Entity type
Company
Filer Snapshot
CALDWELL SUTTER CAPITAL, INC.
CIK 0000702007. SEC filing timeline plus parsed ownership intelligence from 13F, 13D/G, and Forms 3/4/5 where available.
Total filings
17
Latest filing
06 May 2026
Industry
n/a
Filing-backed research brief
Start with the SEC data that changes for this CIK
Latest signal: 13F-HR for Q1 2026. Each card links back to the PortfolioSavvy page where the filing evidence is closest.
Latest 13F portfolio
$245.9M
890 holdings for Q1 2026
Open portfolioLargest parsed holding
AAPL
$11.82M reported value
Open holding13D/G large stake
NAII
31 Dec 2024 · 7.8% ownership
Open 13D/GInsider / owner context
—
No parsed Forms 3/4/5 owner position for this CIK.
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Source: SEC Form 13F
View source filing
13F-HR filed on 06 May 2026 for CIK 0000702007.
- Parsed SEC ownership signals
-
Parsed SEC ownership coverage
These bars compare filing-backed value available in each disclosure family. Read them as separate lenses, not as one combined ownership total.
13F portfolio$245.9MQuarterly institutional holdings reported on Form 13F; not total AUM.
Latest reported 13F value
13F$245.9MReported market value from the latest parsed Form 13F information table; this is not total assets under management.
Source: SEC Form 13FScope: U.S.-listed equity holdingsLargest 13F holdings
13FAAPL PPIH CAT KNTK PLBC+15 more
MSA SSBI SGOV V DGICA CVX BRKB IVV VIG SENEA COST MOD MSFT JPM PKBKLargest symbols in the latest parsed Form 13F information table.
Freshness: Latest parsed 13F periodLargest 13F holdings
Largest symbols in the latest parsed Form 13F information table.
AAPL PPIH CAT KNTK PLBC MSA SSBI SGOV+12 more
V DGICA CVX BRKB IVV VIG SENEA COST MOD MSFT JPM PKBKLargest active 13G stakes
Passive or institutional large-stake positions disclosed in parsed Schedule 13G filings.
CRMZ NAII ELSEHow to read these SEC ownership signals
- Read each filing family separately: Form 13F, Schedules 13D/G, and Forms 3/4/5 answer different SEC disclosure questions and should not be blended into one ownership total.
- Use 13F values for visible U.S.-listed equity portfolios, 13D/G rows for large beneficial-owner stakes, and Forms 3/4/5 rows for reporting-owner positions and transactions.
- Open the linked research path when you need the filing, CIK, issuer, CUSIP, date, or source trail behind a value.
- Business address
- 30 Liberty Ship Way #3225, Sausalito, CA, 94965-3324
- Incorporated in
- CA
- Fiscal year end
- 30 September
- Former names on EDGAR
- CALDWELL SECURITIES, INC (to 13 Jul 2017), CALDWELL SECURITIES, INCORPORATED (to 01 Dec 2009), CALDWELL SECURITIES INC /BD (to 04 Dec 2003)
Ownership signals
CIK-linked ownership evidence from parsed SEC filings.
1 signal
At a glance
Names, identifiers, and filing context for this profile.
1 identity field
EDGAR profile Static EDGAR fields kept behind disclosure so the main profile stays readable. 3 profile fields available
Filer intelligence
What SEC filings say about CALDWELL SUTTER CAPITAL, INC.
A compact read of parsed XML filings. 13F, 13D/G, and Forms 3/4/5 are shown separately because they answer different ownership questions.
Quick read
- Latest parsed 13F shows $245.9M across 890 reported holdings for Q1 2026.
- Largest parsed 13F holding: AAPL at $11.82M.
- 3 recent 13D/G stake rows found; top row is NAII at 7.8% ownership.
SEC source mix
Counts show available parsed rows, not one combined ownership total.
Top parsed 13F holdings
Visual share of the latest parsed 13F portfolio. Values are reported market value, not a recommendation.
