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Livermore
Livermore
ZHEN

Caldwell Sutter Capital, Inc.

SEC CIK
0000702007
Latest filing
Aug 5, 2026

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Oct 25, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
891
+25 vs. Q2 2023
Portfolio value
$180.7M
−$10.1M (−5.3%) vs. Q2 2023
Filed
Oct 25, 2023
SEC
Holdings of Caldwell Sutter Capital, Inc. in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
AAPLApple Inc.Stock56,694$9.71M5.4%−8,969−13.7%ReducedHistory
MSAMSA Safety IncCOM35,899$5.66M3.1%00.0%UnchangedHistory
VVisa Inc.Stock17,480$4.02M2.2%−706−3.9%ReducedHistory
CVXChevron CorpStock20,793$3.51M1.9%−680−3.2%ReducedHistory
MSFTMicrosoft CorpStock10,742$3.39M1.9%−313−2.8%ReducedHistory
CATCaterpillar IncStock12,084$3.30M1.8%−506−4.0%ReducedHistory
Summit St BK Santa Rosa Cali866264203COM197,956$3.18M1.8%−364−0.2%Reduced–
DGICADonegal Group IncCL A219,670$3.13M1.7%+9,500+4.5%AddedHistory
KNTKKinetik Holdings Inc.COM NEW CL A88,689$2.99M1.7%−284−0.3%ReducedHistory
COSTCostco Wholesale CorpStock5,210$2.94M1.6%−268−4.9%ReducedHistory
NAIINatural Alternatives International IncCOM NEW446,590$2.90M1.6%−12,954−2.8%ReducedHistory
PFEPfizer IncStock69,794$2.32M1.3%+364+0.5%AddedHistory
NENNew England Realty Associates Limited PartnershipDEPOSITRY RCPT33,639$2.24M1.2%−300−0.9%ReducedHistory
XOMExxonMobil Holdings CorpCOM17,166$2.02M1.1%−106−0.6%ReducedHistory
PPIHPerma-Pipe International Holdings, Inc.COM237,557$1.94M1.1%−500−0.2%ReducedHistory
iShares Core S&P 500 ETF464287200ETF4,381$1.88M1.0%+85+2.0%Added–
Vanguard Dividend Appreciation ETF921908844ETF11,911$1.85M1.0%+1,671+16.3%Added–
GOLDGold.com, Inc.COM62,202$1.82M1.0%−32,800−34.5%ReducedHistory
BSMBlack Stone Minerals, L.P.COM UNIT105,700$1.82M1.0%00.0%UnchangedHistory
PEPPepsiCo IncStock10,066$1.71M0.9%+10.0%AddedHistory
CMCTCreative Media & Community Trust CorpCOM NEW419,762$1.70M0.9%−7,000−1.6%ReducedHistory
INTGIntergroup CorpCOM55,601$1.70M0.9%−821−1.5%ReducedHistory
PKBKParke Bancorp, Inc.COM100,471$1.64M0.9%−1,032−1.0%ReducedHistory
IBMInternational Business Machines CorpStock11,280$1.58M0.9%−388−3.3%ReducedHistory
BCMLBayCom CorpCOM82,261$1.58M0.9%−1,029−1.2%ReducedHistory
KYNKayne Anderson Energy Infrastructure Fund, Inc.COM183,872$1.55M0.9%−1,454−0.8%ReducedHistory
CSWCSW Industrials, Inc.COM8,664$1.52M0.8%−500−5.5%ReducedHistory
CSCOCisco Systems, Inc.Stock28,106$1.51M0.8%−2,072−6.9%ReducedHistory
BANRBanner CorpCOM NEW34,687$1.47M0.8%−2,000−5.5%ReducedHistory
WLYJohn Wiley & Sons, Inc.CL A39,488$1.47M0.8%00.0%UnchangedHistory
MCIBarings Corporate InvestorsCOM87,614$1.40M0.8%00.0%UnchangedHistory
JPMJPMorgan Chase & CoStock9,243$1.34M0.7%−351−3.7%ReducedHistory
DITAmcon Distributing CoCOM NEW6,343$1.31M0.7%00.0%UnchangedHistory
UMHUmh Properties, Inc.COM93,021$1.30M0.7%00.0%UnchangedHistory
UNPUnion Pacific CorpStock6,158$1.25M0.7%−50−0.8%ReducedHistory
ARLAmerican Realty Investors IncCOM82,924$1.21M0.7%−1,000−1.2%ReducedHistory
INBKFirst Internet BancorpCOM74,258$1.20M0.7%00.0%UnchangedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF5,523$1.17M0.6%00.0%Unchanged–
PNBKPatriot National Bancorp IncCOM NEW151,001$1.12M0.6%00.0%UnchangedHistory
MODModine Manufacturing CoCOM24,172$1.11M0.6%00.0%UnchangedHistory
AXPAmerican Express CoStock7,352$1.10M0.6%00.0%UnchangedHistory
BABoeing CoStock5,642$1.08M0.6%−37−0.7%ReducedHistory
PIMCO Active Bond Exchange-Traded Fund72201R775ETF12,223$1.07M0.6%+1,905+18.5%Added–
NWLINational Western Life Group, Inc.CL A2,400$1.05M0.6%00.0%UnchangedHistory
HDHome Depot, Inc.Stock3,445$1.04M0.6%−157−4.4%ReducedHistory
INTCIntel CorpStock29,016$1.03M0.6%−264−0.9%ReducedHistory
