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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
INSG icon
3101
Inseego
INSG
$86.3M
$29K ﹤0.01%
1,235
+73
+6% +$1.82K
ONCT
3102
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
$29K ﹤0.01%
12
+5
+71% +$11.4K
UPI
3103
DELISTED
UROPLASTY INC-NEW
UPI
$29K ﹤0.01%
10,685
+634
+6% +$1.93K
ENZN
3104
DELISTED
ENZON PHARMACEUTICALS INC
ENZN
$28K ﹤0.01%
23,955
+3,026
+14% +$4.66K
ETRM
3105
DELISTED
EnteroMedics Inc.
ETRM
$28K ﹤0.01%
13
+1
+8% +$1.61K
IJJ icon
3106
iShares S&P Mid-Cap 400 Value ETF
IJJ
$8.9B
$27K ﹤0.01%
460
– –
INOD icon
3107
Innodata
INOD
$2.14B
$27K ﹤0.01%
10,821
+642
+6% +$1.56K
GROW icon
3108
US Global Investors
GROW
$38.5M
$26K ﹤0.01%
+10,233
New +$26.7K
MEET
3109
DELISTED
The Meet Group, Inc. Common Stock
MEET
$25K ﹤0.01%
13,758
+818
+6% +$1.52K
ZAZA
3110
DELISTED
ZAZA ENERGY CORP COM NEW
ZAZA
$25K ﹤0.01%
2,545
+649
+34% +$7.36K
MEA
3111
DELISTED
METALICO INC
MEA
$25K ﹤0.01%
12,067
+713
+6% +$1.21K
PRXI
3112
DELISTED
PREMIER EXHIBITIONS INC COM STK NEW (FL)
PRXI
$24K ﹤0.01%
2,033
+121
+6% +$1.52K
FSGI
3113
DELISTED
FIRST SECURITY GROUP, INC.
FSGI
$24K ﹤0.01%
+10,224
New +$21.5K
DSS icon
3114
DSS Inc
DSS
$5.02M
$23K ﹤0.01%
5
– –
STAB
3115
DELISTED
Statera Biopharma, Inc. Common Stock
STAB
$23K ﹤0.01%
1,001
+59
+6% +$1.6K
ARQL
3116
DELISTED
Arqule Inc
ARQL
$23K ﹤0.01%
10,479
-169,394
-94% -$382K
ANAD
3117
DELISTED
ANADIGICS INC
ANAD
$23K ﹤0.01%
12,569
+2,250
+22% +$4.32K
REE
3118
DELISTED
RARE ELEMENT RES LTD
REE
$23K ﹤0.01%
14,963
+888
+6% +$1.57K
COCO
3119
DELISTED
CORINTHIAN COLLEGES INC
COCO
$23K ﹤0.01%
13,109
-752,761
-98% -$1.46M
MRGE
3120
DELISTED
MERGE HEALTHCARE INC COM STK (WI)
MRGE
$23K ﹤0.01%
+10,091
New +$24.6K
AMSC icon
3121
American Superconductor
AMSC
$1.59B
$22K ﹤0.01%
+1,324
New +$24.7K
ATEC icon
3122
Alphatec Holdings
ATEC
$1.42B
$22K ﹤0.01%
+906
New +$20.9K
GEG icon
3123
Great Elm Group
GEG
$69.9M
$22K ﹤0.01%
+1,352
New +$24.9K
INVE icon
3124
Identive
INVE
$61.2M
$22K ﹤0.01%
3,820
+226
+6% +$1.45K
MBOT icon
3125
Microbot Medical
MBOT
$121M
$22K ﹤0.01%
11
+1
+10% +$2.12K
123 124
125
126 127

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TRSOTSOK
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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.