CALDWELL SUTTER CAPITAL, INC.

Q3 2026 13F-HR Holdings

Location
Sausalito, CA
Holdings as of
9/30/2026
Date filed
11/9/2026
Form type
13F-HR
Num holdings
949
Total value ($000)
$267,571
Net value change ($000)
+2,332 (0.9%)
New positions
54
Sold out positions
34
Turnover %
3.7%
Sector allocation + QoQ delta (equities-only)
Prev filing: 8/5/2026 Next filing: — SEC filing

Snapshot: Change Analysis

Compared to Q2 2026
Methodology: sector metrics are equities-only; instrument mix chart is ex-options; options exposure is shown separately. Why this matters.
Top Adds (Value $000, Stocks/ETFs)
RCBC 3,940 NEW
AAPL 2,852 21.1%
FORBRIGHT INC 1,052 NEW
MSFT 1,052 38.0%
AMRZ 940 657.3%
OKE 713 NEW
PPIH 663 10.5%
CVX 660 23.6%
MOBILITY GLOBAL INC COM 636 NEW
META 521 29.0%
Top Reduces (Value $000, Stocks/ETFs)
CAT -2,233 -26.2%
ELSE -1,629 -100.0%
SGOV -884 -17.6%
OKE -736 -100.0%
MOD -602 -29.9%
INTG -600 -38.0%
IBM -486 -20.8%
AXP -486 -25.0%
NAII -449 -37.7%
ARL -421 -27.3%
Instrument mix + QoQ Δ (ex-options)
How this table is calculated: SEC VALUE ($000) is used as reported. For derivatives (PUT/CALL/WARRANT/RIGHT), SEC value represents reported underlying exposure, not premium cash paid/received. Column % is bucket-based: non-options share is calculated inside non-option total, options share is calculated inside options total. Details.
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Instrument:
Issuer Name Ticker Sector Industry Class History Value ($000) % Shares Shares Δ Shares Δ% Value Δ ($000) Value Δ% Principal Option Type