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Portfolio (Quarterly) Guide ↗

CALDWELL SUTTER CAPITAL, INC.

· CIK 0000702007
13F Portfolio $236M AUM 877 positions Filed Jan 30, 2026 EDGAR ↗ ← All Funds
Q4 2025 Q3 2025 · All 47 New 130 Added 150 Reduced 41 Exited
Page 39 of 44  ·  877 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
761 OIH VANECK ETF TRUST 6.0 $2K 0.00% +2.0 +50.0% $284.83 +56.3%
762 XLU SELECT SECTOR SPDR TR 40.0 $2K 0.00% NEW $42.70 +5.4%
763 AXON AXON ENTERPRISE INC Industrials 3.0 $2K 0.00% $568.00 -31.4%
764 SPYV SPDR SERIES TRUST 30.0 $2K 0.00% NEW $56.80 +6.7%
765 HIGHLAND INCOME FD 285.0 $2K 0.00% $5.98
766 DOX AMDOCS LTD Technology 21.0 $2K 0.00% $80.52 -22.6%
767 CNP CENTERPOINT ENERGY INC Utilities 44.0 $2K 0.00% $38.34 +10.8%
768 AXTI AXT INC Technology 100.0 $2K 0.00% $16.35 +640.2%
769 WU WESTERN UN CO Financial Services 175.0 $2K 0.00% $9.31 -7.8%
770 ZBH ZIMMER BIOMET HOLDINGS INC Healthcare 18.0 $2K 0.00% $89.94 -5.1%
771 EWJ ISHARES INC 20.0 $2K 0.00% $80.75 +13.2%
772 MINT PIMCO ETF TR 16.0 $2K 0.00% $100.31 +0.3%
773 LNC LINCOLN NATL CORP IND Financial Services 36.0 $2K 0.00% $44.53 -19.2%
774 ASH ASHLAND INC Basic Materials 27.0 $2K 0.00% $58.67 -4.1%
775 SCHZ SCHWAB STRATEGIC TR 65.0 $2K 0.00% +1.0 +1.6% $23.48 -2.1%
776 BIZD VANECK ETF TRUST 100.0 $1K 0.00% NEW $14.18 -11.7%
777 PNTG PENNANT GROUP INC Healthcare 50.0 $1K 0.00% $28.16 +25.4%
778 CRWD CROWDSTRIKE HLDGS INC Technology 3.0 $1K 0.00% $468.67 +38.3%
779 SPMD SPDR SER TR 24.0 $1K 0.00% $57.92 +10.3%
780 VYMI VANGUARD WHITEHALL FDS 15.0 $1K 0.00% $90.00 +11.3%
Page 39 of 44  ·  877 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 32.7%
Technology 16.0%
Industrials 14.6%
Consumer Defensive 8.5%
Energy 6.4%
Healthcare 5.3%
Communication Services 4.8%
Real Estate 4.6%
Consumer Cyclical 4.5%
Utilities 1.8%