Latest CALDWELL SUTTER CAPITAL, INC. Stock Portfolio

CALDWELL SUTTER CAPITAL, INC. Performance:

2025 Q3: 3.48%YTD: 4.14%2024: 9.51%

Performance for 2025 Q3 is 3.48%, and YTD is 4.14%, and 2024 is 9.51%.

About CALDWELL SUTTER CAPITAL, INC. and 13F Hedge Fund Stock Holdings

CALDWELL SUTTER CAPITAL, INC. is a hedge fund based in SAUSALITO, CA. On 02-Mar-2023, the fund reported that it had an AUM (Regulated Assets under Management) of $299.7 Millions. In it's latest 13F Holdings report, CALDWELL SUTTER CAPITAL, INC. reported an equity portfolio of $234.1 Millions as of 30 Sep, 2025.

The top stock holdings of CALDWELL SUTTER CAPITAL, INC. are AAPL, MSA, PPIH. The fund has invested 5.6% of it's portfolio in APPLE INC and 2.5% of portfolio in MSA SAFETY INC.

The fund managers got completely rid off SOUTHERN STS BANCSHARES INC (SSBK), STEEL PARTNERS HLDGS L P (SPLP) and OAKTREE SPECIALTY LENDING CORP (OCSL) stocks. They significantly reduced their stock positions in MADISON SQUARE GRDN SPRT CORP (MSGS), AMERICAN TOWER CORP (AMT) and MADISON SQUARE GARDEN ENTMT (MSGE). CALDWELL SUTTER CAPITAL, INC. opened new stock positions in FB FINL CORP (FBK), OLD SECOND BANCORP INC ILL (OSBC) and AVIDBANK HLDGS INC. The fund showed a lot of confidence in some stocks as they added substantially to PLUMAS BANCORP (PLBC), SANDISK CORP and AMPHENOL CORP (APH).

CALDWELL SUTTER CAPITAL, INC. Annual Return Estimates Vs S&P 500

Our best estimate is that CALDWELL SUTTER CAPITAL, INC. made a return of 3.48% in the last quarter. In trailing 12 months, it's portfolio return was 3.83%.

New Buys

Ticker	$ Bought
fb finl corp	679,303
old second bancorp inc ill	190,135
avidbank hldgs inc	140,250
ralliant corp	55,158
sprott physical gold tr	38,506
heico corp	25,409
lithium amers corp	22,840
halozyme therapeutics inc	22,002

New stocks bought by CALDWELL SUTTER CAPITAL, INC.

Additions

Ticker	% Inc.
plumas bancorp	13,110
sandisk corp	2,500
amphenol corp	1,071
flexhares tr	510
northrim bancorp inc	291
ishares tr	124
kinsale cap group inc	104
mechanics bancorp	81.08

Additions to existing portfolio by CALDWELL SUTTER CAPITAL, INC.

Reductions

Ticker	% Reduced
eli lilly & co	-61.62
cohen & steers reit & pfd & in	-59.4
grail inc	-52.61
redwood trust inc	-47.3
kratos defense & sec solutions	-30.00
goldman sachs etf tr	-28.42
toronto dominion bk ont	-28.34
salesforce inc	-27.72

CALDWELL SUTTER CAPITAL, INC. reduced stake in above stock

Sold off

None of the stocks were completely sold off by CALDWELL SUTTER CAPITAL, INC.

Sector Distribution

CALDWELL SUTTER CAPITAL, INC. has about 27.5% of it's holdings in Others sector.

Sector	%
Others	27.5
Financial Services	18.8
Technology	13.2
Industrials	11.9
Consumer Defensive	5.4
Energy	5.3
Real Estate	4.4
Communication Services	4
Healthcare	3.9
Consumer Cyclical	3.8
Utilities	1.3

Market Cap. Distribution

CALDWELL SUTTER CAPITAL, INC. has about 45.6% of it's portfolio invested in the large-cap and mega-cap stocks.

