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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
HD icon
3101
PUT
Home Depot
HD
$349B
– –
-25,000
Closed -$1.94M
HIG icon
3102
PUT
Hartford Financial Services
HIG
$39.6B
– –
-80,000
Closed -$2.47M
HOUS
3103
CALL
DELISTED
Anywhere Real Estate
HOUS
– –
-45,000
Closed -$2.16M
HPP
3104
Hudson Pacific Properties
HPP
$729M
– –
-4,373
Closed -$651K
HRB icon
3105
PUT
H&R Block
HRB
$5.82B
– –
-100,000
Closed -$2.77M
HTLD icon
3106
Heartland Express
HTLD
$952M
– –
-12,349
Closed -$171K
HYG icon
3107
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.6B
– –
-18,098
Closed -$1.64M
IART icon
3108
Integra LifeSciences
IART
$1.33B
– –
-15,430
Closed -$231K
IBB icon
3109
iShares Biotechnology ETF
IBB
$9.53B
– –
-36,678
Closed -$2.13M
ICE icon
3110
PUT
Intercontinental Exchange
ICE
$84.1B
– –
-60,000
Closed -$2.13M
IJS icon
3111
iShares S&P Small-Cap 600 Value ETF
IJS
$8.26B
– –
-6,800
Closed -$318K
INSM icon
3112
Insmed
INSM
$28.7B
– –
-10,671
Closed -$128K
IRM icon
3113
PUT
Iron Mountain
IRM
$36.3B
– –
-32,460
Closed -$798K
IRS
3114
IRSA Inversiones y Representaciones
IRS
$1.25B
– –
-327,821
Closed -$2.35M
IVV icon
3115
iShares Core S&P 500 ETF
IVV
$897B
$0 ﹤0.01%
2
– –
IWF icon
3116
iShares Russell 1000 Growth ETF
IWF
$127B
– –
-155,200
Closed -$2.82M
IWN icon
3117
iShares Russell 2000 Value ETF
IWN
$14.5B
– –
-3,700
Closed -$318K
IWO icon
3118
iShares Russell 2000 Growth ETF
IWO
$14.8B
– –
-15,000
Closed -$1.67M
IWP icon
3119
iShares Russell Mid-Cap Growth ETF
IWP
$20.2B
– –
-429,272
Closed -$15.4M
IYC icon
3120
iShares US Consumer Discretionary ETF
IYC
$1.21B
– –
-54,472
Closed -$1.4M
IYF icon
3121
iShares US Financials ETF
IYF
$4.61B
– –
-63,536
Closed -$2.27M
IYH icon
3122
iShares US Healthcare ETF
IYH
$3.5B
– –
-41,560
Closed -$833K
IYR icon
3123
CALL
iShares US Real Estate ETF
IYR
$4.63B
– –
-20,000
Closed -$1.33M
IYR icon
3124
PUT
iShares US Real Estate ETF
IYR
$4.63B
– –
-150,000
Closed -$9.96M
IYT icon
3125
iShares US Transportation ETF
IYT
$2.27B
– –
-76,660
Closed -$2.11M
123 124
125
126 127

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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
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
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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.