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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
GTN icon
2776
Gray Television
GTN
$440M
$153K ﹤0.01%
19,393
+2,263
+13% +$17K
RUTH
2777
DELISTED
Ruth's Hospitality Group, Inc.
RUTH
$153K ﹤0.01%
12,889
-661
-5% -$8.1K
BNCN
2778
DELISTED
BNC Bancorp
BNCN
$152K ﹤0.01%
+11,350
New +$152K
SB icon
2779
Safe Bulkers
SB
$781M
$151K ﹤0.01%
22,145
-4,022
-15% -$23.7K
VXX
2780
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
$150K ﹤0.01%
159
-232
-59% -$233K
AMD icon
2781
Advanced Micro Devices
AMD
$799B
$149K ﹤0.01%
39,111
-2,899,892
-99% -$11M
NSLR
2782
Neostellar Capital Corp
NSLR
$255M
$149K ﹤0.01%
+15,543
New +$113K
FRP
2783
DELISTED
Fairpoint Communications, Inc.
FRP
$149K ﹤0.01%
15,515
+5,127
+49% +$47K
CALD
2784
DELISTED
Callidus Software, Inc.
CALD
$148K ﹤0.01%
16,143
+194
+1% +$1.47K
PFD
2785
Flaherty & Crumrine Preferred and Income Fund
PFD
$146M
$147K ﹤0.01%
11,833
-208
-2% -$2.67K
XLU icon
2786
State Street Utilities Select Sector SPDR ETF
XLU
$22.4B
$147K ﹤0.01%
7,866
-504
-6% -$9.6K
DAKT icon
2787
Daktronics
DAKT
$1.05B
$145K ﹤0.01%
12,995
-2,806
-18% -$31K
IMMR icon
2788
Immersion
IMMR
$246M
$145K ﹤0.01%
10,970
+270
+3% +$3.7K
CLAR icon
2789
Clarus
CLAR
$130M
$144K ﹤0.01%
11,883
+366
+3% +$3.89K
XCO
2790
DELISTED
Exco Resources
XCO
$142K ﹤0.01%
1,423
-3,497
-71% -$402K
NIHD
2791
DELISTED
NII HOLDINGS INC CL B
NIHD
$142K ﹤0.01%
23,427
-147,168
-86% -$993K
NXP icon
2792
Nuveen Select Tax-Free Income Portfolio
NXP
$895M
$141K ﹤0.01%
+10,782
New +$139K
BKCC
2793
DELISTED
BlackRock Capital Investment Corporation
BKCC
$141K ﹤0.01%
+14,818
New +$146K
AVX
2794
DELISTED
AVX Corporation
AVX
$141K ﹤0.01%
10,757
-362
-3% -$4.7K
ANAC
2795
DELISTED
ANACOR PHARMACEUTICALS INC COM
ANAC
$141K ﹤0.01%
13,315
+1,498
+13% +$13.1K
HDV
2796
iShares Core High Dividend ETF
HDV
$14.8B
$140K ﹤0.01%
10,560
-8,520
-45% -$115K
CSFL
2797
DELISTED
CenterState Bank Corporation Common Stock
CSFL
$140K ﹤0.01%
14,470
+265
+2% +$2.56K
EWT icon
2798
iShares MSCI Taiwan ETF
EWT
$10.6B
$138K ﹤0.01%
+4,950
New +$135K
PMCS
2799
DELISTED
P M C SIERRA INC
PMCS
$138K ﹤0.01%
20,821
-37,311
-64% -$244K
ISSI
2800
DELISTED
INTEGRATED SILICON SOLUTN INC
ISSI
$138K ﹤0.01%
12,678
+248
+2% +$2.73K
110 111
112
113 114

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TRSOTSOK
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AIM
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Fundsmith LLP
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CII
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AAMU
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WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
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ZIG
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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.