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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
MITK icon
2926
Mitek Systems
MITK
$759M
$55K ﹤0.01%
+10,652
New +$58.1K
BXC icon
2927
BlueLinx
BXC
$671M
$54K ﹤0.01%
2,759
+724
+36% +$13.7K
PLUG icon
2928
Plug Power
PLUG
$2.89B
$54K ﹤0.01%
72,910
– –
HOV icon
2929
Hovnanian Enterprises
HOV
$789M
$53K ﹤0.01%
+408
New +$54.6K
IDIX
2930
DELISTED
IDENIX PHARMACEUTICALS INC
IDIX
$53K ﹤0.01%
+10,134
New +$44.4K
LXRX icon
2931
Lexicon Pharmaceuticals
LXRX
$1.05B
$52K ﹤0.01%
3,107
+315
+11% +$5.28K
CGRN
2932
DELISTED
Capstone Green Energy Corporation Common Stock
CGRN
$51K ﹤0.01%
216
+26
+14% +$6.48K
PIOI
2933
DELISTED
Active Power Inc
PIOI
$50K ﹤0.01%
17,025
– –
ATNY
2934
DELISTED
API TECHNOLOGIES CORP. COMMON STOCK
ATNY
$50K ﹤0.01%
17,105
+1,447
+9% +$4.2K
TLAB
2935
DELISTED
TELLABS INC
TLAB
$50K ﹤0.01%
22,132
-10,806
-33% -$24.5K
NSPH
2936
DELISTED
NANOSPHERE INC. COM NEW
NSPH
$49K ﹤0.01%
1,203
+350
+41% +$17.5K
IPAS
2937
DELISTED
Ipass Inc Common Stock
IPAS
$48K ﹤0.01%
2,408
– –
DRRX
2938
DELISTED
DURECT Corp
DRRX
$47K ﹤0.01%
3,527
+371
+12% +$4.4K
LSCC icon
2939
Lattice Semiconductor
LSCC
$18.3B
$47K ﹤0.01%
+10,604
New +$52.6K
NEO icon
2940
NeoGenomics
NEO
$2B
$47K ﹤0.01%
+15,638
New +$44.1K
IMUC
2941
DELISTED
ImmunoCellular Therapeutics, Ltd.
IMUC
$47K ﹤0.01%
455
-58
-11% -$6.37K
ALT icon
2942
Altimmune
ALT
$585M
$46K ﹤0.01%
73
– –
RBBN icon
2943
Ribbon Communications
RBBN
$376M
$46K ﹤0.01%
2,725
-880
-24% -$15K
SNMX
2944
DELISTED
Senomyx, Inc.
SNMX
$46K ﹤0.01%
12,949
– –
PCO
2945
DELISTED
Pendrell Corporation - Class A
PCO
$46K ﹤0.01%
24
-6
-20% -$13.4K
RSYS
2946
DELISTED
Radisys Corp
RSYS
$45K ﹤0.01%
14,020
-196,380
-93% -$787K
ATRS
2947
DELISTED
Antares Pharma, Inc.
ATRS
$44K ﹤0.01%
10,793
+716
+7% +$3.13K
CXPO
2948
DELISTED
Crimson Exploration Inc. New Common Stock
CXPO
$44K ﹤0.01%
14,614
+50
+0.3% +$156
HTCH
2949
DELISTED
HUTCHINSON TECHNOLOGY INC
HTCH
$44K ﹤0.01%
12,757
+1,806
+16% +$7.26K
CPRX
2950
DELISTED
Catalyst Pharmaceutical
CPRX
$43K ﹤0.01%
14,187
+1,883
+15% +$3.17K
116 117
118
119 120

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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.