Top 5 concentration
14%
Share of latest parsed 13F value represented by the visible holdings below.
Top 5 reported value
$35.53M
Compared with $245.9M total 13F value.
Top 5 net change
+$1.38M
Position-value change inside the visible top holdings only.
13F concentration map
A simple visual split of the latest parsed 13F portfolio.
Largest add: KNTK · Largest trim: MOD
AAPL
PPIH
CAT
KNTK
PLBC
Other holdings
13D/G large-stake context
NAII
31 Dec 2024 · Common Stock, $0.01 par value per share
ELSE
31 Dec 2024 · Common Stock, $0.10 par value per share
CRMZ
31 Dec 2024 · Common Stock, $0.01 par value per share
Latest update
What changed recently for CALDWELL SUTTER CAPITAL, INC.
Latest 13F period: Q1 2026. Open the source-backed page to inspect the fresh filing or facts context.
Update date
06 May 2026
Page type
Filer profile
Latest period
Q1 2026
Institutional portfolio context was refreshed from a 13F filing filed on 06 May 2026.
Benchmark Context
Benchmark context for this company
CALDWELL SUTTER CAPITAL, INC. has a source-backed company facts view where you can compare the latest reported metrics with its own recent history and with peer rankings for the same metric.
Compared with
Start on the facts page for period-to-period context, then open a metric ranking when you want to compare the same reported fact across other SEC-reporting companies.
Why this is notable
Latest 13F period: Q1 2026. That gives you a fresh baseline before you compare this company with peers.
- Peer comparisons stay conservative: same metric, compatible units, latest valid company row only.
- Open the facts page first if you want the cleanest path to verification.
Benchmark context is only shown where the app has enough comparable SEC-backed data to keep the interpretation honest.
SEC filing record
CIK 0000702007 filing coverage
Start with this filing record, then use the linked ownership pages when parsed 13F, 13D/G, Forms 3/4/5, or facts data exists for this CIK.
SEC filings
17
First seen
10 Feb 2023
Latest filing
06 May 2026
Entity
Company
Observed form types
13F-HR
SCHEDULE 13G/A
Latest Filings
Showing the latest 12 of 17 SEC filings for CALDWELL SUTTER CAPITAL, INC..
13F-HR
13F-HR filing
- Filing date
- 06 May 2026
- Reporting date
- 31 Mar 2026
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
13F-HR
13F-HR filing
- Filing date
- 30 Jan 2026
- Reporting date
- 31 Dec 2025
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
13F-HR
13F-HR filing
- Filing date
- 29 Oct 2025
- Reporting date
- 30 Sep 2025
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
13F-HR
13F-HR filing
- Filing date
- 11 Jul 2025
- Reporting date
- 30 Jun 2025
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
13F-HR
13F-HR filing
- Filing date
- 16 Apr 2025
- Reporting date
- 31 Mar 2025
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
SCHEDULE 13G/A
SCHEDULE 13G/A filing
- Filing date
- 11 Feb 2025
- Reporting date
- Not listed
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
SCHEDULE 13G/A
SCHEDULE 13G/A filing
- Filing date
- 11 Feb 2025
- Reporting date
- Not listed
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
SCHEDULE 13G/A
SCHEDULE 13G/A filing
- Filing date
- 11 Feb 2025
- Reporting date
- Not listed
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
13F-HR
13F-HR filing
- Filing date
- 21 Jan 2025
- Reporting date
- 31 Dec 2024
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
13F-HR
13F-HR filing
- Filing date
- 25 Oct 2024
- Reporting date
- 30 Sep 2024
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
13F-HR
13F-HR filing
- Filing date
- 23 Jul 2024
- Reporting date
- 30 Jun 2024
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing
13F-HR
13F-HR filing
- Filing date
- 19 Apr 2024
- Reporting date
- 31 Mar 2024
- SEC evidence
- Open document Open filing
- Next action
- Verify source filing