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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
TXMD icon
2951
TherapeuticsMD
TXMD
$24.2M
$43K ﹤0.01%
+294
New +$35.5K
HILL
2952
DELISTED
DOT HILL SYSTEMS CORP
HILL
$43K ﹤0.01%
19,946
– –
VTSS
2953
DELISTED
VITESSE SEMICONDUCTOR CORPORATION COMMON STOCK
VTSS
$42K ﹤0.01%
13,934
– –
BPZ
2954
DELISTED
BPZ RESOURCES INC COM STK
BPZ
$42K ﹤0.01%
21,687
+6,416
+42% +$14.4K
HPOL
2955
DELISTED
HARRIS INTERACTIVE INC
HPOL
$42K ﹤0.01%
20,935
– –
RTK
2956
DELISTED
Rentech, Inc.
RTK
$42K ﹤0.01%
2,107
-129
-6% -$2.71K
FCEL icon
2957
FuelCell Energy
FCEL
$1.62B
$41K ﹤0.01%
7
+1
+17% +$5.44K
FOLD
2958
DELISTED
Amicus Therapeutics
FOLD
$41K ﹤0.01%
18,031
+4,285
+31% +$10.8K
OESX icon
2959
Orion Energy Systems
OESX
$71.3M
$40K ﹤0.01%
1,070
– –
QUIK icon
2960
QuickLogic
QUIK
$246M
$39K ﹤0.01%
1,066
-156
-13% -$5.49K
TURN
2961
DELISTED
180 Degree Capital
TURN
$39K ﹤0.01%
4,338
-308
-7% -$2.85K
UQM
2962
DELISTED
UQM Technologies, Inc.
UQM
$39K ﹤0.01%
21,500
– –
VTG
2963
DELISTED
VANTAGE DRILLING COMPANY ORD SHS (KY)
VTG
$39K ﹤0.01%
22,619
-428
-2% -$769
DVR
2964
DELISTED
CAL DIVE INTERNATIONAL INC COM
DVR
$39K ﹤0.01%
18,894
+3,250
+21% +$6.73K
XLP icon
2965
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.9B
$38K ﹤0.01%
+955
New +$38.9K
REE
2966
DELISTED
RARE ELEMENT RES LTD
REE
$38K ﹤0.01%
+14,075
New +$31.3K
CYTR
2967
DELISTED
CytRx Corp
CYTR
$38K ﹤0.01%
1,951
– –
ALSK
2968
DELISTED
Alaska Communications Systems
ALSK
$37K ﹤0.01%
14,417
– –
HNSN
2969
DELISTED
HANSEN MEDICAL, INC. COM NEW
HNSN
$37K ﹤0.01%
2,040
-311
-13% -$4.89K
KWK
2970
DELISTED
QUICKSILVER RESOURCES INC
KWK
$37K ﹤0.01%
18,858
+3,577
+23% +$6.07K
WRES
2971
DELISTED
WARREN RESOURCES INC
WRES
$37K ﹤0.01%
+12,772
New +$37.1K
NVAX icon
2972
Novavax
NVAX
$1.27B
$36K ﹤0.01%
565
-75
-12% -$4.22K
ENZ
2973
DELISTED
Enzo Biochem, Inc.
ENZ
$36K ﹤0.01%
14,203
+2,027
+17% +$4.81K
FXEN
2974
DELISTED
FX ENERGY INC
FXEN
$36K ﹤0.01%
+10,488
New +$35.6K
APP
2975
DELISTED
AMERICAN APPAREL INC COM
APP
$36K ﹤0.01%
28,186
+4,553
+19% +$7.68K
117 118
119
120 121

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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.