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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
TURN
3076
DELISTED
180 Degree Capital
TURN
$41K ﹤0.01%
4,611
+273
+6% +$2.51K
NWBO
3077
DELISTED
Northwest Biotherapeutics, Inc. Common stock
NWBO
$41K ﹤0.01%
10,760
+638
+6% +$2.47K
IPAS
3078
DELISTED
Ipass Inc Common Stock
IPAS
$40K ﹤0.01%
2,560
+152
+6% +$2.68K
VNQ icon
3079
Vanguard Real Estate ETF
VNQ
$38.8B
$39K ﹤0.01%
600
-6,030
-91% -$403K
BSIN
3080
Big Sky Industrial
BSIN
$62.8M
$38K ﹤0.01%
+169
New +$31.1K
HNSN
3081
DELISTED
HANSEN MEDICAL, INC. COM NEW
HNSN
$38K ﹤0.01%
2,169
+129
+6% +$2.39K
PZG icon
3082
Paramount Gold Nevada
PZG
$119M
$37K ﹤0.01%
39,704
+15,932
+67% +$18.4K
ACHN
3083
DELISTED
Achillion Pharmaceuticals
ACHN
$37K ﹤0.01%
11,237
-358,576
-97% -$1.04M
URZ
3084
DELISTED
URANERZ ENERGY CORP
URZ
$37K ﹤0.01%
28,580
+1,698
+6% +$1.72K
SURG
3085
DELISTED
SYNERGETICS USA, INC.
SURG
$36K ﹤0.01%
+10,046
New +$41.1K
SEEL
3086
DELISTED
Seelos Therapeutics, Inc. Common Stock
SEEL
– –
0
– –
PTX
3087
DELISTED
Pernix Therapeutics Holdings, Inc.
PTX
$35K ﹤0.01%
+1,380
New +$32.9K
RIGL icon
3088
Rigel Pharmaceuticals
RIGL
$733M
$33K ﹤0.01%
+1,153
New +$33.8K
TST
3089
DELISTED
TheStreet, Inc.
TST
$33K ﹤0.01%
1,446
+86
+6% +$1.93K
DFBG
3090
DELISTED
Differential Brands Group Inc
DFBG
$33K ﹤0.01%
987
+58
+6% +$1.92K
EMMS
3091
DELISTED
Emmis Communications Corp
EMMS
$33K ﹤0.01%
3,237
+192
+6% +$1.77K
CTLP
3092
DELISTED
Cantaloupe
CTLP
$32K ﹤0.01%
17,886
+1,061
+6% +$1.84K
ALSK
3093
DELISTED
Alaska Communications Systems
ALSK
$32K ﹤0.01%
15,323
+906
+6% +$2.09K
CRIS icon
3094
Curis
CRIS
$8.59M
$31K ﹤0.01%
+6
New +$41.1K
QMCO icon
3095
Quantum Corp
QMCO
$460M
$31K ﹤0.01%
162
+56
+53% +$11.4K
LTS
3096
DELISTED
Ladenburg Thalmann Financial Services Inc
LTS
$31K ﹤0.01%
10,030
-728
-7% -$1.83K
WTSL
3097
DELISTED
WET SEAL INC CL-A
WTSL
$31K ﹤0.01%
+11,325
New +$36.3K
UAMY icon
3098
United States Antimony
UAMY
$920M
$30K ﹤0.01%
15,134
+899
+6% +$1.56K
NAVB
3099
DELISTED
Navidea Biopharmaceuticals Inc.
NAVB
$30K ﹤0.01%
+726
New +$28.4K
CPRX
3100
DELISTED
Catalyst Pharmaceutical
CPRX
$29K ﹤0.01%
15,082
+895
+6% +$1.81K
122 123
124
125 126

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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.