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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
CATX icon
3151
Perspective Therapeutics
CATX
$339M
$14K ﹤0.01%
2,857
+169
+6% +$890
SSKN
3152
DELISTED
Strata Skin Sciences
SSKN
$14K ﹤0.01%
45
+3
+7% +$1.07K
ROX
3153
DELISTED
Castle Brands, Inc.
ROX
$14K ﹤0.01%
18,020
+1,069
+6% +$861
CRDC
3154
DELISTED
CARDICA INC COM NEW (DE)
CRDC
$14K ﹤0.01%
1,436
+85
+6% +$944
XEC
3155
CALL
DELISTED
CIMAREX ENERGY CO
XEC
$13K ﹤0.01%
+120
New +$12.2K
DCTH
3156
DELISTED
Delcath Systems Inc
DCTH
$13K ﹤0.01%
197
+90
+84% +$7.59K
VGZ icon
3157
Vista Gold
VGZ
$296M
$12K ﹤0.01%
32,429
+1,917
+6% +$794
CEI
3158
DELISTED
Camber Energy, Inc
CEI
– –
0
– –
OVRL
3159
DELISTED
OVERLAND STORAGE INC
OVRL
$11K ﹤0.01%
2,193
+130
+6% +$633
AIG.WS
3160
DELISTED
American International Group, Inc.
AIG.WS
$9K ﹤0.01%
463
– –
WAVX
3161
DELISTED
WAVE SYS CORP CL A NEW COM STK (DE)
WAVX
$9K ﹤0.01%
+1,022
New +$11.8K
VRS
3162
DELISTED
VERSO CORP COM STK (DE)
VRS
$9K ﹤0.01%
14,162
+841
+6% +$570
SVBL
3163
DELISTED
SILVER BULL RESOURCES, INC
SVBL
$9K ﹤0.01%
25,193
+1,495
+6% +$513
FWLT
3164
DELISTED
FOSTER WHEELER AG (SWITZERLAND)
FWLT
$9K ﹤0.01%
270
-57,582
-100% -$1.68M
MGN
3165
DELISTED
MINES MGMT INC
MGN
$9K ﹤0.01%
15,298
+909
+6% +$515
REPX icon
3166
Riley Exploration Permian
REPX
$739M
$8K ﹤0.01%
177
+11
+7% +$550
HH
3167
DELISTED
Hooper Holmes Inc
HH
$8K ﹤0.01%
1,068
+63
+6% +$531
DARA
3168
DELISTED
DARA BIOSCIENCES INC COM STK (DE)
DARA
$8K ﹤0.01%
3,072
+182
+6% +$475
CVM icon
3169
CEL-SCI Corp
CVM
$28.1M
$7K ﹤0.01%
+17
New +$10.4K
AUMN
3170
DELISTED
Golden Minerals Company
AUMN
$7K ﹤0.01%
554
+33
+6% +$522
AGIG
3171
Abundia Global Impact Group
AGIG
$39.2M
$5K ﹤0.01%
171
+10
+6% +$351
OIBR.C
3172
DELISTED
OI S.A. American Depositary Shares, each representing five shares of common stock
OIBR.C
$5K ﹤0.01%
6
– –
AAPL icon
3173
CALL
Apple
AAPL
$4.56T
– –
-162,400
Closed -$2.8M
ABCB icon
3174
Ameris Bancorp
ABCB
$5.92B
– –
-10,511
Closed -$193K
ACWI icon
3175
iShares MSCI ACWI ETF
ACWI
$33.3B
– –
-2,400
Closed -$129K
125 126
127
128 129

Similar funds

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.