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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
VIRX
3001
DELISTED
Viracta Therapeutics, Inc. Common Stock
VIRX
$84K ﹤0.01%
84
+11
+15% +$11.4K
VTNC
3002
DELISTED
VITRAN CORPORATION
VTNC
$84K ﹤0.01%
+12,954
New +$73.2K
GSIT icon
3003
GSI Technology
GSIT
$254M
$83K ﹤0.01%
12,526
+962
+8% +$6.5K
HCKT icon
3004
Hackett Group
HCKT
$280M
$83K ﹤0.01%
13,455
+879
+7% +$5.67K
NRIM icon
3005
Northrim BanCorp
NRIM
$591M
$83K ﹤0.01%
+12,680
New +$79.3K
LUB
3006
DELISTED
Luby's Inc.
LUB
$83K ﹤0.01%
+10,796
New +$81.4K
PCO
3007
DELISTED
Pendrell Corporation - Class A
PCO
$83K ﹤0.01%
41
+17
+71% +$35K
CYTK icon
3008
Cytokinetics
CYTK
$11B
$82K ﹤0.01%
12,635
+1,693
+15% +$11.1K
ACGN
3009
DELISTED
Aceragen Inc
ACGN
$82K ﹤0.01%
131
+48
+58% +$16K
AAXJ icon
3010
iShares MSCI All Country Asia ex Japan ETF
AAXJ
$3.74B
$79K ﹤0.01%
1,310
-4,125
-76% -$248K
ABR icon
3011
Arbor Realty Trust
ABR
$957M
$79K ﹤0.01%
+11,857
New +$79.1K
PALI icon
3012
Palisade Bio
PALI
$363M
– –
0
– –
INDB icon
3013
Independent Bank
INDB
$4B
$78K ﹤0.01%
+1,994
New +$73.2K
CYTR
3014
DELISTED
CytRx Corp
CYTR
$78K ﹤0.01%
2,074
+123
+6% +$2.24K
OESX icon
3015
Orion Energy Systems
OESX
$71.3M
$77K ﹤0.01%
1,137
+67
+6% +$3.55K
UCFC
3016
DELISTED
United Community Financial Corp
UCFC
$76K ﹤0.01%
21,398
+3,469
+19% +$12.9K
MITK icon
3017
Mitek Systems
MITK
$759M
$73K ﹤0.01%
12,401
+1,749
+16% +$10.1K
HBIO icon
3018
Harvard Bioscience
HBIO
$27.9M
$71K ﹤0.01%
1,499
-321
-18% -$14K
HOV icon
3019
Hovnanian Enterprises
HOV
$789M
$71K ﹤0.01%
431
+23
+6% +$3K
MTSN
3020
DELISTED
MATTSON TECHNOLOGY INC
MTSN
$71K ﹤0.01%
25,740
+1,528
+6% +$4.1K
STSI
3021
DELISTED
STAR SCIENTIFIC INC
STSI
$71K ﹤0.01%
61,275
+18,668
+44% +$29.7K
SNMX
3022
DELISTED
Senomyx, Inc.
SNMX
$70K ﹤0.01%
13,766
+817
+6% +$3.35K
NSPH
3023
DELISTED
NANOSPHERE INC. COM NEW
NSPH
$69K ﹤0.01%
1,503
+300
+25% +$12.6K
KWK
3024
DELISTED
QUICKSILVER RESOURCES INC
KWK
$67K ﹤0.01%
21,765
+2,907
+15% +$7.56K
FST
3025
DELISTED
FOREST OIL CORPORATION
FST
$66K ﹤0.01%
18,215
+3,602
+25% +$16.3K
119 120
121
122 123

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TRSOTSOK
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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 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.