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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
NTX
3251
DELISTED
Nuveen Texas Quality Municipal Income Fund
NTX
– –
-200
Closed -$3K
NAVG
3252
DELISTED
Navigators Group Inc
NAVG
– –
-414
Closed -$14K
ATTU
3253
DELISTED
Attunity Ltd
ATTU
– –
-200
Closed -$2K
FFBCW
3254
DELISTED
First Financial Bancorp. Warrant
FFBCW
– –
-100
Closed -$1K
EIA
3255
DELISTED
Eaton Vance California Municipal Bond II Shares of Ben. Int.
EIA
– –
-316
Closed -$4K
EMI
3256
DELISTED
Eaton Vance Michigan Municipal Income Trust
EMI
– –
-200
Closed -$2K
MTGE
3257
DELISTED
MTGE Investment Corp. Common Stock
MTGE
– –
-876
Closed -$18K
LAQ
3258
DELISTED
Aberdeen Latin America Equity Fund
LAQ
– –
-20
Closed -$1K
INP
3259
DELISTED
iPath ETNs Linked to the MSCI India Total Return Index
INP
– –
-285
Closed -$20K
DYN.WS
3260
DELISTED
Dynegy Inc,
DYN.WS
– –
-248
Closed -$1K
VSR
3261
DELISTED
Versar, Inc.
VSR
– –
-344
Closed -$1K
SPLS
3262
DELISTED
Staples Inc
SPLS
– –
-728
Closed -$8K
FCH.PRA
3263
DELISTED
Felcor Lodging Tr Ser A Cum Cv
FCH.PRA
– –
-100
Closed -$3K
FCH
3264
DELISTED
Felcor Lodging Trust
FCH
– –
-171
Closed -$2K
MRVC
3265
DELISTED
MRV Communications Inc
MRVC
– –
-58
Closed -$1K
IRV
3266
DELISTED
SPDR S&P International Materials Sector
IRV
– –
-401
Closed -$10K
PHF
3267
DELISTED
Pacholder High Yield
PHF
– –
-200
Closed -$2K
AES.PRC.CL
3268
DELISTED
AES Corporation Class C Preferred
AES.PRC.CL
– –
-186
Closed -$10K
WNR
3269
DELISTED
Western Refining Inc
WNR
– –
-636
Closed -$24K
FBRC
3270
DELISTED
FBR & Co. Common Stock
FBRC
– –
-74
Closed -$2K
GEQ
3271
DELISTED
Gugnheim Eql Wght Enh Eqty In Fd
GEQ
– –
-255
Closed -$5K
FDML
3272
DELISTED
Federal-Mogul Holdings Corporation
FDML
– –
-360
Closed -$7K
SBSA
3273
DELISTED
Spanish Broadcasting System Inc.
SBSA
– –
-401
Closed -$2K
ACAS
3274
DELISTED
American Capital Ltd
ACAS
– –
-720
Closed -$11K
PWX
3275
DELISTED
Providence & Worcester Railroad Company
PWX
– –
-140
Closed -$3K
129 130
131
132 133

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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.