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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
UCFC
2901
DELISTED
United Community Financial Corp
UCFC
$70K ﹤0.01%
+17,929
New +$77.2K
ZGNX
2902
DELISTED
Zogenix, Inc.
ZGNX
$70K ﹤0.01%
4,679
-12
-0.3% -$161
AWC
2903
DELISTED
Alumina Ltd
AWC
$70K ﹤0.01%
18,447
-524
-3% -$1.95K
PALI icon
2904
Palisade Bio
PALI
$363M
– –
0
– –
SPDC
2905
DELISTED
SPEED COMMERCE, INC COM STK
SPDC
$69K ﹤0.01%
21,102
+8,803
+72% +$28.3K
CHTP
2906
DELISTED
CHELSEA THERAPEUTICS INT'L LTD
CHTP
$68K ﹤0.01%
22,588
+4,385
+24% +$12.6K
EWA icon
2907
iShares MSCI Australia ETF
EWA
$1.44B
$66K ﹤0.01%
2,620
-29,700
-92% -$714K
OMX
2908
CALL
DELISTED
OFFICEMAX INCORPORATED
OMX
$65K ﹤0.01%
+5,100
New +$57.6K
AKS
2909
DELISTED
AK Steel Holding Corp
AKS
$63K ﹤0.01%
16,715
+2,687
+19% +$9.56K
RSH
2910
DELISTED
RADIOSHACK CORP
RSH
$63K ﹤0.01%
18,416
-1,183
-6% -$3.79K
RVLT
2911
DELISTED
Revolution Lighting Technologies, Inc. - Class A
RVLT
$62K ﹤0.01%
2,428
-1,438
-37% -$52.2K
SLTM
2912
DELISTED
SOLTA MED INC (DE)
SLTM
$62K ﹤0.01%
29,620
-375
-1% -$850
ARWR icon
2913
Arrowhead Research
ARWR
$12.1B
$61K ﹤0.01%
+10,653
New +$40.9K
TSI
2914
TCW Strategic Income Fund
TSI
$212M
$61K ﹤0.01%
11,394
-638
-5% -$3.43K
LEE icon
2915
Lee Enterprises
LEE
$181M
$60K ﹤0.01%
2,271
– –
PKD
2916
DELISTED
Parker Drilling Company
PKD
$60K ﹤0.01%
699
-102
-13% -$8.89K
WIP icon
2917
State Street SPDR FTSE International Government Inflation-Protected Bond ETF
WIP
$472M
$59K ﹤0.01%
990
+914
+1,203% +$53.3K
MDW
2918
DELISTED
MIDWAY GOLD CORP (CANADA)
MDW
$59K ﹤0.01%
62,340
+10,394
+20% +$10.7K
ZLCS
2919
DELISTED
ZALICUS INC COM NEW
ZLCS
$59K ﹤0.01%
8,224
+1,125
+16% +$4.43K
ANH
2920
DELISTED
Anworth Mortgage Asset Corporation
ANH
$58K ﹤0.01%
11,933
-184,256
-94% -$883K
MTSN
2921
DELISTED
MATTSON TECHNOLOGY INC
MTSN
$58K ﹤0.01%
24,212
-4,114
-15% -$9.37K
MSPD
2922
DELISTED
MINDSPEED TECHNOLOGIES INC COM STK
MSPD
$58K ﹤0.01%
19,001
+213
+1% +$664
GERN icon
2923
Geron
GERN
$1.01B
$57K ﹤0.01%
18,144
+1,972
+12% +$3.23K
END
2924
DELISTED
ENDEAVOUR INTERNATIONAL CORP NEW (NV)
END
$57K ﹤0.01%
+10,725
New +$52.3K
AVNR
2925
DELISTED
AVANIR PHARMACEUTICALS, INC CL A
AVNR
$56K ﹤0.01%
13,090
+205
+2% +$971
115 116
117
118 119

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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 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.