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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
ICH
3201
DELISTED
INVESTORS CAPITAL HOLDINGS LTD DELAWARE
ICH
– –
-200
Closed -$1K
FURX
3202
DELISTED
FURIEX PHARMACEUTICALS INC COM STK (DE)
FURX
– –
-100
Closed -$11K
FRX
3203
DELISTED
FOREST LABORATORIES INC
FRX
– –
-466
Closed -$46K
QPAC
3204
DELISTED
QUINPARIO ACQUISITION CORP COM STK
QPAC
– –
-298
Closed -$3K
BPO
3205
DELISTED
BROOKFIELD OFFICE PROPERTIES. INC
BPO
– –
-146
Closed -$3K
FBMI
3206
DELISTED
FIRSTBANK CORP (MICH)
FBMI
– –
-100
Closed -$2K
HPAC
3207
DELISTED
HYDE PK ACQUISITION CORP II COM STK (DE)
HPAC
– –
-442
Closed -$5K
ATMI
3208
DELISTED
A T M I INC
ATMI
– –
-42
Closed -$1K
TOFC
3209
DELISTED
TOWER FINANCIAL CORP
TOFC
– –
-100
Closed -$2K
INXB
3210
DELISTED
INFINITY CROSS BORDER ACQUISITION CORP SHS (VGB)
INXB
– –
-200
Closed -$2K
OVRL
3211
DELISTED
OVERLAND STORAGE INC
OVRL
– –
-500
Closed -$2K
AH
3212
DELISTED
Accretive Health
AH
– –
-2,270
Closed -$18K
HHY
3213
DELISTED
Brookfield High Income Fund Inc.
HHY
– –
-87
Closed -$1K
JAXB
3214
DELISTED
JACKSONVILLE BANCORP INC FLA COM STK NEW
JAXB
– –
-599
Closed -$6K
PULS
3215
DELISTED
PULSE ELECTRONICS CORP COM STK (PA)NEW
PULS
– –
-200
Closed -$1K
TWGP
3216
DELISTED
TOWER GROUP INTL LTD COM STK (BERMUDA)
TWGP
– –
-797
Closed -$1K
CELGZ
3217
DELISTED
Celgene Corporation Contingent Value Rights
CELGZ
– –
-400
Closed -$1K
JACQU
3218
DELISTED
COLLABRIUM JAPAN ACQUISITIONCO UNIT 1 SHS & 1 WT EXP
JACQU
– –
-300
Closed -$3K
NWBOW
3219
DELISTED
Northwest Biotherapeutics, Inc.
NWBOW
– –
-199
Closed -$1K
ROICW
3220
DELISTED
RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD)
ROICW
– –
-720
Closed -$3K
SPPRP
3221
DELISTED
SUPERTEL HOSPITALITY, INC. SER A CONV PFD STK
SPPRP
– –
-300
Closed -$2K
USATP
3222
DELISTED
USA Technologies, Inc. - Preferred Stock
USATP
– –
-800
Closed -$14K
CALI
3223
DELISTED
China Auto Logistics Inc
CALI
– –
-250
Closed -$1K
ARCW
3224
DELISTED
ARC Group Worldwide, Inc
ARCW
– –
-100
Closed -$2K
QKLS
3225
DELISTED
QKL STORES INC COM ST NEW
QKLS
– –
-700
Closed -$2K
127 128
129
130 131

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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.