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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
DPD
3176
DELISTED
DOW 30 PREMIUM & DIVIDEND INCOME FUND INC
DPD
– –
-100
Closed -$2K
JSN
3177
DELISTED
NUVEEN EQUITY PREMIUM OPPORTUNITY FUND
JSN
– –
-388
Closed -$5K
CHLC
3178
DELISTED
MARKET VECTORS ETF TR MKT VECTORS RENMINBI BD ETF
CHLC
– –
-20
Closed -$1K
GERJ
3179
DELISTED
MARKET VECTORS ETF TR GERMANY SMALL-CAP ETF (DE)
GERJ
– –
-170
Closed -$5K
TAM
3180
DELISTED
TAMINCO CORP COM
TAM
– –
-225
Closed -$5K
CNQR
3181
DELISTED
CONCUR TECHNOLOGIES INC
CNQR
– –
-100
Closed -$9K
FRF
3182
DELISTED
FORTEGRA FINL CORP COM STK (DE)
FRF
– –
-194
Closed -$1K
DNDN
3183
DELISTED
DENDREON CORPORATION
DNDN
– –
-600
Closed -$1K
AMBI
3184
DELISTED
Ambit Biosciences Corp
AMBI
– –
-167
Closed -$1K
THRD
3185
DELISTED
TF FINANCIAL CORP COM STK (PA)
THRD
– –
-200
Closed -$8K
CNPF
3186
DELISTED
GLOBAL X CANADA PREFERREDS ETF
CNPF
– –
-141
Closed -$2K
EMFN
3187
DELISTED
ISHARS MSCI EMERGING MKTS FINANCIALS ETF
EMFN
– –
-112
Closed -$3K
FEFN
3188
DELISTED
ISHARES MSCI FAR EAST FINANCIALS ETF
FEFN
– –
-200
Closed -$6K
END
3189
DELISTED
ENDEAVOUR INTERNATIONAL CORP NEW (NV)
END
– –
-1,600
Closed -$2K
OHAI
3190
DELISTED
OHA Investment Corporation
OHAI
– –
-761
Closed -$5K
MXN
3191
DELISTED
FIRST AMERICAN MINNESOTA MUNI INCM FD II INC
MXN
– –
-115
Closed -$2K
OBAF
3192
DELISTED
OBA FINL SVCS INC COM STK (MD)
OBAF
– –
-100
Closed -$2K
NASB
3193
DELISTED
NASB FINL INC
NASB
– –
-100
Closed -$2K
SUSS
3194
DELISTED
SUSSER HOLDINGS CORPORATION COMMON STOCK
SUSS
– –
-191
Closed -$15K
UNS
3195
DELISTED
UNS ENERGY CORP COM
UNS
– –
-230
Closed -$14K
CWH.PRD
3196
DELISTED
COMMONWEALTH REIT 6.50% PFD CUMV CONV SHS SER D
CWH.PRD
– –
-160
Closed -$4K
SGK
3197
DELISTED
SCHAWK INC CL-A
SGK
– –
-92
Closed -$2K
CCH
3198
DELISTED
COCA-COLA HBC AG SPONSORED ADR(SWITZERLAND)
CCH
– –
-300
Closed -$7K
CBEY
3199
DELISTED
CBEYOND INC COM STK
CBEY
– –
-276
Closed -$3K
HAST
3200
DELISTED
HASTINGS ENTERTAINMENT INC
HAST
– –
-200
Closed -$1K
126 127
128
129 130

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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.