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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
SVRA icon
3026
Savara
SVRA
$1.19B
$16K ﹤0.01%
509
– –
GSI
3027
DELISTED
GENERAL STL HLDGS INC COM NEW (NV)
GSI
$16K ﹤0.01%
3,549
– –
MEA
3028
DELISTED
METALICO INC
MEA
$16K ﹤0.01%
11,354
-3,531
-24% -$4.89K
ETRM
3029
DELISTED
EnteroMedics Inc.
ETRM
$16K ﹤0.01%
12
– –
SSKN
3030
DELISTED
Strata Skin Sciences
SSKN
$15K ﹤0.01%
42
– –
AIM
3031
AIM ImmunoTech
AIM
$7.51M
$15K ﹤0.01%
1
– –
VGZ icon
3032
Vista Gold
VGZ
$296M
$14K ﹤0.01%
30,512
-6,562
-18% -$5.39K
YTEN
3033
DELISTED
Yield10 Bioscience, Inc. Common Stock
YTEN
– –
0
– –
ROX
3034
DELISTED
Castle Brands, Inc.
ROX
$13K ﹤0.01%
+16,951
New +$7.67K
CEI
3035
DELISTED
Camber Energy, Inc
CEI
– –
0
– –
IKAN
3036
DELISTED
IKANOS COMMUNICATIONS INC COM STK NEW (DE)
IKAN
$13K ﹤0.01%
+1,051
New +$13.6K
DSS icon
3037
DSS Inc
DSS
$5.02M
$12K ﹤0.01%
+5
New +$16.6K
AUMN
3038
DELISTED
Golden Minerals Company
AUMN
$12K ﹤0.01%
521
– –
SWSH
3039
DELISTED
SWISHER HYGIENE INC COM STK NEW (DE)
SWSH
$11K ﹤0.01%
1,815
+494
+37% +$4.19K
WYY icon
3040
WidePoint Corp
WYY
$106M
$10K ﹤0.01%
+1,083
New +$9.15K
VRS
3041
DELISTED
VERSO CORP COM STK (DE)
VRS
$10K ﹤0.01%
13,321
– –
OVRL
3042
DELISTED
OVERLAND STORAGE INC
OVRL
$10K ﹤0.01%
2,063
– –
PESI icon
3043
Perma-Fix Environmental Services
PESI
$377M
$9K ﹤0.01%
2,446
– –
REPX icon
3044
Riley Exploration Permian
REPX
$739M
$9K ﹤0.01%
166
– –
VCEL icon
3045
Vericel Corp
VCEL
$2.29B
$9K ﹤0.01%
1,704
+826
+94% +$5.9K
AIG.WS
3046
DELISTED
American International Group, Inc.
AIG.WS
$9K ﹤0.01%
463
– –
SVBL
3047
DELISTED
SILVER BULL RESOURCES, INC
SVBL
$9K ﹤0.01%
23,698
– –
DCTH
3048
DELISTED
Delcath Systems Inc
DCTH
$9K ﹤0.01%
107
– –
MGN
3049
DELISTED
MINES MGMT INC
MGN
$8K ﹤0.01%
14,389
– –
HH
3050
DELISTED
Hooper Holmes Inc
HH
$7K ﹤0.01%
+1,005
New +$5.92K
120 121
122
123 124

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TRSOTSOK
Teachers Retirement System of the State of Kentucky Frankfort, Kentucky $12.9B AUM 31.03% 1-Year Est. Return
AIM
ARK Investment Management St. Petersburg, Florida $12.9B AUM 64.92% 1-Year Est. Return
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
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.