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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
MAG
3226
DELISTED
MAGNETEK INC COM STK NEW
MAG
– –
-47
Closed -$1K
CMD
3227
DELISTED
PROSHARES TR II ULTRASHORT BLOOMBERG COMMODITY
CMD
– –
-3,000
Closed -$52K
STSA
3228
DELISTED
STERLING FINL CORP (WA) COM NEW
STSA
– –
-130
Closed -$4K
EXXI
3229
DELISTED
ENERGY XXI LTD COM SHS
EXXI
– –
-630
Closed -$15K
NAQ.U
3230
DELISTED
RETAIL OPPORTUNITY INVESTMENTS CORP UTS (DE)
NAQ.U
– –
-346
Closed -$6K
EZCH
3231
DELISTED
EZCHIP SEMICONDUCTOR LIMITED ORD SHS (IL)
EZCH
– –
-254
Closed -$7K
ATVI
3232
DELISTED
Activision Blizzard
ATVI
– –
-300
Closed -$7K
EMD
3233
DELISTED
Western Asset Emerging Markets
EMD
– –
-100
Closed -$1K
MYF
3234
DELISTED
Blackrock Muni Yield Investment Fund, Inc.
MYF
– –
-200
Closed -$3K
PDLI
3235
DELISTED
PDL BioPharma, Inc.
PDLI
– –
-409
Closed -$4K
CHII
3236
DELISTED
Global X MSCI China Industrials ETF
CHII
– –
-123
Closed -$1K
PFIN
3237
DELISTED
P&F Industries
PFIN
– –
-91
Closed -$1K
CIZN
3238
DELISTED
Citizens Holding Co.
CIZN
– –
-265
Closed -$5K
PFSW
3239
DELISTED
PFSweb, Inc.
PFSW
– –
-200
Closed -$2K
DXGE
3240
DELISTED
WisdomTree Germany Hedged Equity Fund
DXGE
– –
-200
Closed -$6K
NBO
3241
DELISTED
Neuberger Berman New York Municipal Fund Inc.
NBO
– –
-48
Closed -$1K
SBNY
3242
DELISTED
Signature Bank
SBNY
– –
-1,717
Closed -$217K
PSXP
3243
DELISTED
PHILLIPS 66 PARTNERS LP
PSXP
– –
-629
Closed -$48K
VCF
3244
DELISTED
Delaware Investments Colorado Municipal Income Fund
VCF
– –
-64
Closed -$1K
GFN
3245
DELISTED
General Finance Corporation
GFN
– –
-200
Closed -$2K
NJV
3246
DELISTED
Nuveen New Jersey Municipal Value Fund Common shares of beneficial interest
NJV
– –
-200
Closed -$3K
FUD
3247
DELISTED
E-TRACS UBS Bloomberg CMCI Food ETN
FUD
– –
-147
Closed -$4K
SOIL
3248
DELISTED
Global X Fertilizers/Potash ETF
SOIL
– –
-500
Closed -$6K
VVUS
3249
DELISTED
Vivus Inc
VVUS
– –
-20
Closed -$1K
FTR
3250
DELISTED
Frontier Communications Corp.
FTR
– –
-75
Closed -$7K
128 129
130
131 132

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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.