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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
INVE icon
3001
Identive
INVE
$61.2M
$25K ﹤0.01%
3,594
– –
URG
3002
Ur-Energy
URG
$521M
$25K ﹤0.01%
+21,493
New +$24.5K
GMO
3003
DELISTED
General Moly, Inc.
GMO
$25K ﹤0.01%
15,080
+4,684
+45% +$8.45K
SDEV
3004
Stablecoin Development Corp
SDEV
$52.5M
– –
0
– –
IMNN icon
3005
Imunon
IMNN
$6.64M
$23K ﹤0.01%
2
+1
+100% +$14.8K
QMCO icon
3006
Quantum Corp
QMCO
$460M
$23K ﹤0.01%
106
-18
-15% -$4.4K
MEET
3007
DELISTED
The Meet Group, Inc. Common Stock
MEET
$23K ﹤0.01%
12,940
-2,528
-16% -$4.43K
ZAZA
3008
DELISTED
ZAZA ENERGY CORP COM NEW
ZAZA
$22K ﹤0.01%
+1,896
New +$21.1K
JRCC
3009
DELISTED
JAMES RIVER COAL NEW
JRCC
$22K ﹤0.01%
+11,360
New +$22.9K
ONCT
3010
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
$21K ﹤0.01%
+7
New +$34.8K
ZN
3011
DELISTED
Zion Oil & Gas, Inc.
ZN
$21K ﹤0.01%
12,308
– –
MVIS icon
3012
Microvision
MVIS
$76.1M
$20K ﹤0.01%
758
– –
UAMY icon
3013
United States Antimony
UAMY
$920M
$20K ﹤0.01%
14,235
-7,606
-35% -$9.07K
TELL
3014
DELISTED
Tellurian Inc.
TELL
$20K ﹤0.01%
2,440
– –
ACGN
3015
DELISTED
Aceragen Inc
ACGN
$20K ﹤0.01%
+83
New +$16.6K
ANAD
3016
DELISTED
ANADIGICS INC
ANAD
$20K ﹤0.01%
+10,319
New +$20.8K
LOCM
3017
DELISTED
LOCAL CORP COM STK (DE)
LOCM
$20K ﹤0.01%
10,122
– –
LTS
3018
DELISTED
Ladenburg Thalmann Financial Services Inc
LTS
$19K ﹤0.01%
+10,758
New +$19.5K
MJES
3019
DELISTED
MAJESCO HOLDINGS INC. NEW
MJES
$19K ﹤0.01%
34,253
– –
IRD
3020
Opus Genetics
IRD
$307M
$18K ﹤0.01%
82
– –
GV
3021
DELISTED
Goldfield Corporation
GV
$18K ﹤0.01%
10,655
– –
HTM
3022
DELISTED
U.S. Geothermal Inc.
HTM
$18K ﹤0.01%
6,764
– –
CRDC
3023
DELISTED
CARDICA INC COM NEW (DE)
CRDC
$18K ﹤0.01%
1,351
– –
SVNT
3024
DELISTED
SAVIENT PHARMACEUTICALS INC
SVNT
$18K ﹤0.01%
28,310
+7,667
+37% +$4.91K
CATX icon
3025
Perspective Therapeutics
CATX
$339M
$17K ﹤0.01%
2,688
– –
119 120
121
122 123

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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
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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 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.