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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 44 of 44  ·  877 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
861 ATYR ATYR PHARMA INC Healthcare 52.0 $41.0 $0.79 -33.0%
862 CADRENAL THERAPEUTICS INC 5.0 $34.0 $6.80
863 DARE BIOSCIENCE INC 17.0 $33.0 $1.94
864 OVLY OAK VY BANCORP OAKDALE CALIF Financial Services 1.0 $30.0 $30.00 +12.5%
865 CANOPY GROWTH CORPORATION 15.0 $17.0 $1.13
866 PCF HIGH INCOME SECS FD Financial Services 2.0 $12.0 $6.00 -6.3%
867 TLF TANDY LEATHER FACTORY INC Consumer Cyclical 2.0 $5.0 $2.50 -4.4%
868 WORKHORSE GROUP INC 1.0 $5.0 NEW $5.00
869 BLNK BLINK CHARGING CO Industrials 5.0 $3.0 $0.60 +38.3%
870 COTY COTY INC Consumer Defensive 1.0 $3.0 $3.00 -34.0%
871 APTOSE BIOSCIENCES INC 2.0 $3.0 $1.50
872 GAMESTOP CORP NEW 1.0 $3.0 NEW $3.00
873 IMMUNIC INC 3.0 $2.0 $0.67
874 BLACK TITAN CORP ORD 1.0 $2.0 $2.00
875 PHARMACYTE BIOTECH INC 2.0 $1.0 $0.50
876 HYZON MOTORS INC 2.0
877 THIRD HARMONIC BIO INC 1,000.0
Page 44 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%