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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
ORBC
2876
DELISTED
ORBCOMM, Inc.
ORBC
$83K ﹤0.01%
15,613
-5,506
-26% -$26.7K
UCTT
2877
Ultra Clean Holdings
UCTT
$3.76B
$82K ﹤0.01%
11,889
-39
-0.3% -$260
AT
2878
DELISTED
Atlantic Power Corporation
AT
$82K ﹤0.01%
18,993
+4,143
+28% +$17.3K
HZNP
2879
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
$82K ﹤0.01%
24,192
+1,516
+7% +$4K
BDSI
2880
DELISTED
BioDelivery Sciences International, Inc.
BDSI
$82K ﹤0.01%
15,039
+843
+6% +$4.05K
EGY icon
2881
Vaalco Energy
EGY
$552M
$81K ﹤0.01%
+14,488
New +$85.4K
GSIT icon
2882
GSI Technology
GSIT
$254M
$81K ﹤0.01%
11,564
+608
+6% +$4.08K
GLUU
2883
DELISTED
Glu Mobile Inc.
GLUU
$81K ﹤0.01%
29,216
+1,964
+7% +$4.89K
STSI
2884
DELISTED
STAR SCIENTIFIC INC
STSI
$81K ﹤0.01%
42,607
+8,798
+26% +$16.7K
TPGI
2885
DELISTED
THOMAS PROPERTIES GROUP INC
TPGI
$81K ﹤0.01%
12,043
-405
-3% -$2.34K
HEOP
2886
DELISTED
Heritage Oaks Bancorp
HEOP
$81K ﹤0.01%
12,698
+297
+2% +$1.92K
TRR
2887
DELISTED
Trc Companies
TRR
$80K ﹤0.01%
10,847
+198
+2% +$1.58K
SGYP
2888
DELISTED
Synergy Pharmaceuticals, Inc Common Stock
SGYP
$79K ﹤0.01%
17,667
+1,630
+10% +$7.31K
WSTL
2889
DELISTED
Westell Technologies Inc
WSTL
$77K ﹤0.01%
5,781
-59
-1% -$689
IWC icon
2890
iShares Micro-Cap ETF
IWC
$1.5B
$76K ﹤0.01%
+1,110
New +$73.3K
VIRX
2891
DELISTED
Viracta Therapeutics, Inc. Common Stock
VIRX
$76K ﹤0.01%
73
-1
-1% -$1.07K
DYAX
2892
DELISTED
DYAX CORPORATION
DYAX
$76K ﹤0.01%
+11,063
New +$50.2K
PT
2893
DELISTED
PORTUGAL TELECOM SGPS, S.A.
PT
$74K ﹤0.01%
16,518
+211
+1% +$833
SIMG
2894
DELISTED
SILICON IMAGE INC
SIMG
$73K ﹤0.01%
+13,573
New +$75.7K
HBIO icon
2895
Harvard Bioscience
HBIO
$27.9M
$72K ﹤0.01%
1,820
+125
+7% +$4.92K
PRSO icon
2896
Peraso
PRSO
$10.8M
$72K ﹤0.01%
2
– –
SBSW icon
2897
Sibanye-Stillwater
SBSW
$7B
$72K ﹤0.01%
14,669
-5,967
-29% -$21.8K
TWER
2898
DELISTED
Towerstream Corporation Common Stock
TWER
$72K ﹤0.01%
1,257
-77
-6% -$4.1K
CNSY
2899
Cerenome, Inc. Common Stock
CNSY
$26.6M
– –
0
– –
VG
2900
DELISTED
Vonage Holdings Corporation
VG
$71K ﹤0.01%
22,670
+1,153
+5% +$3.62K
114 115
116
117 118

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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.