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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
INFN
2876
DELISTED
Infinera Corporation Common Stock
INFN
$175K ﹤0.01%
17,851
+3,217
+22% +$32K
CXE
2877
DELISTED
MFS High Income Municipal Trust
CXE
$173K ﹤0.01%
38,752
-5,466
-12% -$24.5K
KTOS icon
2878
Kratos Defense & Security Solutions
KTOS
$10.8B
$173K ﹤0.01%
22,575
+1,419
+7% +$10.7K
MVT
2879
DELISTED
BlackRock MuniVest Fund II
MVT
$172K ﹤0.01%
12,352
-1,743
-12% -$24.8K
SRI icon
2880
Stoneridge
SRI
$207M
$171K ﹤0.01%
13,379
+1,472
+12% +$18.3K
FCRE
2881
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
$171K ﹤0.01%
2,640
+549
+26% +$36.2K
ZGNX
2882
DELISTED
Zogenix, Inc.
ZGNX
$171K ﹤0.01%
6,196
+1,517
+32% +$34K
CLNE icon
2883
Clean Energy Fuels
CLNE
$410M
$167K ﹤0.01%
+12,897
New +$157K
RJET
2884
DELISTED
REPUBLIC AWYS HLDGS INC
RJET
$167K ﹤0.01%
+15,610
New +$170K
AVX
2885
DELISTED
AVX Corporation
AVX
$166K ﹤0.01%
11,898
+1,141
+11% +$15.5K
CLAR icon
2886
Clarus
CLAR
$130M
$165K ﹤0.01%
12,442
+559
+5% +$7.4K
VERU icon
2887
Veru
VERU
$37.1M
$164K ﹤0.01%
1,926
+364
+23% +$33.4K
CLUB
2888
DELISTED
Town Sports International Holdings, Inc.
CLUB
$164K ﹤0.01%
11,131
+1,206
+12% +$15.9K
ISSI
2889
DELISTED
INTEGRATED SILICON SOLUTN INC
ISSI
$163K ﹤0.01%
13,502
+824
+6% +$9.46K
ORBC
2890
DELISTED
ORBCOMM, Inc.
ORBC
$163K ﹤0.01%
25,748
+10,135
+65% +$61K
AMKR icon
2891
Amkor Technology
AMKR
$13.5B
$162K ﹤0.01%
26,437
+315
+1% +$1.68K
ZIXI
2892
DELISTED
Zix Corporation
ZIXI
$162K ﹤0.01%
35,515
+3,759
+12% +$16.9K
CMK
2893
DELISTED
MFS HIGH INCOME MUNI TR I
CMK
$161K ﹤0.01%
19,851
– –
XHB icon
2894
State Street SPDR S&P Homebuilders ETF
XHB
$1.53B
$157K ﹤0.01%
+4,700
New +$146K
XLP icon
2895
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.9B
$157K ﹤0.01%
3,655
+2,700
+283% +$114K
CPE
2896
DELISTED
Callon Petroleum Company
CPE
$157K ﹤0.01%
2,394
-50
-2% -$3.19K
ENT
2897
DELISTED
Global Eagle Entertainment Inc.
ENT
$157K ﹤0.01%
421
+18
+4% +$5.52K
EWW icon
2898
iShares MSCI Mexico ETF
EWW
$1.97B
$156K ﹤0.01%
+2,300
New +$151K
MTW icon
2899
Manitowoc
MTW
$510M
$156K ﹤0.01%
+7,377
New +$135K
CSFL
2900
DELISTED
CenterState Bank Corporation Common Stock
CSFL
$155K ﹤0.01%
15,289
+819
+6% +$8.38K
114 115
116
117 118

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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 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.