CALDWELL SUTTER CAPITAL, INC. SEC EDGAR Filings (CIK 0000702007)

SEC EDGAR filings, ownership reports, and insider transactions for CALDWELL SUTTER CAPITAL, INC..

Business address
30 Liberty Ship Way #3225, Sausalito, CA, 94965-3324
Top securities (13F)
AAPL, PPIH, MSA, CAT, PLBC, V, DGICA, SSBI, MSFT, IVV, BRKB, VIG, JPM, SGOV, AXP, KNTK, COST, CVX, IBM, and BCML
Top holdings (Schedule 13G)
CRMZ, NAII, and ELSE
State of incorporation
CA
Fiscal year end
30 September
Former names
CALDWELL SECURITIES, INC (to 13 Jul 2017), CALDWELL SECURITIES, INCORPORATED (to 01 Dec 2009), CALDWELL SECURITIES INC /BD (to 04 Dec 2003)
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CALDWELL SUTTER CAPITAL, INC. has filed 76 SEC EDGAR filings since 02 Dec 2002

Latest Filings

Recent SEC filings for CALDWELL SUTTER CAPITAL, INC. including 13F-HR, X-17A-5, N-PX and more.

Form type Document Filing Description Filing date Reporting date File number(s)
13F-HR Open 13F-HR document View SEC filing for 13F-HR 30 Jan 2026 31 Dec 2025 028-22901
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 29 Dec 2025 30 Sep 2025 008-27639
13F-HR Open 13F-HR document View SEC filing for 13F-HR 29 Oct 2025 30 Sep 2025 028-22901
N-PX Open N-PX document View SEC filing for N-PX 07 Aug 2025 30 Jun 2025 028-22901
N-PX Open N-PX document View SEC filing for N-PX 07 Aug 2025 30 Jun 2024 028-22901
13F-HR Open 13F-HR document View SEC filing for 13F-HR 11 Jul 2025 30 Jun 2025 028-22901
MA-W Open MA-W document View SEC filing for MA-W 28 May 2025 867-02278
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 27 May 2025 868-05328
D/A Open D/A document View SEC filing for D/A 02 May 2025 021-543519
13F-HR Open 13F-HR document View SEC filing for 13F-HR 16 Apr 2025 31 Mar 2025 028-22901
D Open D document View SEC filing for D 11 Apr 2025 021-543519
SCHEDULE 13G/A Open SCHEDULE 13G/A document View SEC filing for SCHEDULE 13G/A 11 Feb 2025
SCHEDULE 13G/A Open SCHEDULE 13G/A document View SEC filing for SCHEDULE 13G/A 11 Feb 2025
SCHEDULE 13G/A Open SCHEDULE 13G/A document View SEC filing for SCHEDULE 13G/A 11 Feb 2025
13F-HR Open 13F-HR document View SEC filing for 13F-HR 21 Jan 2025 31 Dec 2024 028-22901
MA-A Open MA-A document View SEC filing for MA-A 27 Dec 2024 30 Sep 2024 867-02278
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 20 Dec 2024 30 Sep 2024 008-27639
13F-HR Open 13F-HR document View SEC filing for 13F-HR 25 Oct 2024 30 Sep 2024 028-22901
MA-I Open MA-I document View SEC filing for MA-I 04 Sep 2024 868-05328
SC 13G Open SC 13G document View SEC filing for SC 13G SCHEDULE 13G 08 Aug 2024
13F-HR Open 13F-HR document View SEC filing for 13F-HR 23 Jul 2024 30 Jun 2024 028-22901
13F-HR Open 13F-HR document View SEC filing for 13F-HR 19 Apr 2024 31 Mar 2024 028-22901
SC 13G/A Open SC 13G/A document View SEC filing for SC 13G/A SCHEDULE 13G/A 05 Feb 2024
SC 13G/A Open SC 13G/A document View SEC filing for SC 13G/A SCHEDULE 13G/A 05 Feb 2024
13F-HR Open 13F-HR document View SEC filing for 13F-HR 19 Jan 2024 31 Dec 2023 028-22901
MA-A Open MA-A document View SEC filing for MA-A 29 Dec 2023 30 Sep 2023 867-02278
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 21 Dec 2023 30 Sep 2023 008-27639
13F-HR Open 13F-HR document View SEC filing for 13F-HR 25 Oct 2023 30 Sep 2023 028-22901
13F-HR Open 13F-HR document View SEC filing for 13F-HR 19 Jul 2023 30 Jun 2023 028-22901
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 27 Apr 2023 868-05328
MA-I Open MA-I document View SEC filing for MA-I 26 Apr 2023 868-05328
13F-HR Open 13F-HR document View SEC filing for 13F-HR 25 Apr 2023 31 Mar 2023 028-22901
