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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 4 of 44  ·  871 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
61 SMBK SMARTFINANCIAL INC Financial Services 28,431.0 $1.0M 0.43% NEW $35.73 +16.3%
62 NRIM NORTHRIM BANCORP INC Financial Services 46,204.0 $1.0M 0.43% NEW $21.66 +13.1%
63 CANADIAN PACIFIC KANSAS CITY 13,250.0 $987K 0.42% NEW $74.49
64 TLT ISHARES TR 10,818.0 $967K 0.41% NEW $89.37 -5.8%
65 ENB ENBRIDGE INC Energy 18,374.0 $927K 0.40% NEW $50.46 +14.5%
66 GILD GILEAD SCIENCES INC Healthcare 8,308.0 $922K 0.39% NEW $111.00 +17.6%
67 WMT WALMART INC Consumer Defensive 8,875.0 $915K 0.39% NEW $103.06 +27.0%
68 USFR WISDOMTREE TR 18,008.0 $905K 0.39% NEW $50.27 +0.4%
69 CSWC CAPITAL SOUTHWEST CORP Financial Services 41,052.0 $897K 0.38% NEW $21.86 +5.6%
70 DIS DISNEY WALT CO Communication Services 7,708.0 $883K 0.38% NEW $114.50 -9.5%
71 MPV BARINGS PARTN INVS Financial Services 43,755.0 $882K 0.38% NEW $20.15 -16.7%
72 BK BANK NEW YORK MELLON CORP Financial Services 7,943.0 $865K 0.37% NEW $108.96 +27.6%
73 XLE SELECT SECTOR SPDR TR 9,566.0 $855K 0.36% NEW $89.34 -33.8%
74 BA BOEING CO Industrials 3,919.0 $846K 0.36% NEW $215.83 +1.8%
75 VTV VANGUARD INDEX FDS 4,520.0 $843K 0.36% NEW $186.48 +12.1%
76 GOOGL ALPHABET INC Communication Services 3,377.0 $821K 0.35% NEW $243.10 +59.5%
77 APARTMENT INVT & MGMT CO 103,358.0 $820K 0.35% NEW $7.93
78 GOOG ALPHABET INC Communication Services 3,312.0 $807K 0.34% NEW $243.55 +57.5%
79 LMT LOCKHEED MARTIN CORP Industrials 1,596.0 $797K 0.34% NEW $499.21 +4.7%
80 INTG INTERGROUP CORP Consumer Cyclical 39,496.0 $796K 0.34% NEW $20.16 +85.8%
Page 4 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%