13F-HR filed by Ground Swell Capital, LLC
Ground Swell Capital, LLC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-06, with 2,658 holding rows worth $52,936,124.
- Accession
- 0001420506-14-000425
- Filer
- CIK 1534450
- Filed
- 2014-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 2,658 entries on the cover page, a total value of $52,936,124 stated on the cover page (in dollars after the unit check, H1), rows summing to $52,936,124 with VALUE read as dollars, detected, 13F file number 028-16253. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| VITAL THERAPIES INC | 92847R104 | COM | 11 | $225 | dollars, detected | |
| REACHLOCAL INC | 75525F104 | COM | 62 | $224 | dollars, detected | |
| COMSTOCK HOLDING COMPANIES | 205684103 | CL A | 200 | $224 | dollars, detected | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 23 | $223 | dollars, detected | |
| DIREXION SHS ETF TR | 25459W284 | DL RUSSIA BEAR | 15 | $220 | dollars, detected | |
| LORAL SPACE & COM INC | 543881106 | COM | 3 | $215 | dollars, detected | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 33 | $210 | dollars, detected | |
| Northeast Community Bancorp Inc | 664112109 | COM | 30 | $208 | dollars, detected | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 4 | $206 | dollars, detected | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 13 | $203 | dollars, detected | |
| BLUEPHOENIX SOLUTIONS LTD | M20157117 | SHS NEW | 55 | $203 | dollars, detected | |
| LOCAL CORP | 53954W104 | COM | 100 | $200 | dollars, detected | |
| RXI PHARMACEUTICALS CORP NEW | 74979C303 | COM NEW | 100 | $200 | dollars, detected | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 3 | $199 | dollars, detected | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 200 | $198 | dollars, detected | |
| INFOSONICS CORP | 456784107 | COM | 100 | $198 | dollars, detected | |
| RUTHIGEN INC | 783330103 | COM | 41 | $198 | dollars, detected | |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 33 | $193 | dollars, detected | |
| CANCER GENETICS INC. | 13739u104 | COM | 20 | $180 | dollars, detected | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 46 | $179 | dollars, detected | |
| DYNASIL CORP AMER | 268102100 | COM | 117 | $179 | dollars, detected | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 100 | $176 | dollars, detected | |
| NEUROMETRIX INC | 641255302 | COM PAR $0.0001 | 95 | $171 | dollars, detected | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 73 | $170 | dollars, detected | |
| CORIUM INTL INC | 21887L107 | COM | 27 | $166 | dollars, detected | |
| STARTEK INC | 85569C107 | COM | 21 | $162 | dollars, detected | |
| BOOKS-A-MILLION INC | 098570104 | COM | 94 | $160 | dollars, detected | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 10 | $157 | dollars, detected | |
| ELTEK LTD | M40184109 | ORD | 100 | $156 | dollars, detected | |
| 1347 CAP CORP | 68245V103 | COM | 16 | $153 | dollars, detected | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 96 | $151 | dollars, detected | |
| NB & T FINL GROUP INC | 62874M104 | COM | 5 | $148 | dollars, detected | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 12 | $148 | dollars, detected | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 11 | $146 | dollars, detected | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 59 | $146 | dollars, detected | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 20 | $142 | dollars, detected | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 90 | $141 | dollars, detected | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 5 | $141 | dollars, detected | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 82 | $138 | dollars, detected | |
| ANGIODYNAMICS INC | 03475V101 | COM | 10 | $137 | dollars, detected | |
| ALON BLUE SQUARE ISRAEL LTD | 02051Q106 | SPONSORED ADR | 47 | $137 | dollars, detected | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 14 | $136 | dollars, detected | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 99 | $135 | dollars, detected | |
| GUANWEI RECYCLING CORP | 400685202 | COM NEW | 200 | $134 | dollars, detected | |
| VBI VACCINES INC CDA | 91790E102 | Stock | 40 | $131 | dollars, detected | |
| ROUSE PPTYS INC | 779287101 | COM | 8 | $129 | dollars, detected | |
| SPDR INDEX SHS FDS | 78463X764 | S&PINTL MC ETF | 4 | $128 | dollars, detected | |