Category	%
UNALLOCATED	27.5
LARGE-CAP	25.1
MEGA-CAP	20.5
MICRO-CAP	9.9
MID-CAP	8.5
SMALL-CAP	6.1
NANO-CAP	2.5

Stocks belong to which Index?

About 63.2% of the stocks held by CALDWELL SUTTER CAPITAL, INC. either belong to S&P 500 or RUSSELL 2000 index.

Index	%
S&P 500	44
Others	36.8
RUSSELL 2000	19.2

Top 5 Winners (%)		%
BE	bloom energy corp	253.6 %
TLRY	tilray brands inc	200.0 %
AXTI	axt inc	114.8 %
KTOS	kratos defense & sec solutions	96.7 %
REZI	resideo technologies inc	95.7 %

Top 5 Winners ($)		$
AAPL	apple inc	2.4 M
CAT	caterpillar inc	0.8 M
MOD	modine mfg co	0.8 M
INTG	intergroup corp	0.3 M
ABBV	abbvie inc	0.3 M

Top 5 Losers (%)		%
LIFE	atyr pharma inc	-85.6 %
OMI	owens & minor inc	-47.3 %
NRIM	northrim bancorp inc	-45.8 %
CHTR	charter communications inc	-32.7 %
LAZR	luminar technologies inc com	-32.4 %

Top 5 Losers ($)		$
NRIM	northrim bancorp inc	-0.8 M
INBK	first internet bancorp	-0.4 M
INTU	intuit	-0.3 M
COST	costco whsl corp	-0.2 M
V	visa inc	-0.2 M

CALDWELL SUTTER CAPITAL, INC. Holdings Map

This heatmap illustrates the top 50 positions within the fund's portfolio.

Current Stock Holdings of CALDWELL SUTTER CAPITAL, INC.

CALDWELL SUTTER CAPITAL, INC. has 868 stocks in it's portfolio. About 22.8% of the portfolio is in top 10 stocks. NRIM proved to be the most loss making stock for the portfolio. AAPL was the most profitable stock for CALDWELL SUTTER CAPITAL, INC. last quarter.

Last Reported on: 29 Oct, 2025

Ticker	Namesorted ascending	% Portfolio	Shares Held	$ Value	Type	% Change
A	agilent technologies inc	0.01	193	24,772	unchanged	0.00

AAPL	apple inc	5.63	51,780	13,184,700	added	8.13

AAXJ	ishares tr	0.20	5,052	460,843	unchanged	0.00

AAXJ	ishares tr	0.18	3,452	412,544	added	13.37

AAXJ	ishares tr	0.06	1,001	138,378	unchanged	0.00

AAXJ	ishares tr	0.04	412	86,215	unchanged	0.00

AAXJ	ishares tr	0.03	748	60,730	reduced	-23.52

AAXJ	ishares tr	0.02	624	47,873	unchanged	0.00

AAXJ	ishares tr	0.01	682	36,166	unchanged	0.00

AAXJ	ishares tr	0.01	1,019	32,221	added	10.88

AAXJ	ishares tr	0.01	200	18,520	unchanged	0.00

AAXJ	ishares tr	0.01	170	18,264	unchanged	0.00

AB	alliancebernstein hldg l p	0.06	3,527	134,802	added	0.2

ABBV	abbvie inc	0.54	5,416	1,254,040	reduced	-10.26

ABT	abbott labs	0.20	3,523	471,871	unchanged	0.00

ACES	alps etf tr	0.01	357	16,754	unchanged	0.00

ACWF	ishares tr	0.01	513	25,953	unchanged	0.00

ACWV	ishares inc	0.04	1,544	95,635	unchanged	0.00

ACWV	ishares inc	0.04	2,202	91,625	unchanged	0.00

ACWV	ishares inc	0.01	162	19,427	unchanged	0.00