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GC

Guggenheim Capital Portfolio holdings

AUM $12.9B
1-Year Est. Return 27.3%
This Fund
S&P 500
This Quarter Est. Return
+7.55%
1 Year Est. Return
+27.3%
3 Year Est. Return
+83.37%
5 Year Est. Return
+104.66%
10 Year Est. Return
+386.48%
AUM
$27.9B
AUM Growth
+$4.08B
Cap. Flow
+$2.62B
Cap. Flow %
9.39%
Top 10 Hldgs %
6.03%
Holding
3,311
New
278
Increased
1,671
Reduced
1,018
Closed
254

Top Buys

Rank Stock Value
1
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$123M
2
TFCFA
Twenty-First Century Fox, Inc. Class A
TFCFA
+$39.9M
3
BSJF
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
+$36.6M
4
BMR
BIOMED REALTY TRUST INC
BMR
+$35.6M
5
ARE icon
Alexandria Real Estate Equities
ARE
+$34.5M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$111M
2
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$60.8M
3
GDP
GOODRICH PETROLEUM CORP(NEW)
GDP
+$49.7M
4
MDR
McDermott International
MDR
+$37.4M
5
ORCL icon
Oracle
ORCL
+$33.1M

Sector Composition

Rank Sector Weight
1 Financials 11.11%
2 Industrials 10.08%
3 Technology 9.94%
4 Healthcare 9.76%
5 Consumer Discretionary 9.43%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DEST
2501
DELISTED
Destination Maternity Corporation
DEST
$427K ﹤0.01%
+13,443
New +$393K
ANFI
2502
DELISTED
AMIRA NATURE FOODS LTD
ANFI
$426K ﹤0.01%
+32,886
New +$303K
LGF
2503
DELISTED
Lions Gate Entertainment
LGF
$426K ﹤0.01%
+12,142
New +$412K
IWR icon
2504
iShares Russell Mid-Cap ETF
IWR
$57.3B
$424K ﹤0.01%
12,200
-9,240
-43% -$316K
DSU icon
2505
BlackRock Debt Strategies Fund
DSU
$596M
$422K ﹤0.01%
35,040
-26,102
-43% -$314K
CROX icon
2506
Crocs
CROX
$6.62B
$421K ﹤0.01%
30,940
+9,362
+43% +$136K
ARQL
2507
DELISTED
Arqule Inc
ARQL
$419K ﹤0.01%
179,873
+27,503
+18% +$69.1K
PSEM
2508
DELISTED
PERICOM SEMICONDUCTOR CP
PSEM
$419K ﹤0.01%
53,719
+4,353
+9% +$32.5K
CVE icon
2509
Cenovus Energy
CVE
$52.2B
$417K ﹤0.01%
13,958
-234,361
-94% -$6.93M
MSD
2510
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
$417K ﹤0.01%
41,741
-10,554
-20% -$105K
COLB icon
2511
Columbia Banking Systems
COLB
$8.84B
$414K ﹤0.01%
16,787
+3,012
+22% +$73.9K
CBEY
2512
DELISTED
CBEYOND INC COM STK
CBEY
$413K ﹤0.01%
64,357
+6,295
+11% +$45.5K
APEI icon
2513
American Public Education
APEI
$961M
$408K ﹤0.01%
10,787
+1,498
+16% +$59K
LYG icon
2514
Lloyds Banking Group
LYG
$91.3B
$407K ﹤0.01%
+84,605
New +$381K
DFT
2515
DELISTED
DuPont Fabros Technology Inc.
DFT
$405K ﹤0.01%
15,729
-56,895
-78% -$1.35M
SIG icon
2516
Signet Jewelers
SIG
$3.69B
$404K ﹤0.01%
5,640
+1,577
+39% +$112K
DNKN
2517
DELISTED
Dunkin' Brands Group, Inc.
DNKN
$404K ﹤0.01%
8,934
-4,634
-34% -$203K
TY icon
2518
TRI-Continental Corp
TY
$1.9B
$403K ﹤0.01%
21,974
-2,066
-9% -$38.1K
CONN
2519
DELISTED
Conn's Inc.
CONN
$403K ﹤0.01%
8,047
-2,950
-27% -$175K
SPLK
2520
DELISTED
Splunk Inc
SPLK
$402K ﹤0.01%
6,698
+2,196
+49% +$117K
GDP
2521
DELISTED
GOODRICH PETROLEUM CORP(NEW)
GDP
$401K ﹤0.01%
16,518
-2,468,441
-99% -$49.7M
BCA
2522
DELISTED
CORPBANCA SPONSORED ADR REPSTG (1-1,500)COM STK
BCA
$400K ﹤0.01%
25,048
-8,416
-25% -$131K
AXIA
2523
AXIA Energia
AXIA
$23.3B
$399K ﹤0.01%
178,743
-13,494
-7% -$24.3K
IBA
2524
DELISTED
Industrias Bachoco SAB De C.V.
IBA
$399K ﹤0.01%
+10,109
New +$403K
BKK
2525
DELISTED
Blackrock Municipal 2020 Term Trust
BKK
$399K ﹤0.01%
24,500
-453
-2% -$7.32K
99 100
101
102 103

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TRSOTSOK
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AIM
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Fundsmith LLP
Fundsmith LLP London, United Kingdom $12.8B AUM 6.9% 1-Year Est. Return
CII
Capital International Inc Los Angeles, California $13B AUM 31.88% 1-Year Est. Return
AAMU
APG Asset Management US New York $13B AUM 5.3% 1-Year Est. Return
WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
Aptus Capital Advisors Fairhope, Alabama $12.7B AUM 17.41% 1-Year Est. Return
ZIG
Zurich Insurance Group Zurich, Switzerland $12.7B AUM 53.57% 1-Year Est. Return

Guggenheim Capital's Q3 2013 Portfolio in Review

As of Q3 2013, Guggenheim Capital held 3,311 positions worth $27.9B, up 17% from $23.8B the previous quarter. Its ten largest holdings account for 6% of the portfolio.

Guggenheim Capital deployed $2.62B of net new capital in Q3 2013, opening 278 new positions and adding to 1,671 existing holdings. Its largest new stake was State Street SPDR Dow Jones Industrial Average ETF Trust: 806,700 shares worth $122M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was Invesco QQQ Trust, an estimated $111M trimmed.

  • Guggenheim Capital's largest Q3 2013 buy was State Street SPDR Dow Jones Industrial Average ETF Trust: 806,700 shares worth $122M.
  • Guggenheim Capital added most to GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF in Q3 2013, an estimated $36.6M increase.
  • Guggenheim Capital's biggest Q3 2013 reduction was Invesco QQQ Trust, cutting an estimated $111M.
  • Guggenheim Capital fully exited PIMCO Enhanced Short Maturity Active Exchange-Traded Fund in Q3 2013, selling an estimated $60.8M.
  • Guggenheim Capital's ten largest holdings make up 6% of its $27.9B portfolio in Q3 2013.
  • Guggenheim Capital opened 278 new positions and closed 254 in Q3 2013.
  • Guggenheim Capital's portfolio value rose 17% quarter-over-quarter to $27.9B.

Based on Guggenheim Capital's 13F filing for Q3 2013, filed 14 Nov 2013.