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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
EGY icon
2926
Vaalco Energy
EGY
$552M
$133K ﹤0.01%
19,256
+4,768
+33% +$28.5K
MILL
2927
DELISTED
MILLER ENERGY RESOURCES, INC COM STK
MILL
$133K ﹤0.01%
18,930
-1
-0% -$7
ALR
2928
DELISTED
AlerisLife Inc
ALR
$132K ﹤0.01%
2,410
-1,541
-39% -$78.1K
FIO
2929
DELISTED
FUSION-IO INC COM
FIO
$132K ﹤0.01%
14,808
-30,565
-67% -$330K
AMPE
2930
DELISTED
Ampio Pharmaceuticals Inc.
AMPE
$131K ﹤0.01%
61
+4
+7% +$9.46K
IXP icon
2931
iShares Global Comm Services ETF
IXP
$571M
$130K ﹤0.01%
1,897
-2,884
-60% -$194K
PER
2932
DELISTED
SANDRIDGE PERMIAN TRUST
PER
$130K ﹤0.01%
10,941
-33,284
-75% -$451K
UCTT
2933
Ultra Clean Holdings
UCTT
$3.76B
$129K ﹤0.01%
12,862
+973
+8% +$8.76K
XLU icon
2934
State Street Utilities Select Sector SPDR ETF
XLU
$22.4B
$129K ﹤0.01%
6,774
-1,092
-14% -$20.9K
IWC icon
2935
iShares Micro-Cap ETF
IWC
$1.5B
$128K ﹤0.01%
1,700
+590
+53% +$41.9K
NSLR
2936
Neostellar Capital Corp
NSLR
$255M
$128K ﹤0.01%
16,271
+728
+5% +$6.27K
HT
2937
DELISTED
Hersha Hospitality Trust Priority Class A Common Shares of Beneficial Interest
HT
$128K ﹤0.01%
5,742
+49
+0.9% +$1.11K
ACLS icon
2938
Axcelis
ACLS
$4.2B
$126K ﹤0.01%
12,889
+640
+5% +$5.81K
ARCO icon
2939
Arcos Dorados Holdings
ARCO
$1.76B
$126K ﹤0.01%
+10,689
New +$123K
COB
2940
DELISTED
CommunityOne Bancorp
COB
$125K ﹤0.01%
+9,787
New +$108K
FSP
2941
Franklin Street Properties
FSP
$47.1M
$124K ﹤0.01%
10,385
-14,772
-59% -$188K
CTIC
2942
DELISTED
CTI BioPharma Corp. (DE) Common Stock
CTIC
$124K ﹤0.01%
6,471
+254
+4% +$4.62K
ARWR icon
2943
Arrowhead Research
ARWR
$12.1B
$123K ﹤0.01%
11,325
+672
+6% +$5.37K
IMMR icon
2944
Immersion
IMMR
$246M
$123K ﹤0.01%
11,909
+939
+9% +$11.5K
XUE
2945
DELISTED
XUEDA EDUCATION GROUP ADS REPTG 2 ORD SHS
XUE
$123K ﹤0.01%
+20,033
New +$105K
ARR
2946
Armour Residential REIT
ARR
$2.34B
$122K ﹤0.01%
761
-45,140
-98% -$7.27M
LYTS icon
2947
LSI Industries
LYTS
$913M
$121K ﹤0.01%
13,868
+1,131
+9% +$9.89K
PRSO icon
2948
Peraso
PRSO
$10.8M
$119K ﹤0.01%
3
+1
+50% +$36.3K
GLUU
2949
DELISTED
Glu Mobile Inc.
GLUU
$119K ﹤0.01%
30,593
+1,377
+5% +$4.67K
SGYP
2950
DELISTED
Synergy Pharmaceuticals, Inc Common Stock
SGYP
$118K ﹤0.01%
21,370
+3,703
+21% +$16K
116 117
118
119 120

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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.