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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
BCS icon
876
Barclays
BCS
$93.8B
$16 ﹤0.01%
2
– –
LL
877
DELISTED
LL Flooring Holdings, Inc.
LL
$16 ﹤0.01%
5
– –
BLNK icon
878
Blink Charging
BLNK
$78M
$15 ﹤0.01%
5
– –
WKHS icon
879
Workhorse Group
WKHS
$34M
– –
0
– –
ZIMV
880
DELISTED
ZimVie
ZIMV
$9 ﹤0.01%
1
– –
TLF icon
881
Tandy Leather Factory
TLF
$19.3M
$8 ﹤0.01%
+2
New +$9
IMUX icon
882
Immunic
IMUX
$192M
$7 ﹤0.01%
1
– –
CYPH
883
Cypherpunk Technologies Inc
CYPH
$67.8M
$6 ﹤0.01%
4
– –
SIRI icon
884
SiriusXM
SIRI
$10.2B
– –
0
– –
RAD
885
DELISTED
Rite Aid Corporation
RAD
$3 ﹤0.01%
7
– –
TTNP
886
DELISTED
Titan Pharmaceuticals
TTNP
– –
0
– –
BCLI
887
DELISTED
BRAINSTORM CELL THERAPUTC
BCLI
$0 ﹤0.01%
10,467
– –
GDV icon
888
Gabelli Dividend & Income Trust
GDV
$2.62B
– –
-900
Closed -$19K
GGZ
889
Gabelli Global Small and Mid-Cap Value Trust
GGZ
$125M
– –
-90
Closed -$1.08K
GL icon
890
Globe Life
GL
$14.3B
– –
-30
Closed -$3.29K
HBI
891
DELISTED
Hanesbrands
HBI
– –
-660
Closed -$3K
NEOG icon
892
Neogen
NEOG
$2.59B
– –
-6,030
Closed -$131K
NHS
893
Neuberger High Yield Strategies Fund Inc
NHS
$252M
– –
-67,068
Closed -$502K
NODK icon
894
NI Holdings
NODK
$318M
– –
-250
Closed -$3.71K
PKE icon
895
Park Aerospace
PKE
$774M
– –
-330
Closed -$4.55K
WTRG icon
896
Essential Utilities
WTRG
$11B
– –
-50
Closed -$2K
SYNH
897
DELISTED
Syneos Health, Inc. Class A Common Stock
SYNH
– –
-27
Closed -$1.15K
MMP
898
DELISTED
Magellan Midstream Partners, L.P.
MMP
– –
-7,535
Closed -$470K
WWE
899
DELISTED
World Wrestling Entertainment
WWE
– –
-25
Closed -$2.71K
FRBK
900
DELISTED
Republic First Bancorp Inc
FRBK
– –
-1,441
Closed -$1.3K
33 34 35
36
37

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MAMHA
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IRP
Investment Research Partners Lemont, Pennsylvania $246M AUM
HA
Hanover Advisors Seneca, South Carolina $246M AUM 12.74% 1-Year Est. Return
DB
Dravo Bay Rehoboth Beach, Delaware $246M AUM 15.09% 1-Year Est. Return
HWM
HighMark Wealth Management St. Paul, Minnesota $246M AUM 35.95% 1-Year Est. Return
FPW
Flagship Private Wealth Woburn, Massachusetts $246M AUM 15.53% 1-Year Est. Return
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.