| CAPITOL ACQUISITION CORP | 14056V113 | W | 400 | $128 | dollars, detected | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 100 | $127 | dollars, detected | |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 200 | $126 | dollars, detected | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 100 | $126 | dollars, detected | |
| EMPIRE RES INC DEL | 29206E100 | COM | 23 | $122 | dollars, detected | |
| OSSEN INNOVATION CO LTD | 688410109 | SPONSORED ADR | 100 | $118 | dollars, detected | |
| DGSE COMPANIES INC | 23323G106 | COM | 86 | $117 | dollars, detected | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 5 | $112 | dollars, detected | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 11 | $111 | dollars, detected | |
| PROSHARES TR | 74347X187 | PSHS ULSHT MC GR | 8 | $110 | dollars, detected | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 2 | $108 | dollars, detected | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 7 | $108 | dollars, detected | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 90 | $108 | dollars, detected | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 16 | $108 | dollars, detected | |
| TAMINCO CORP | 87509U106 | COM | 4 | $104 | dollars, detected | |
| INOGEN INC | 45780L104 | COM | 5 | $103 | dollars, detected | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 7 | $103 | dollars, detected | |
| OTELCO INC | 688823301 | CL A NEW | 20 | $103 | dollars, detected | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 2 | $102 | dollars, detected | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 25 | $102 | dollars, detected | |
| WEST MARINE INC | 954235107 | COM | 11 | $99 | dollars, detected | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 13 | $97 | dollars, detected | |
| BIOCEPT INC | 09072V105 | COM | 39 | $95 | dollars, detected | |
| MOSYS INC COM | 619718109 | COM | 38 | $92 | dollars, detected | |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 100 | $92 | dollars, detected | |
| CORDIA BANCORP INC | 218513109 | COM | 25 | $90 | dollars, detected | |
| IDEAL PWR INC | 451622104 | COM | 12 | $90 | dollars, detected | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 40 | $84 | dollars, detected | |
| ENERGOUS CORP | 29272C103 | COM | 7 | $80 | dollars, detected | |
| U S CONCRETE INC | 90333L201 | COM | 3 | $78 | dollars, detected | |
| QUMU CORP | 749063103 | COM | 6 | $78 | dollars, detected | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 16 | $78 | dollars, detected | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 10 | $76 | dollars, detected | |
| ROBERTS REALTY INVS | 769900101 | COM | 99 | $75 | dollars, detected | |
| ROYCE VALUE TRUST | 780910105 | COM | 5 | $73 | dollars, detected | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 5 | $65 | dollars, detected | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 1 | $64 | dollars, detected | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 25 | $63 | dollars, detected | |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 100 | $63 | dollars, detected | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 3 | $58 | dollars, detected | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 1 | $56 | dollars, detected | |
| AVALON HLDGS CORP | 05343P109 | CL A | 14 | $54 | dollars, detected | |
| CADIZ INC | 127537207 | COM NEW | 5 | $52 | dollars, detected | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 33 | $52 | dollars, detected | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 4 | $51 | dollars, detected | |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 160 | $46 | dollars, detected | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 2 | $45 | dollars, detected | |
| ALTO PALERMO S A | 02151P107 | SPONSORED ADR | 2 | $45 | dollars, detected | |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 100 | $44 | dollars, detected | |
| COEUR MNG INC | 192108116 | *W EXP 04/16/201 | 72 | $44 | dollars, detected | |
| TEUCRIUM COMMODITY TR | 88166A300 | WTI CRUDE OIL | 1 | $40 | dollars, detected | |
| MAJESCO ENTERTAINMENT CO COM PAR NEW | 560690307 | Stock | 38 | $40 | dollars, detected | |
| SKULLCANDY INC | 83083J104 | COM | 5 | $39 | dollars, detected | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 3 | $38 | dollars, detected | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 6 | $37 | dollars, detected | |
| JOES JEANS INC | 47777N101 | COM | 37 | $36 | dollars, detected | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 4 | $35 | dollars, detected | |
| HAEMONETICS CORP MASS COM | 405024100 | Stock | 1 | $35 | dollars, detected | |
