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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
BFX
2851
DELISTED
BowFlex Inc.
BFX
$98K ﹤0.01%
13,525
+355
+3% +$2.73K
HTBK
2852
DELISTED
Heritage Commerce
HTBK
$97K ﹤0.01%
12,677
+290
+2% +$2.1K
TREC
2853
DELISTED
Trecora Resources
TREC
$97K ﹤0.01%
+10,618
New +$91.8K
SNBC
2854
DELISTED
Sun Bancorp Inc
SNBC
$96K ﹤0.01%
4,986
-50
-1% -$891
UEC icon
2855
Uranium Energy
UEC
$5.32B
$95K ﹤0.01%
41,870
+2,373
+6% +$5.44K
ENT
2856
DELISTED
Global Eagle Entertainment Inc.
ENT
$94K ﹤0.01%
+403
New +$100K
ASG
2857
Liberty All-Star Growth Fund
ASG
$339M
$92K ﹤0.01%
18,641
– –
LGTY
2858
DELISTED
Logility Supply Chain Solutions, Inc. Common Stock
LGTY
$92K ﹤0.01%
10,791
+437
+4% +$3.73K
HCKT icon
2859
Hackett Group
HCKT
$280M
$90K ﹤0.01%
12,576
+660
+6% +$4.01K
CDMO
2860
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
$90K ﹤0.01%
9,123
+1,210
+15% +$12K
FST
2861
DELISTED
FOREST OIL CORPORATION
FST
$89K ﹤0.01%
14,613
+1,670
+13% +$8.95K
UVE icon
2862
Universal Insurance Holdings
UVE
$1.25B
$87K ﹤0.01%
12,318
-676
-5% -$5.22K
PRGX
2863
DELISTED
PRGX Global, Inc.
PRGX
$87K ﹤0.01%
13,893
+242
+2% +$1.47K
DNDN
2864
DELISTED
DENDREON CORPORATION
DNDN
$87K ﹤0.01%
29,806
+16,882
+131% +$62.5K
EQU
2865
DELISTED
EQUAL ENERGY LTD COM
EQU
$87K ﹤0.01%
+18,429
New +$81.9K
FBIO icon
2866
Fortress Biotech
FBIO
$92M
$86K ﹤0.01%
818
+98
+14% +$12K
GTI
2867
DELISTED
GRAFTECH INTERNATIONAL LTD
GTI
$86K ﹤0.01%
10,183
-13,308
-57% -$103K
FCH
2868
DELISTED
Felcor Lodging Trust
FCH
$86K ﹤0.01%
13,954
-449
-3% -$2.69K
DWSN icon
2869
Dawson Geophysical
DWSN
$148M
$84K ﹤0.01%
+3,743
New +$91K
SBCF icon
2870
Seacoast Banking Corp of Florida
SBCF
$3.34B
$84K ﹤0.01%
7,810
-164
-2% -$1.81K
NBBC
2871
DELISTED
NEWBRIDGE BANCORP CLASS A COM STK (NC)
NBBC
$84K ﹤0.01%
+11,455
New +$86.3K
CYTK icon
2872
Cytokinetics
CYTK
$11B
$83K ﹤0.01%
+10,942
New +$117K
MOFG
2873
DELISTED
MidWestOne Financial Group
MOFG
$83K ﹤0.01%
+3,249
New +$83.4K
PARA
2874
PUT
DELISTED
Paramount Global Class B
PARA
$83K ﹤0.01%
+1,500
New +$79.8K
HSA
2875
DELISTED
HELIOS STRATEGIC INCOME FD, INC
HSA
$83K ﹤0.01%
13,049
– –
113 114
115
116 117

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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
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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.