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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
PBJ icon
3151
Invesco Food & Beverage ETF
PBJ
$107M
– –
-53,343
Closed -$1.31M
PCRX icon
3152
Pacira BioSciences
PCRX
$997M
– –
-21,406
Closed -$621K
PEJ icon
3153
Invesco Leisure and Entertainment ETF
PEJ
$253M
– –
-47,484
Closed -$1.33M
POWI icon
3154
Power Integrations
POWI
$3.33B
– –
-13,046
Closed -$264K
PPBI
3155
DELISTED
Pacific Premier Bancorp
PPBI
– –
-44,216
Closed -$540K
PRI icon
3156
Primerica
PRI
$10.1B
– –
-6,383
Closed -$239K
PSMT icon
3157
Pricesmart
PSMT
$5.64B
– –
-5,177
Closed -$454K
PST icon
3158
PUT
ProShares Trust UltraShort Lehman 7-10 Year Treasury
PST
$10.5M
– –
-50,000
Closed -$1.48M
PXE icon
3159
Invesco Energy Exploration & Production ETF
PXE
$80.1M
– –
-44,673
Closed -$1.32M
QLD icon
3160
ProShares Ultra QQQ
QLD
$13.8B
– –
-1,907,200
Closed -$3.89M
REM icon
3161
PUT
iShares Mortgage Real Estate ETF
REM
$534M
– –
-12,500
Closed -$633K
RF icon
3162
PUT
Regions Financial
RF
$26.9B
– –
-240,000
Closed -$2.29M
RRX icon
3163
Regal Rexnord
RRX
$12B
– –
-8,351
Closed -$542K
RXI icon
3164
iShares Global Consumer Discretionary ETF
RXI
$274M
– –
-17,946
Closed -$1.27M
RYAAY icon
3165
Ryanair
RYAAY
$31.5B
– –
-23,244
Closed -$491K
ECHO
3166
EchoStar
ECHO
$25.1B
– –
-9,334
Closed -$296K
SCHW
3167
PUT
Charles Schwab
SCHW
$187B
– –
-80,000
Closed -$1.7M
SCL icon
3168
Stepan Co
SCL
$1.46B
– –
-23,199
Closed -$1.29M
SCOR icon
3169
Comscore
SCOR
$112M
– –
-439
Closed -$214K
SITC icon
3170
CALL
SITE Centers
SITC
$162M
– –
-38,805
Closed -$833K
SLG icon
3171
PUT
SL Green Realty
SLG
$3.88B
– –
-30,990
Closed -$2.65M
SLM icon
3172
PUT
SLM Corp
SLM
$5.15B
– –
-139,900
Closed -$1.14M
SOXX icon
3173
iShares Semiconductor ETF
SOXX
$48.1B
– –
-41,235
Closed -$873K
STNG icon
3174
Scorpio Tankers
STNG
$3.83B
– –
-4,091
Closed -$367K
STT icon
3175
PUT
State Street
STT
$51.1B
– –
-50,000
Closed -$3.26M
125 126
127
128 129

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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 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.