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GSC

Ground Swell Capital Portfolio holdings

AUM $92.6M
1-Year Est. Return 41.64%
This Fund
S&P 500
This Quarter Est. Return
+0.05%
1 Year Est. Return
+41.64%
3 Year Est. Return
+71.08%
5 Year Est. Return
+78.79%
10 Year Est. Return
–
AUM
$52.9M
AUM Growth
+$1.41M
Cap. Flow
+$2.06M
Cap. Flow %
3.89%
Top 10 Hldgs %
13.1%
Holding
3,331
New
1,331
Increased
701
Reduced
298
Closed
933

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$2.15M
2
EWZ icon
iShares MSCI Brazil ETF
EWZ
+$733K
3
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$409K
4
VTRS icon
Viatris
VTRS
+$384K
5
CHTR icon
Charter Communications
CHTR
+$347K

Top Sells

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$14.1M
2
CMCSA icon
Comcast
CMCSA
+$1.09M
3
GSAT icon
Globalstar
GSAT
+$832K
4
TFCFA
Twenty-First Century Fox, Inc. Class A
TFCFA
+$780K
5
FXI icon
iShares China Large-Cap ETF
FXI
+$636K

Sector Composition

Rank Sector Weight
1 Technology 15.03%
2 Financials 13.45%
3 Healthcare 12.17%
4 Industrials 9.19%
5 Consumer Discretionary 8.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
REED
2851
DELISTED
Reeds, Inc. Common Stock
REED
– –
-4
Closed -$1K
QUMU
2852
DELISTED
Qumu Corp.
QUMU
– –
-200
Closed -$3K
AATC
2853
DELISTED
Autoscope Technologies Corporation Common Stock
AATC
– –
-300
Closed -$1K
CLVS
2854
DELISTED
Clovis Oncology, Inc.
CLVS
– –
-950
Closed -$39K
AGTC
2855
DELISTED
Applied Genetic Technologies Corporation
AGTC
– –
-197
Closed -$5K
ZVO
2856
DELISTED
Zovio Inc. Common Stock
ZVO
– –
-161
Closed -$2K
CYBE
2857
DELISTED
Cyberoptics Corp
CYBE
– –
-200
Closed -$2K
SRLP
2858
DELISTED
SPRAGUE RESOURCES LP
SRLP
– –
-83
Closed -$2K
BRG
2859
DELISTED
Bluerock Residential Growth REIT, Inc.
BRG
– –
-74
Closed -$1K
CTXS
2860
DELISTED
Citrix Systems Inc
CTXS
– –
-231
Closed -$12K
PTR
2861
DELISTED
PETROCHINA COMPANY LIMITED ADS (REP 100 H SHARES)
PTR
– –
-115
Closed -$14K
AUTO
2862
DELISTED
AutoWeb, Inc. Common Stock
AUTO
– –
-39
Closed -$1K
ENDP
2863
DELISTED
Endo International plc
ENDP
– –
-300
Closed -$21K
SMED
2864
DELISTED
Sharps Compliance Corp
SMED
– –
-700
Closed -$3K
RDUS
2865
DELISTED
Radius Health, Inc.
RDUS
– –
-1,010
Closed -$13K
MBII
2866
DELISTED
Marrone Bio Innovations, Inc.
MBII
– –
-47
Closed -$1K
WMC
2867
DELISTED
Western Asset Mortgage Capital Corporation
WMC
– –
-54
Closed -$8K
PBIP
2868
DELISTED
Prudential Bancorp, Inc.
PBIP
– –
-124
Closed -$1K
NSEC
2869
DELISTED
National Security Group Inc
NSEC
– –
-117
Closed -$1K
APTS
2870
DELISTED
Preferred Apartment Communities, Inc.
APTS
– –
-200
Closed -$2K
LUB
2871
DELISTED
Luby's Inc.
LUB
– –
-200
Closed -$1K
IRCP
2872
DELISTED
IRSA Propiedades Comerciales S.A.
IRCP
– –
-2,255
Closed -$11K
ZNGA
2873
DELISTED
ZYNGA INC. CL A COMMON
ZNGA
– –
-12,248
Closed -$39K
LEJU
2874
DELISTED
Leju Holdings Limited American Depositary Shares, each representing ten (10) Ordinary Shares
LEJU
– –
-10
Closed -$1K
SRGA
2875
DELISTED
Surgalign Holdings, Inc. Common Stock
SRGA
– –
-15
Closed -$2K
113 114
115
116 117

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Ground Swell Capital's Q3 2014 Portfolio in Review

As of Q3 2014, Ground Swell Capital held 3,331 positions worth $52.9M, up 2.7% from $51.5M the previous quarter. Its ten largest holdings account for 13% of the portfolio.

Ground Swell Capital deployed $2.06M of net new capital in Q3 2014, opening 1,331 new positions and adding to 701 existing holdings. Its largest new stake was Apple: 87,600 shares worth $2.21M.

By sector, the portfolio is most concentrated in Technology at 15% of assets, up from 6.5% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was Comcast, an estimated $1.09M trimmed.

  • Ground Swell Capital's largest Q3 2014 buy was Apple: 87,600 shares worth $2.21M.
  • Ground Swell Capital added most to Viatris in Q3 2014, an estimated $384K increase.
  • Ground Swell Capital's biggest Q3 2014 reduction was Comcast, cutting an estimated $1.09M.
  • Ground Swell Capital fully exited iShares Russell 2000 ETF in Q3 2014, selling an estimated $14.1M.
  • Ground Swell Capital's ten largest holdings make up 13% of its $52.9M portfolio in Q3 2014.
  • Ground Swell Capital opened 1,331 new positions and closed 933 in Q3 2014.
  • Ground Swell Capital's portfolio value rose 2.7% quarter-over-quarter to $52.9M.

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