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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
AVNR
3051
DELISTED
AVANIR PHARMACEUTICALS, INC CL A
AVNR
$52K ﹤0.01%
15,457
+2,367
+18% +$9.78K
ATRS
3052
DELISTED
Antares Pharma, Inc.
ATRS
$51K ﹤0.01%
11,481
+688
+6% +$2.8K
ELNK
3053
DELISTED
EarthLink Holdings Corp.
ELNK
$51K ﹤0.01%
+10,135
New +$51.7K
STRR
3054
DELISTED
Star Equity Holdings
STRR
$50K ﹤0.01%
270
+16
+6% +$2.84K
FCEL icon
3055
FuelCell Energy
FCEL
$1.62B
$49K ﹤0.01%
8
+1
+14% +$6.05K
UQM
3056
DELISTED
UQM Technologies, Inc.
UQM
$49K ﹤0.01%
22,858
+1,358
+6% +$2.51K
HTCH
3057
DELISTED
HUTCHINSON TECHNOLOGY INC
HTCH
$49K ﹤0.01%
15,458
+2,701
+21% +$8.87K
WRES
3058
DELISTED
WARREN RESOURCES INC
WRES
$49K ﹤0.01%
15,512
+2,740
+21% +$8.56K
FOLD
3059
DELISTED
Amicus Therapeutics
FOLD
$47K ﹤0.01%
20,264
+2,233
+12% +$4.9K
ACFN
3060
DELISTED
Acorn Energy Inc
ACFN
$47K ﹤0.01%
+11,636
New +$43.5K
DNDN
3061
DELISTED
DENDREON CORPORATION
DNDN
$47K ﹤0.01%
15,622
-14,184
-48% -$39.9K
FBIO icon
3062
Fortress Biotech
FBIO
$92M
$46K ﹤0.01%
1,167
+349
+43% +$13.5K
URG
3063
Ur-Energy
URG
$521M
$46K ﹤0.01%
33,145
+11,652
+54% +$13.2K
DVAX
3064
DELISTED
Dynavax Technologies
DVAX
$45K ﹤0.01%
2,289
+37
+2% +$542
UNIS
3065
DELISTED
Unilife Corporation
UNIS
$45K ﹤0.01%
+1,018
New +$37.3K
HPOL
3066
DELISTED
HARRIS INTERACTIVE INC
HPOL
$45K ﹤0.01%
22,256
+1,321
+6% +$2.61K
STRR
3067
Star Equity Holdings
STRR
$42.4M
$44K ﹤0.01%
1,086
+65
+6% +$2.25K
ENZ
3068
DELISTED
Enzo Biochem, Inc.
ENZ
$44K ﹤0.01%
15,099
+896
+6% +$2.22K
RSYS
3069
DELISTED
Radisys Corp
RSYS
$44K ﹤0.01%
18,898
+4,878
+35% +$13K
ALT icon
3070
Altimmune
ALT
$585M
$43K ﹤0.01%
78
+5
+7% +$2.98K
LXRX icon
3071
Lexicon Pharmaceuticals
LXRX
$1.05B
$43K ﹤0.01%
3,411
+304
+10% +$4.84K
APP
3072
DELISTED
AMERICAN APPAREL INC COM
APP
$43K ﹤0.01%
35,538
+7,352
+26% +$8.72K
VTSS
3073
DELISTED
VITESSE SEMICONDUCTOR CORPORATION COMMON STOCK
VTSS
$43K ﹤0.01%
14,810
+876
+6% +$2.5K
PLUG icon
3074
Plug Power
PLUG
$2.89B
$42K ﹤0.01%
26,840
-46,070
-63% -$44.7K
AXTI icon
3075
AXT Inc
AXTI
$4.92B
$41K ﹤0.01%
15,734
+930
+6% +$2.18K
121 122
123
124 125

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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.