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Portfolio (Quarterly) Guide ↗

CALDWELL SUTTER CAPITAL, INC.

· CIK 0000702007
13F Portfolio $234M AUM Filed Oct 29, 2025 EDGAR ↗ ← All Funds
Q4 2025 Q3 2025 · All 871 New
Page 43 of 44  ·  871 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
841 ILMN ILLUMINA INC Healthcare 3.0 $285.0 NEW $95.00 +52.5%
842 ADNT ADIENT PLC Consumer Cyclical 11.0 $265.0 NEW $24.09 -12.8%
843 ABEV AMBEV SA Consumer Defensive 111.0 $248.0 NEW $2.23 +46.4%
844 VIAV VIAVI SOLUTIONS INC Technology 18.0 $228.0 NEW $12.67 +279.7%
845 MADISON SQUARE GARDEN ENTMT 5.0 $226.0 NEW $45.20
846 SLS SELLAS LIFE SCIENCES GROUP INC Healthcare 100.0 $161.0 NEW $1.61 +457.1%
847 ZTEK ZENTEK LTD Healthcare 200.0 $153.0 NEW $0.77 -4.2%
848 IFN INDIA FD INC Financial Services 10.0 $147.0 NEW $14.70 -22.4%
849 SPRB SPRUCE BIOSCIENCES INC Healthcare 13.0 $116.0 NEW $8.92 +477.4%
850 GAP GAP INC Consumer Cyclical 5.0 $107.0 NEW $21.40 +8.3%
851 DXC DXC TECHNOLOGY CO Technology 6.0 $82.0 NEW $13.67 -32.5%
852 SKILLZ INC 10.0 $80.0 NEW $8.00
853 UA UNDER ARMOUR INC Consumer Cyclical 15.0 $72.0 NEW $4.80 +4.8%
854 CADRENAL THERAPEUTICS INC 5.0 $69.0 NEW $13.80
855 ATYR ATYR PHARMA INC Healthcare 52.0 $38.0 NEW $0.73 -27.7%
856 DARE BIOSCIENCE INC 17.0 $36.0 NEW $2.12
857 OVLY OAK VY BANCORP OAKDALE CALIF Financial Services 1.0 $28.0 NEW $28.00 +20.6%
858 LUMINAR TECHNOLOGIES INC COM 13.0 $25.0 NEW $1.92
859 CANOPY GROWTH CORP 15.0 $22.0 NEW $1.47
860 PCF HIGH INCOME SECS FD Financial Services 2.0 $13.0 NEW $6.50 -13.5%
Page 43 of 44  ·  871 positions

Period Price is the implied market price on the last day of the reporting period, calculated as reported value ÷ shares held. It is not the fund's purchase price or cost basis — the fund may have initiated or added to the position at any point during the quarter at a different price. Since Period shows the price change from that quarter-end snapshot to today's last price — it reflects stock movement after the report date, not the fund's actual return.

Sector Allocation
Financial Services 32.6%
Technology 16.1%
Industrials 13.9%
Consumer Defensive 8.4%
Energy 6.7%
Communication Services 5.1%
Healthcare 5.0%
Real Estate 5.0%
Consumer Cyclical 4.7%
Utilities 1.8%