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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
TELL
3126
DELISTED
Tellurian Inc.
TELL
$22K ﹤0.01%
2,594
+154
+6% +$1.29K
GV
3127
DELISTED
Goldfield Corporation
GV
$22K ﹤0.01%
11,328
+673
+6% +$1.34K
IRD
3128
Opus Genetics
IRD
$307M
$21K ﹤0.01%
87
+5
+6% +$1.06K
AVEO
3129
DELISTED
AVEO Pharmaceuticals, Inc.
AVEO
$21K ﹤0.01%
+1,121
New +$22.4K
MJES
3130
DELISTED
MAJESCO HOLDINGS INC. NEW
MJES
$21K ﹤0.01%
36,405
+2,152
+6% +$1.24K
RDNT icon
3131
RadNet
RDNT
$5.36B
$20K ﹤0.01%
11,970
+711
+6% +$1.51K
EGIO
3132
DELISTED
Edgio, Inc. Common Stock
EGIO
$20K ﹤0.01%
+256
New +$19.9K
FRTX
3133
DELISTED
Fresh Tracks Therapeutics, Inc. Common Stock
FRTX
$20K ﹤0.01%
+5
New +$18.9K
SWSH
3134
DELISTED
SWISHER HYGIENE INC COM STK NEW (DE)
SWSH
$20K ﹤0.01%
3,847
+2,032
+112% +$11.7K
SDEV
3135
Stablecoin Development Corp
SDEV
$52.5M
– –
0
– –
WYY icon
3136
WidePoint Corp
WYY
$106M
$19K ﹤0.01%
1,152
+69
+6% +$724
AXIA.PR
3137
DELISTED
AXIA Energia American Depositary Shares Preferred Class B1
AXIA.PR
$18K ﹤0.01%
5,074
-134,900
-96% -$515K
SVRA icon
3138
Savara
SVRA
$1.19B
$18K ﹤0.01%
541
+32
+6% +$1.03K
ZN
3139
DELISTED
Zion Oil & Gas, Inc.
ZN
$18K ﹤0.01%
13,086
+778
+6% +$1.21K
IMUC
3140
DELISTED
ImmunoCellular Therapeutics, Ltd.
IMUC
$18K ﹤0.01%
484
+29
+6% +$2.75K
AIM
3141
AIM ImmunoTech
AIM
$7.51M
$18K ﹤0.01%
1
– –
CASI
3142
DELISTED
CASI Pharmaceuticals
CASI
$17K ﹤0.01%
+1,001
New +$16.9K
GSI
3143
DELISTED
GENERAL STL HLDGS INC COM NEW (NV)
GSI
$17K ﹤0.01%
3,773
+224
+6% +$1.09K
LOCM
3144
DELISTED
LOCAL CORP COM STK (DE)
LOCM
$17K ﹤0.01%
10,761
+639
+6% +$1.13K
MVIS icon
3145
Microvision
MVIS
$76.1M
$16K ﹤0.01%
806
+48
+6% +$1.04K
TOVX icon
3146
Theriva Biologics
TOVX
$10.3M
$16K ﹤0.01%
+1
New +$12.6K
HTM
3147
DELISTED
U.S. Geothermal Inc.
HTM
$16K ﹤0.01%
7,190
+426
+6% +$1.06K
JRCC
3148
DELISTED
JAMES RIVER COAL NEW
JRCC
$16K ﹤0.01%
12,076
+716
+6% +$1.19K
YTEN
3149
DELISTED
Yield10 Bioscience, Inc. Common Stock
YTEN
– –
0
– –
ZLCS
3150
DELISTED
ZALICUS INC COM NEW
ZLCS
$15K ﹤0.01%
13,369
+5,145
+63% +$14.5K
124 125
126
127 128

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TRSOTSOK
Teachers Retirement System of the State of Kentucky Frankfort, Kentucky $12.9B AUM 31.03% 1-Year Est. Return
AIM
ARK Investment Management St. Petersburg, Florida $12.9B AUM 64.92% 1-Year Est. Return
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
APG Asset Management US New York $13B AUM 5.3% 1-Year Est. Return
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 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.