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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
EPM icon
2901
Evolution Petroleum
EPM
$127M
$153K ﹤0.01%
12,372
+1,069
+9% +$12.9K
GPT
2902
DELISTED
Gramercy Property Trust
GPT
$153K ﹤0.01%
8,858
+451
+5% +$6.64K
HK
2903
DELISTED
Halcon Resources Corporation
HK
$152K ﹤0.01%
228
+51
+29% +$39.6K
RSX
2904
DELISTED
VanEck Russia ETF
RSX
$150K ﹤0.01%
+5,200
New +$150K
ZNGA
2905
DELISTED
ZYNGA INC. CL A COMMON
ZNGA
$150K ﹤0.01%
39,401
-6,766
-15% -$26.2K
USCR
2906
DELISTED
U S Concrete, Inc.
USCR
$150K ﹤0.01%
+6,618
New +$144K
OME
2907
DELISTED
Omega Protein
OME
$150K ﹤0.01%
12,177
+639
+6% +$7.5K
REGI
2908
DELISTED
Renewable Energy Group, Inc.
REGI
$149K ﹤0.01%
+12,954
New +$159K
PLXT
2909
DELISTED
PLX TECHNOLOGY INC
PLXT
$145K ﹤0.01%
21,892
+2,104
+11% +$13.2K
DXLG icon
2910
Destination XL Group
DXLG
$32.6M
$142K ﹤0.01%
21,666
+1,436
+7% +$9.48K
HDV
2911
iShares Core High Dividend ETF
HDV
$14.8B
$142K ﹤0.01%
10,090
-470
-4% -$6.51K
PFD
2912
Flaherty & Crumrine Preferred and Income Fund
PFD
$146M
$141K ﹤0.01%
11,481
-352
-3% -$4.41K
SNAK
2913
DELISTED
Inventure Foods, Inc.
SNAK
$141K ﹤0.01%
+10,628
New +$125K
TWER
2914
DELISTED
Towerstream Corporation Common Stock
TWER
$141K ﹤0.01%
2,370
+1,113
+89% +$56.1K
MGF
2915
Aberdeen Government Markets Income Fund
MGF
$92.2M
$139K ﹤0.01%
24,302
-27,295
-53% -$155K
TREC
2916
DELISTED
Trecora Resources
TREC
$139K ﹤0.01%
11,073
+455
+4% +$4.59K
LFVN icon
2917
LifeVantage
LFVN
$83M
$138K ﹤0.01%
11,937
+3,755
+46% +$52.9K
ENVE
2918
DELISTED
ENVENTIS CORP COM STK
ENVE
$138K ﹤0.01%
+10,762
New +$135K
UMC icon
2919
United Microelectronic
UMC
$48.2B
$137K ﹤0.01%
+66,732
New +$135K
DRD
2920
DRDGold
DRD
$1.95B
$136K ﹤0.01%
36,920
-98,970
-73% -$449K
ENTG icon
2921
Entegris
ENTG
$21.8B
$136K ﹤0.01%
11,738
-4,311
-27% -$45.5K
TLPH icon
2922
Talphera
TLPH
$74.2M
$135K ﹤0.01%
596
+38
+7% +$6.61K
BCRX icon
2923
BioCryst Pharmaceuticals
BCRX
$2.38B
$134K ﹤0.01%
17,610
+1,045
+6% +$6.62K
DUC
2924
DELISTED
Duff & Phelps Utility & Corporate Bond Trust
DUC
$134K ﹤0.01%
13,385
-42,514
-76% -$432K
SQNM
2925
DELISTED
SEQUENOM INC NEW
SQNM
$134K ﹤0.01%
+57,000
New +$135K
115 116
117
118 119

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TRSOTSOK
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AIM
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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.