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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
JNK icon
3126
PUT
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$6.91B
– –
-13,333
Closed -$1.58M
JOE icon
3127
CALL
St. Joe Company
JOE
$3.81B
– –
-10,000
Closed -$211K
KIM icon
3128
PUT
Kimco Realty
KIM
$16.5B
– –
-30,000
Closed -$643K
KOF icon
3129
Coca-Cola Femsa
KOF
$23B
– –
-9,491
Closed -$1.33M
KR icon
3130
CALL
Kroger
KR
$35.2B
– –
-30,000
Closed -$518K
MZTI
3131
The Marzetti Company
MZTI
$3.04B
– –
-2,647
Closed -$206K
LCTX icon
3132
Lineage Cell Therapeutics
LCTX
$284M
– –
-23,694
Closed -$76K
LEN icon
3133
PUT
Lennar Class A
LEN
$20.4B
– –
-10,506
Closed -$360K
LEU icon
3134
Centrus Energy
LEU
$3.51B
– –
-140
Closed -$11K
LSTA icon
3135
Lisata Therapeutics
LSTA
$9.93M
– –
-34
Closed -$29K
LTC
3136
LTC Properties
LTC
$1.98B
– –
-6,169
Closed -$241K
LULU icon
3137
CALL
lululemon athletica
LULU
$14.2B
– –
-4,000
Closed -$262K
MEOH icon
3138
Methanex
MEOH
$4.2B
– –
-10,000
Closed -$428K
MINT icon
3139
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17B
– –
-600,000
Closed -$60.8M
MLI icon
3140
Mueller Industries
MLI
$15.3B
– –
-51,952
Closed -$328K
MNRO icon
3141
Monro
MNRO
$397M
– –
-6,879
Closed -$331K
CALY
3142
Callaway Golf Company
CALY
$3.16B
– –
-6,082
Closed -$40K
CALY
3143
PUT
Callaway Golf Company
CALY
$3.16B
– –
-20,500
Closed -$135K
NLY icon
3144
CALL
Annaly Capital Management
NLY
$17B
– –
-12,500
Closed -$629K
NLY icon
3145
PUT
Annaly Capital Management
NLY
$17B
– –
-12,500
Closed -$629K
NNN icon
3146
PUT
NNN REIT
NNN
$8.95B
– –
-50,000
Closed -$1.72M
NXST icon
3147
Nexstar Media Group
NXST
$5.78B
– –
-6,881
Closed -$244K
O icon
3148
PUT
Realty Income
O
$58.4B
– –
-36,120
Closed -$1.47M
OHI icon
3149
PUT
Omega Healthcare
OHI
$14.7B
– –
-30,000
Closed -$931K
PBE icon
3150
Invesco Biotechnology & Genome ETF
PBE
$286M
– –
-45,403
Closed -$1.31M
124 125
126
127 128

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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
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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 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.