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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
CDMO
2976
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
$104K ﹤0.01%
10,696
+1,573
+17% +$14.8K
UEC icon
2977
Uranium Energy
UEC
$5.32B
$101K ﹤0.01%
50,452
+8,582
+20% +$16.2K
WSTL
2978
DELISTED
Westell Technologies Inc
WSTL
$101K ﹤0.01%
6,212
+431
+7% +$6.51K
CHTP
2979
DELISTED
CHELSEA THERAPEUTICS INT'L LTD
CHTP
$101K ﹤0.01%
22,714
+126
+0.6% +$426
EQU
2980
DELISTED
EQUAL ENERGY LTD COM
EQU
$100K ﹤0.01%
18,753
+324
+2% +$1.59K
HEOP
2981
DELISTED
Heritage Oaks Bancorp
HEOP
$100K ﹤0.01%
13,442
+744
+6% +$5.25K
SPRT
2982
DELISTED
support.com, Inc.
SPRT
$99K ﹤0.01%
8,649
+1,355
+19% +$18.2K
DWSN icon
2983
Dawson Geophysical
DWSN
$148M
$97K ﹤0.01%
4,658
+915
+24% +$19.1K
MTL
2984
DELISTED
Mechel PAO American Depository Shares, each representing two ordinary shares (ADSs)
MTL
$97K ﹤0.01%
18,980
-18,615
-50% -$102K
SNBC
2985
DELISTED
Sun Bancorp Inc
SNBC
$97K ﹤0.01%
5,515
+529
+11% +$9.27K
NOV icon
2986
CALL
NOV
NOV
$7.09B
$95K ﹤0.01%
+1,331
New +$96.8K
GTE icon
2987
Gran Tierra Energy
GTE
$335M
$94K ﹤0.01%
+1,286
New +$94K
VG
2988
DELISTED
Vonage Holdings Corporation
VG
$94K ﹤0.01%
28,344
+5,674
+25% +$19.1K
BDSI
2989
DELISTED
BioDelivery Sciences International, Inc.
BDSI
$93K ﹤0.01%
15,743
+704
+5% +$3.63K
RVLT
2990
DELISTED
Revolution Lighting Technologies, Inc. - Class A
RVLT
$91K ﹤0.01%
2,682
+254
+10% +$8.37K
NBBC
2991
DELISTED
NEWBRIDGE BANCORP CLASS A COM STK (NC)
NBBC
$91K ﹤0.01%
12,121
+666
+6% +$4.81K
OWW
2992
DELISTED
ORBITZ WORLDWIDE, INC
OWW
$89K ﹤0.01%
+12,337
New +$96.4K
TRR
2993
DELISTED
Trc Companies
TRR
$88K ﹤0.01%
12,286
+1,439
+13% +$10.6K
IRDM icon
2994
Iridium Communications
IRDM
$5.12B
$87K ﹤0.01%
13,884
-378,154
-96% -$2.29M
HSA
2995
DELISTED
HELIOS STRATEGIC INCOME FD, INC
HSA
$87K ﹤0.01%
13,049
– –
NVAX icon
2996
Novavax
NVAX
$1.27B
$86K ﹤0.01%
842
+277
+49% +$19.6K
OMEX icon
2997
Odyssey Marine Exploration
OMEX
$44M
$86K ﹤0.01%
3,540
+612
+21% +$17.1K
AT
2998
DELISTED
Atlantic Power Corporation
AT
$86K ﹤0.01%
24,639
+5,646
+30% +$22.7K
LEE icon
2999
Lee Enterprises
LEE
$181M
$84K ﹤0.01%
2,415
+144
+6% +$4.71K
CNSY
3000
Cerenome, Inc. Common Stock
CNSY
$26.6M
– –
0
– –
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
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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 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.