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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
+9.08%
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
$32.9B
AUM Growth
+$5.06B
Cap. Flow
+$2.81B
Cap. Flow %
8.52%
Top 10 Hldgs %
5.63%
Holding
3,405
New
347
Increased
1,675
Reduced
1,120
Closed
228

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$67M
2
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$59M
3
HMHC
Houghton Mifflin Harcourt Company
HMHC
+$59M
4
GOOG icon
Alphabet (Google) Class C
GOOG
+$49.3M
5
QCOM icon
Qualcomm
QCOM
+$48.5M

Top Sells

Rank Stock Value
1
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$122M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$112M
3
WOLF icon
Wolfspeed
WOLF
+$47.2M
4
CHS
Chicos FAS, Inc.
CHS
+$45.3M
5
MFB
MAIDENFORM BRANDS, INC
MFB
+$40.7M

Sector Composition

Rank Sector Weight
1 Financials 11.55%
2 Industrials 10.81%
3 Technology 10.42%
4 Consumer Discretionary 9.8%
5 Healthcare 9.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LIOX
2851
DELISTED
Lionbridge Technologies
LIOX
$194K ﹤0.01%
+32,454
New +$163K
RMT
2852
Royce Micro-Cap Trust
RMT
$759M
$193K ﹤0.01%
15,287
– –
UVE icon
2853
Universal Insurance Holdings
UVE
$1.24B
$193K ﹤0.01%
13,341
+1,023
+8% +$9.83K
WIP icon
2854
State Street SPDR FTSE International Government Inflation-Protected Bond ETF
WIP
$475M
$192K ﹤0.01%
3,283
+2,293
+232% +$136K
PRKR
2855
DELISTED
Parkervision Inc
PRKR
$192K ﹤0.01%
4,235
+471
+13% +$18.2K
RBS.PRL.CL
2856
DELISTED
Royal Bank Of Scotland Group Plc
RBS.PRL.CL
$192K ﹤0.01%
+9,813
New +$194K
CERS icon
2857
Cerus
CERS
$486M
$191K ﹤0.01%
29,509
+1,323
+5% +$8.31K
INO icon
2858
Inovio Pharmaceuticals
INO
$67.1M
$191K ﹤0.01%
1,371
+81
+6% +$8.11K
RGT
2859
Royce Global Value Trust
RGT
$102M
$190K ﹤0.01%
+21,313
New +$185K
TXMD icon
2860
TherapeuticsMD
TXMD
$24.1M
$190K ﹤0.01%
728
+434
+148% +$95K
PACD
2861
DELISTED
Pacific Drilling S A
PACD
$190K ﹤0.01%
+1,659
New +$189K
SCS
2862
DELISTED
Steelcase
SCS
$187K ﹤0.01%
+11,821
New +$188K
FRP
2863
DELISTED
Fairpoint Communications, Inc.
FRP
$185K ﹤0.01%
16,356
+841
+5% +$7.96K
RMTI icon
2864
Rockwell Medical
RMTI
$29.2M
$184K ﹤0.01%
159
+2
+1% +$2.76K
FUR
2865
DELISTED
WINTHROP REALTY TRUST SHS BENE INT (NEW)
FUR
$182K ﹤0.01%
+16,403
New +$186K
STNG icon
2866
Scorpio Tankers
STNG
$3.78B
$181K ﹤0.01%
+1,532
New +$172K
MUA icon
2867
BlackRock MuniAssets Fund
MUA
$523M
$180K ﹤0.01%
15,594
-9,747
-38% -$114K
GFA
2868
DELISTED
Gafisa S.A.
GFA
$180K ﹤0.01%
4,258
-4,047
-49% -$163K
HW
2869
DELISTED
Headwaters Inc
HW
$179K ﹤0.01%
18,248
-51,894
-74% -$478K
HZNP
2870
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
$178K ﹤0.01%
23,356
-836
-3% -$4.51K
BGC icon
2871
BGC Group
BGC
$4.94B
$177K ﹤0.01%
45,375
-2,920
-6% -$10.6K
SCMP
2872
DELISTED
Sucampo Pharmaceuticals, Inc.
SCMP
$177K ﹤0.01%
+18,869
New +$135K
POWR
2873
DELISTED
POWERSECURE INTL INC COM STK (DE)
POWR
$177K ﹤0.01%
+10,328
New +$177K
SPAB icon
2874
State Street SPDR Portfolio Aggregate Bond ETF
SPAB
$9.77B
$176K ﹤0.01%
6,250
+254
+4% +$7.21K
IO
2875
DELISTED
ION Geophysical Corporation
IO
$176K ﹤0.01%
3,564
+1,405
+65% +$85.2K
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 Q4 2013 Portfolio in Review

As of Q4 2013, Guggenheim Capital held 3,405 positions worth $32.9B, up 18% from $27.9B the previous quarter. Its ten largest holdings account for 5.6% of the portfolio.

Guggenheim Capital deployed $2.81B of net new capital in Q4 2013, opening 347 new positions and adding to 1,675 existing holdings. Its largest new stake was Houghton Mifflin Harcourt Company: 3,489,206 shares worth $57.6M.

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

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $112M trimmed.

  • Guggenheim Capital's largest Q4 2013 buy was Houghton Mifflin Harcourt Company: 3,489,206 shares worth $57.6M.
  • Guggenheim Capital added most to iShares Russell 2000 ETF in Q4 2013, an estimated $67M increase.
  • Guggenheim Capital's biggest Q4 2013 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $112M.
  • Guggenheim Capital fully exited State Street SPDR Dow Jones Industrial Average ETF Trust in Q4 2013, selling an estimated $122M.
  • Guggenheim Capital's ten largest holdings make up 5.6% of its $32.9B portfolio in Q4 2013.
  • Guggenheim Capital opened 347 new positions and closed 228 in Q4 2013.
  • Guggenheim Capital's portfolio value rose 18% quarter-over-quarter to $32.9B.

Based on Guggenheim Capital's 13F filing for Q4 2013, filed 14 Feb 2014.