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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
AXTI icon
2976
AXT Inc
AXTI
$4.92B
$35K ﹤0.01%
14,804
-1,891
-11% -$4.73K
ENZN
2977
DELISTED
ENZON PHARMACEUTICALS INC
ENZN
$35K ﹤0.01%
+20,929
New +$38.7K
NWBO
2978
DELISTED
Northwest Biotherapeutics, Inc. Common stock
NWBO
$34K ﹤0.01%
+10,122
New +$35.2K
STRR
2979
Star Equity Holdings
STRR
$42.4M
$33K ﹤0.01%
1,021
-156
-13% -$4.23K
BIOL
2980
DELISTED
Biolase, Inc.
BIOL
$33K ﹤0.01%
1
– –
OCLR
2981
DELISTED
Oclaro Inc.
OCLR
$33K ﹤0.01%
+18,863
New +$23.3K
UPI
2982
DELISTED
UROPLASTY INC-NEW
UPI
$33K ﹤0.01%
10,051
– –
STRR
2983
DELISTED
Star Equity Holdings
STRR
$32K ﹤0.01%
254
– –
FMD
2984
DELISTED
FIRST MARBLEHEAD CORP COM STK NEW (DE)
FMD
$32K ﹤0.01%
+3,852
New +$47.7K
PZG icon
2985
Paramount Gold Nevada
PZG
$119M
$31K ﹤0.01%
23,772
+7,426
+45% +$10.3K
EMMS
2986
DELISTED
Emmis Communications Corp
EMMS
$31K ﹤0.01%
3,045
– –
OCZ
2987
DELISTED
OCZ TECHNOLOGY GROUP INC COM STK NEW (DE)
OCZ
$31K ﹤0.01%
24,142
-3,149
-12% -$4.91K
INSG icon
2988
Inseego
INSG
$86.3M
$30K ﹤0.01%
1,162
– –
DFBG
2989
DELISTED
Differential Brands Group Inc
DFBG
$30K ﹤0.01%
929
– –
STAB
2990
DELISTED
Statera Biopharma, Inc. Common Stock
STAB
$29K ﹤0.01%
942
– –
PRXI
2991
DELISTED
PREMIER EXHIBITIONS INC COM STK NEW (FL)
PRXI
$29K ﹤0.01%
1,912
-214
-10% -$3.64K
MBOT icon
2992
Microbot Medical
MBOT
$121M
$28K ﹤0.01%
10
– –
TST
2993
DELISTED
TheStreet, Inc.
TST
$28K ﹤0.01%
1,360
– –
CTLP
2994
DELISTED
Cantaloupe
CTLP
$27K ﹤0.01%
16,825
– –
DVAX
2995
DELISTED
Dynavax Technologies
DVAX
$27K ﹤0.01%
2,252
+622
+38% +$7.83K
RDNT icon
2996
RadNet
RDNT
$5.36B
$27K ﹤0.01%
11,259
– –
INOD icon
2997
Innodata
INOD
$2.14B
$26K ﹤0.01%
10,179
-1,756
-15% -$4.88K
SEEL
2998
DELISTED
Seelos Therapeutics, Inc. Common Stock
SEEL
– –
0
– –
URZ
2999
DELISTED
URANERZ ENERGY CORP
URZ
$26K ﹤0.01%
26,882
– –
IJJ icon
3000
iShares S&P Mid-Cap 400 Value ETF
IJJ
$8.9B
$25K ﹤0.01%
460
– –
118 119
120
121 122

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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
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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.