| NEOPHOTONICS CORP | 64051T100 | COM | 10 | $34 | dollars, detected | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 8 | $34 | dollars, detected | |
| PREMIER INC | 74051N102 | CL A | 1 | $33 | dollars, detected | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 1 | $32 | dollars, detected | |
| STATE BANK FINL CORP COM | 856190103 | COM | 2 | $32 | dollars, detected | |
| BANKFINANCIAL CORP | 06643P104 | COM | 3 | $31 | dollars, detected | |
| NANOMETRICS | 630077105 | COM | 2 | $30 | dollars, detected | |
| VALLEY NATL BANCORP | 919794123 | *W EXP 06/30/201 | 349 | $27 | dollars, detected | |
| TEXTURA CORP | 883211104 | COM | 1 | $26 | dollars, detected | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 23 | $25 | dollars, detected | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 2 | $24 | dollars, detected | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 1 | $24 | dollars, detected | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1 | $23 | dollars, detected | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 1 | $23 | dollars, detected | |
| AXOGEN INC | 05463X106 | COM | 9 | $22 | dollars, detected | |
| BIODEL INC | 09064M204 | COM | 13 | $22 | dollars, detected | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 28 | $22 | dollars, detected | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 1 | $20 | dollars, detected | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1 | $19 | dollars, detected | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 2 | $18 | dollars, detected | |
| SUNSHINE HEART INC | 86782u106 | COM | 3 | $17 | dollars, detected | |
| POINT 360 | 730507100 | COM | 30 | $16 | dollars, detected | |
| AIR T INC | 009207101 | COM | 1 | $13 | dollars, detected | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1 | $12 | dollars, detected | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 20 | $11 | dollars, detected | |
| Lee Enterprises Inc | 523768109 | COM | 3 | $10 | dollars, detected | |
| Delta Apparel Inc | 247368103 | COM | 1 | $9 | dollars, detected | |
| HUDSON GLOBAL INC | 443787106 | COM | 2 | $8 | dollars, detected | |
| LEVY ACQUISITION CORP-CW18 | 52748T112 | W | 24 | $8 | dollars, detected | |
| NANOSPHERE INC | 63009F105 | COM | 10 | $6 | dollars, detected | |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 200 | $6 | dollars, detected | |
| INTERNET PATENTS CORP | 46063G101 | COM | 2 | $6 | dollars, detected | |
| EnerJex Resources Inc | 292758406 | COM | 1 | $6 | dollars, detected | |
| ARQULE INC | 04269E107 | COM | 2 | $2 | dollars, detected | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 1 | $2 | dollars, detected | |
| S&W SEED CO | 785135120 | *W EXP 05/03/201 | 5 | $1 | dollars, detected | |
| GERON CORP | 374163103 | COM | 352 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| V2X INC | 92242T101 | COM | 300 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| FAB UNVL CORP COM | 302771100 | COM | 1 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| INTERMUNE INC | 45884X103 | COM | 50 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 644 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| THOMPSON CREEK METALS CO INC | 884768300 | UNIT 99/99/9999 | 263 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| AQUASITION CORP | Y0192H129 | CMN | 500 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| Lihua International Inc. | 532352101 | COM | 203 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| ALPS ETF TR | 00162Q841 | VELOCSHS EMKTS | 500 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| AMBIENT CORP | 02318N201 | COM | 200 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| Gleacher & Co Inc | 377341201 | COM NEW | 309 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| AMERICAN SPECTRUM REALTY INC | 02970Q203 | COM | 32 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| TEXAS CAPITAL BANCSHARES INC | 88224Q115 | WTS | 300 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| REPROS THERAPEUTICS INC | 76028H126 | *W EXP 02/08/201 | 202 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| RETAIL OPPORTUNITY INVTS COR | 76131N200 | UNIT 10/23/2014 | 300 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 127 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| GLORI ENERGY INC WARRANTS EXPIRES | 379606114 | W EXP 4/19/2017 | 316 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-14-000425 | this filing | 2014-11-06 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001420506-15-000046 | base | 2015-02-05 | acceptance time not in the bulk data set |