CWBCCommunity West BancsharesCOM78,857$1.02M0.6%00.0%UnchangedHistory
METAMeta Platforms, Inc.Stock3,333$1.00M0.6%−10−0.3%ReducedHistory
MCDMcDonalds CorpStock3,767$992.4K0.5%−214−5.4%ReducedHistory
CSWCCapital Southwest CorpCOM43,228$989.9K0.5%00.0%UnchangedHistory
CPCanadian Pacific Kansas City LtdCOM13,250$985.9K0.5%00.0%UnchangedHistory
UNHUnitedHealth Group IncStock1,897$956.4K0.5%−1−0.1%ReducedHistory
ABBVAbbVie Inc.Stock6,305$939.9K0.5%+38+0.6%AddedHistory
Vanguard Morningstar Growth ETF922908736ETF3,447$938.6K0.5%+255+8.0%Added–
iShares Tr464287549EXPND TEC SC ETF2,444$934.0K0.5%00.0%Unchanged–
HONHoneywell International IncCOM5,017$926.8K0.5%00.0%UnchangedHistory
AXRAmrep Corp.COM54,872$923.1K0.5%00.0%UnchangedHistory
MRKMerck & Co., Inc.Stock8,934$919.8K0.5%−392−4.2%ReducedHistory
ENBEnbridge IncStock27,278$914.7K0.5%−1,643−5.7%ReducedHistory
ELSEElectro Sensors IncCOM223,581$874.2K0.5%+1,822+0.8%AddedHistory
State Street Energy Select Sector SPDR ETF81369Y506ETF9,412$850.8K0.5%−42−0.4%Reduced–
OMCCOld Market Capital CorpCOM NEW170,071$813.3K0.4%+9,375+5.8%AddedHistory
DHRDanaher CorpStock3,247$805.6K0.4%00.0%UnchangedHistory
MNTXManitex International, Inc.COM171,725$802.0K0.4%−2,000−1.2%ReducedHistory
VZVerizon Communications IncStock24,665$799.4K0.4%−1,810−6.8%ReducedHistory
JNJJohnson & JohnsonStock4,977$775.2K0.4%−401−7.5%ReducedHistory
SBUXStarbucks CorpStock8,253$753.2K0.4%−926−10.1%ReducedHistory
PGProcter & Gamble CoStock5,147$750.8K0.4%−19−0.4%ReducedHistory
GILDGilead Sciences, Inc.Stock9,934$744.4K0.4%−167−1.7%ReducedHistory
AIVApartment Investment & Management CoCL A104,700$712.0K0.4%00.0%UnchangedHistory
KEYSKeysight Technologies, Inc.Stock5,321$704.0K0.4%−360−6.3%ReducedHistory
PIMCO ETF Tr72201R718ENHNCD LW DUR AC7,312$685.4K0.4%+1,126+18.2%Added–
DLRDigital Realty Trust, Inc.COM5,623$680.5K0.4%+344+6.5%AddedHistory
ONBOld National BancorpStock46,492$676.0K0.4%−9,680−17.2%ReducedHistory
TAT&T Inc.Stock44,878$674.1K0.4%+5,112+12.9%AddedHistory
ORealty Income CorpREIT13,171$657.8K0.4%−1,687−11.4%ReducedHistory
LMTLockheed Martin CorpStock1,599$653.9K0.4%−17−1.1%ReducedHistory
BRK.BBerkshire Hathaway IncStock1,834$642.5K0.4%+14+0.8%AddedHistory
WLYBJohn Wiley & Sons, Inc.CL B17,104$639.3K0.4%00.0%UnchangedHistory
Vanguard Energy ETF92204A306ETF4,902$621.3K0.3%−500−9.3%Reduced–
MPVBarings Participation InvestorsSH BEN INT45,377$609.4K0.3%00.0%UnchangedHistory
CLXClorox CoStock4,640$608.1K0.3%+22+0.5%AddedHistory
SMBKSmartfinancial Inc.COM NEW28,431$607.6K0.3%00.0%UnchangedHistory
KOCoca Cola CoStock10,153$568.4K0.3%−940−8.5%ReducedHistory
DOWDow Inc.Stock10,965$565.3K0.3%−531−4.6%ReducedHistory
OKEONEOK IncCOM8,808$558.7K0.3%+4,896+125.2%AddedHistory
SENEASeneca Foods CorpCL A10,371$558.3K0.3%+10,050+3,130.8%AddedHistory
SSBKSouthern States Bancshares, Inc.COM24,494$553.3K0.3%00.0%UnchangedHistory
QCOMQualcomm IncStock4,916$546.0K0.3%+184+3.9%AddedHistory
DGDollar General CorpCOM5,155$545.4K0.3%+5,130+20,520.0%AddedHistory
AMGNAmgen IncStock2,018$542.4K0.3%−27−1.3%ReducedHistory
BACBank of America CorpStock19,759$541.0K0.3%−408−2.0%ReducedHistory
BRK.ABerkshire Hathaway IncCL A1$531.5K0.3%00.0%UnchangedHistory
DUKDuke Energy CORPStock5,812$513.0K0.3%+397+7.3%AddedHistory
BMRCBank of Marin BancorpCOM28,048$512.7K0.3%00.0%UnchangedHistory
WMBWilliams Companies, Inc.COM15,042$506.8K0.3%+381+2.6%AddedHistory
Vanguard Morningstar Value ETF922908744ETF3,593$495.6K0.3%+189+5.6%Added–
DVNDevon Energy CorpStock10,361$494.2K0.3%+200+2.0%AddedHistory
UPSUnited Parcel Service IncStock3,145$490.1K0.3%+72+2.3%AddedHistory
NRIMNorthrim Bancorp IncCOM12,367$490.0K0.3%00.0%UnchangedHistory

