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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
DRRX
3026
DELISTED
DURECT Corp
DRRX
$65K ﹤0.01%
3,749
+222
+6% +$3.36K
RBBN icon
3027
Ribbon Communications
RBBN
$376M
$64K ﹤0.01%
4,063
+1,338
+49% +$20.7K
RSO
3028
DELISTED
Resource Capital Corp.
RSO
$64K ﹤0.01%
+2,718
New +$64.9K
NEO icon
3029
NeoGenomics
NEO
$2B
$63K ﹤0.01%
17,300
+1,662
+11% +$5.77K
QUIK icon
3030
QuickLogic
QUIK
$246M
$63K ﹤0.01%
1,133
+67
+6% +$3.15K
BIOL
3031
DELISTED
Biolase, Inc.
BIOL
$63K ﹤0.01%
2
+1
+100% +$23.7K
CGRN
3032
DELISTED
Capstone Green Energy Corporation Common Stock
CGRN
$63K ﹤0.01%
245
+29
+13% +$7.17K
MDW
3033
DELISTED
MIDWAY GOLD CORP (CANADA)
MDW
$63K ﹤0.01%
78,019
+15,679
+25% +$14K
ATNY
3034
DELISTED
API TECHNOLOGIES CORP. COMMON STOCK
ATNY
$62K ﹤0.01%
18,224
+1,119
+7% +$3.55K
PIOI
3035
DELISTED
Active Power Inc
PIOI
$61K ﹤0.01%
18,098
+1,073
+6% +$3.19K
VTG
3036
DELISTED
VANTAGE DRILLING COMPANY ORD SHS (KY)
VTG
$61K ﹤0.01%
32,980
+10,361
+46% +$18.8K
LSCC icon
3037
Lattice Semiconductor
LSCC
$18.3B
$60K ﹤0.01%
10,932
+328
+3% +$1.7K
RTK
3038
DELISTED
Rentech, Inc.
RTK
$60K ﹤0.01%
3,409
+1,302
+62% +$23.9K
GERN icon
3039
Geron
GERN
$1.01B
$59K ﹤0.01%
13,193
-4,951
-27% -$21.2K
REFR icon
3040
Research Frontiers
REFR
$16.3M
$59K ﹤0.01%
+10,169
New +$55.3K
RSH
3041
DELISTED
RADIOSHACK CORP
RSH
$59K ﹤0.01%
22,645
+4,229
+23% +$12.3K
BXC icon
3042
BlueLinx
BXC
$671M
$57K ﹤0.01%
2,918
+159
+6% +$2.84K
OCLR
3043
DELISTED
Oclaro Inc.
OCLR
$56K ﹤0.01%
22,544
+3,681
+20% +$7.87K
MCBC
3044
DELISTED
Macatawa Bank Corp
MCBC
$55K ﹤0.01%
+10,903
New +$55.3K
PQUE
3045
DELISTED
PETROQUEST ENERGY INC (DE)
PQUE
$55K ﹤0.01%
+12,711
New +$55K
ANH
3046
DELISTED
Anworth Mortgage Asset Corporation
ANH
$53K ﹤0.01%
12,661
+728
+6% +$3.27K
FXEN
3047
DELISTED
FX ENERGY INC
FXEN
$53K ﹤0.01%
14,480
+3,992
+38% +$13.6K
BPZ
3048
DELISTED
BPZ RESOURCES INC COM STK
BPZ
$53K ﹤0.01%
28,931
+7,244
+33% +$14.5K
DVR
3049
DELISTED
CAL DIVE INTERNATIONAL INC COM
DVR
$53K ﹤0.01%
26,243
+7,349
+39% +$14.1K
END
3050
DELISTED
ENDEAVOUR INTERNATIONAL CORP NEW (NV)
END
$53K ﹤0.01%
10,050
-675
-6% -$3.62K
120 121
122
123 124

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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
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 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.