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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
EPL
2601
DELISTED
EPL OIL & GAS, INC COMMON STK
EPL
$304K ﹤0.01%
8,172
-9,133
-53% -$305K
MUA icon
2602
BlackRock MuniAssets Fund
MUA
$516M
$302K ﹤0.01%
25,341
-10,917
-30% -$130K
PEB icon
2603
Pebblebrook Hotel Trust
PEB
$2.08B
$302K ﹤0.01%
10,538
-2,182
-17% -$59.6K
DK icon
2604
Delek US
DK
$3.59B
$301K ﹤0.01%
14,278
-41,691
-74% -$1.1M
ARUN
2605
DELISTED
ARUBA NETWORKS, INC.
ARUN
$300K ﹤0.01%
18,055
+893
+5% +$15.6K
ANGI icon
2606
Angi Inc
ANGI
$201M
$298K ﹤0.01%
1,328
-3,074
-70% -$715K
GTLS
2607
DELISTED
Chart Industries
GTLS
$298K ﹤0.01%
2,425
-1,406
-37% -$158K
CRTX
2608
DELISTED
CORNERSTONE THERAPEUTICS INC
CRTX
$298K ﹤0.01%
+31,683
New +$286K
NMFC icon
2609
New Mountain Finance
NMFC
$723M
$294K ﹤0.01%
+20,345
New +$296K
MGF
2610
Aberdeen Government Markets Income Fund
MGF
$92.2M
$293K ﹤0.01%
51,597
-31,386
-38% -$179K
PHX
2611
DELISTED
PHX Minerals
PHX
$293K ﹤0.01%
20,722
+2,252
+12% +$33.8K
MCP
2612
DELISTED
MOLYCORP INC COM STK
MCP
$292K ﹤0.01%
44,568
-88,463
-66% -$595K
GEQ
2613
DELISTED
Gugnheim Eql Wght Enh Eqty In Fd
GEQ
$292K ﹤0.01%
+16,800
New +$301K
PACT
2614
DELISTED
PACTERA TECHNOLOGY INTL LTD SPONSORED ADR
PACT
$289K ﹤0.01%
49,000
-4,935
-9% -$32.8K
PATK icon
2615
Patrick Industries
PATK
$2.87B
$288K ﹤0.01%
+32,309
New +$245K
I
2616
DELISTED
INTELSAT S. A.
I
$287K ﹤0.01%
+11,971
New +$275K
HEI icon
2617
HEICO Corp
HEI
$50.8B
$286K ﹤0.01%
12,888
+525
+4% +$10.3K
ENS icon
2618
EnerSys
ENS
$6.83B
$285K ﹤0.01%
+4,695
New +$252K
JAKK icon
2619
Jakks Pacific
JAKK
$292M
$285K ﹤0.01%
6,342
+572
+10% +$37.1K
MIE
2620
DELISTED
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
$285K ﹤0.01%
+16,569
New +$311K
EWG icon
2621
iShares MSCI Germany ETF
EWG
$1.61B
$284K ﹤0.01%
10,200
-27,000
-73% -$714K
RPAI
2622
DELISTED
RETAIL PROPERTIES OF AMERICA, INC.
RPAI
$284K ﹤0.01%
20,658
-10,356
-33% -$147K
RDA
2623
DELISTED
RDA MICROELECTRONICS INC SPONSORED ADR
RDA
$284K ﹤0.01%
18,605
-1,392
-7% -$16.6K
AKR icon
2624
Acadia Realty Trust
AKR
$2.84B
$283K ﹤0.01%
11,469
-380
-3% -$9.48K
KBH icon
2625
KB Home
KBH
$3.49B
$282K ﹤0.01%
15,644
+2,849
+22% +$49.9K
103 104
105
106 107

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TRSOTSOK
Teachers Retirement System of the State of Kentucky Frankfort, Kentucky $12.9B AUM 31.03% 1-Year Est. Return
AIM
ARK Investment Management St. Petersburg, Florida $12.9B AUM 64.92% 1-Year Est. Return
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.