Sold out since Q2 2023 (17)

Positions held at the end of Q2 2023 that are gone from this filing.

Positions of Caldwell Sutter Capital, Inc. sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
NHSNeuberger High Yield Strategies Fund Inc.COM67,068$502.3K0.3%History
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP7,535$469.6K0.2%History
NEOGNeogen CorpCOM6,030$131.2K0.1%History
SICPSilvergate Capital CorpCL A125,000$87.5K<0.1%History
GDVGabelli Dividend & Income TrustCOM900$19.0K<0.1%History
PKEPark Aerospace CorpCOM330$4.55K<0.1%History
NODKNI Holdings, Inc.COM250$3.71K<0.1%History
GLGlobe Life Inc.COM30$3.29K<0.1%History
HBIHanesbrands Inc.COM660$3.00K<0.1%History
WWEWorld Wrestling Entertainment, LLCCL A25$2.71K<0.1%History
UNAMUnico American CorpCOM21,709$2.66K<0.1%History
WTRGEssential Utilities, Inc.COM50$2.00K<0.1%History
FRBKRepublic First Bancorp IncCOM1,441$1.30K<0.1%History
SYNHSyneos Health, Inc.CL A27$1.14K<0.1%History
GGZGabelli Global Small & Mid Cap Value TrustCOM90$1.08K<0.1%History
ARNCArconic CorpCOM18$532<0.1%History
Tata MTRS Ltd876568502SPONSORED ADR100$00.0%–