CALDWELL SUTTER CAPITAL, INC.

CIK 0000702007 · Q1 2026

13F Equity AUM

$245.9M

+4.3% QoQ

Positions

868

+11 QoQ

AUM Rank

#6,605

Top 53%

Skill Alpha (FF)

-1.5%/yr^ns

No Clear Edge

Rank #4,446 · Top 54%

vs S&P -12.5%/yr (unadj.)

Quarters Tracked

~3 years

Portfolio Concentration

Top 5: 14.4%Top 10: 23.2%Top 20: 35.3%

AAPL4.8%

PPIH2.8%

CAT2.4%

KNTK2.3%

PLBC2.1%

MSA1.9%

SSBI1.9%

SGOV1.8%

V1.6%

DGICA1.5%

Others (858)76.8%

HHI (Herfindahl-Hirschman Index) measures portfolio concentration. Low (<1500) = diversified, Moderate (1500-2500), High (>2500) = concentrated bets.

Sector Allocation

Financial Services42.3%

Industrials12.4%

Technology11.1%

Energy7.4%

Consumer Defensive7.2%

Healthcare4.2%

Communication Services3.8%

Consumer Cyclical3.8%

Other7.8%

Portfolio weight by GICS sector based on latest 13F filing. Sectors below 2% are grouped as “Other.”

Position Sizing

Positions: 868Median: 0.01%Avg: 0.12%

0–0.5%

821(45.7%)

0.5–1%

27(19.0%)

1–3%

19(30.5%)

3–5%

1(4.8%)

5%+

0(0.0%)

Count of positions per weight bucket — (%) = combined portfolio weight

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Portfolio Overlap

Shared: 838Unique: 30vs 20 funds

11.4%Low

868

Fund positions

7,299

Consensus CUSIPs

Jaccard similarity of this fund’s portfolio vs the consensus of top 20 funds by AUM. Low (<15%) = contrarian, Moderate (15-40%), High (>40%) = follows the crowd.

Most Similar Funds

Top 9 benchmark funds with highest portfolio overlap (Jaccard similarity)

MORGAN STANLEY

15.4%

BANK OF AMERICA CORP /DE/

16.4%

14.9%

16.9%

21.1%

15.6%

VANGUARD CAPITAL MANAGEMENT LLC

15.3%

GEODE CAPITAL MANAGEMENT, LLC

14.9%

VANGUARD PORTFOLIO MANAGEMENT LLC

16.1%

Jaccard similarity per fund: shared CUSIPs / (fund A + fund B − shared). Higher values indicate more similar portfolios.

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Position Changes This Quarter

New40Increased170Decreased158Exited23

New Positions

EMBJ0.2%

+9K

MCBS0.1%

+6K

FSSL0.1%

+11K

—0.0%

+191K

U0.0%

+3K

SILJ0.0%

+1K

CEFS0.0%

+900

VZLA0.0%

+8K

ASM0.0%

+3K

DEM0.0%

+350

Increased

BRBS0.3%

+100K(+186%)

KNTK2.3%

+45K(+62%)

NAII0.5%

+37K(+8%)

BANX0.2%

+25K(+3608%)

SGOV1.8%

+16K(+55%)

CET0.5%

+9K(+60%)

EDR0.0%

+5K(+77%)

CAG0.0%

+3K(+63%)

8CW0.2%

+3K(+70%)

CPB0.1%

+3K(+23%)

Decreased

GOLD0.6%

-6,900(-16%)

MOD1.1%

-3,700(-22%)

MSA1.9%

-2,870(-9%)

TLT0.3%

-2,329(-22%)

WLY0.5%

-2,275(-7%)

SHO0.0%

-2,000(-28%)

AAPL4.8%

-1,927(-4%)

CSCO0.8%

-1,778(-6%)

STGW0.1%

-1,500(-3%)

F0.1%

-1,447(-7%)

Exited

-122,052

-6,000

-4,375

-325

-1,471

-1,218

-55

-40

-9

-10

Quarter-over-quarter changes compared to prior 13F filing. New = first appearance; Exited = no longer held.

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Holdings

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