Ground Swell Capital’s RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) ROICW Stock Holding History

Ground Swell Capital’s Portfolio ROICW Stock Details ROICW Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	–	Sell	-720	Closed	-$3K	–	3234
2014 Q2	$3K	Buy	+720	New	+$3K	0.01%	1428

Other funds holding ROICW

Goldman Sachs New York $871B AUM 31.28% 1-Year Est. Return

Creative Planning Overland Park, Kansas $147B AUM 18.73% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

TRCT

Tower Research Capital (TRC) New York $3.85B AUM 32.11% 1-Year Est. Return

UBS Zurich, Switzerland $136B AUM 16.36% 1-Year Est. Return

Ground Swell Capital's ROICW Position: Q3 2014 in Review

Ground Swell Capital sold out of RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) (ROICW) in Q3 2014, closing a stake of 720 shares — an estimated $3K sold.

Ground Swell Capital first reported a position in ROICW in Q2 2014 and held it in 1 quarter. The position peaked at $3K in Q2 2014. 5 funds tracked by Wall St. Rank hold ROICW as of Q3 2014.

Ground Swell Capital reported no remaining RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) position as of Q3 2014 after selling out during the quarter.
Ground Swell Capital sold 720 RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) shares in Q3 2014, an estimated $3K.
Ground Swell Capital first reported a position in RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) in Q2 2014 and held it in 1 quarter.
Ground Swell Capital's RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) position peaked at $3K in Q2 2014.
5 funds tracked by Wall St. Rank held RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) as of Q3 2014.

Based on Ground Swell Capital's 13F filing for Q3 2014, filed 6 Nov 2014.