwest
CSWC
$1.49B
$990K 0.55%
43,228
– –
1
2
3 4 5

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HWM
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FPW
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EPIM
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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.