MA-A Open MA-A document View SEC filing for MA-A 20 Apr 2023 30 Sep 2018 867-02278
MA-A Open MA-A document View SEC filing for MA-A 20 Apr 2023 30 Sep 2017 867-02278
SC 13G Open SC 13G document View SEC filing for SC 13G SCHEDULE 13G 10 Feb 2023
SC 13G Open SC 13G document View SEC filing for SC 13G SCHEDULE 13G 10 Feb 2023
13F-HR Open 13F-HR document View SEC filing for 13F-HR 10 Feb 2023 31 Dec 2022 028-22901
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 10 Feb 2023 868-05328
MA-A Open MA-A document View SEC filing for MA-A 28 Dec 2022 30 Sep 2022 867-02278
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 13 Dec 2022 868-05328
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 28 Nov 2022 30 Sep 2022 008-27639
MA-A Open MA-A document View SEC filing for MA-A 22 Dec 2021 30 Sep 2021 867-02278
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 24 Nov 2021 30 Sep 2021 008-27639
MA-I Open MA-I document View SEC filing for MA-I 07 Sep 2021 868-05328
MA-A Open MA-A document View SEC filing for MA-A 28 Dec 2020 30 Sep 2020 867-02278
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 27 Nov 2020 30 Sep 2020 008-27639
MA-A Open MA-A document View SEC filing for MA-A 28 Jan 2020 30 Sep 2019 867-02278
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 27 Nov 2019 30 Sep 2019 008-27639
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 12 Dec 2018 30 Sep 2018 008-27639
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 20 Dec 2017 30 Sep 2017 008-27639
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 13 Dec 2017 30 Sep 2017 008-27639
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 27 Oct 2017 868-05328
MA-I Open MA-I document View SEC filing for MA-I 16 Aug 2017 868-05328
MA Open MA document View SEC filing for MA 08 Aug 2017 867-02278
D Open D document View SEC filing for D 13 Jul 2017 021-290582
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 29 Nov 2016 30 Sep 2016 008-27639
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 29 Nov 2016 30 Sep 2016 008-27639
SC 13D Open SC 13D document View SEC filing for SC 13D 22 Jun 2016
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 15 Dec 2015 30 Sep 2015 008-27639
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 15 Dec 2015 30 Sep 2015 008-27639
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 28 Nov 2014 30 Sep 2014 008-27639
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 28 Nov 2014 30 Sep 2014 008-27639
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 02 Dec 2013 30 Sep 2013 008-27639
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 02 Dec 2013 30 Sep 2013 008-27639
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 27 Nov 2012 30 Sep 2012 008-27639
X-17A-5/A Open X-17A-5/A document View SEC filing for X-17A-5/A AUTO-GENERATED PAPER DOCUMENT 29 Nov 2011 30 Sep 2011 008-27639
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 29 Nov 2011 30 Sep 2011 008-27639
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 01 Dec 2010 30 Sep 2010 008-27639

About this filer

CALDWELL SUTTER CAPITAL, INC. files with the SEC under CIK 0000702007. This page aggregates EDGAR filings and related ownership activity.

FAQ

What is a CIK?
A Central Index Key (CIK) is a unique identifier assigned by the SEC to each filer.
Why are some filings missing?
New filings appear as the SEC updates EDGAR, and older records can vary by availability.
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Updates follow new EDGAR submissions and periodic data refreshes.

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