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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
+3.48%
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
$35.2B
AUM Growth
+$2.25B
Cap. Flow
+$1.59B
Cap. Flow %
4.52%
Top 10 Hldgs %
5.35%
Holding
3,470
New
295
Increased
1,678
Reduced
1,270
Closed
203

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$86.8M
2
BSJH
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
+$76.3M
3
DHI icon
D.R. Horton
DHI
+$65.5M
4
BSCE
CLAYMORE GUGGENHEIM BULLETSHARES 2014 CORP BD ETF
BSCE
+$60.5M
5
EOG icon
EOG Resources
EOG
+$57.6M

Top Sells

Rank Stock Value
1
BSJE
GUGGENGEIM BULLETSHARES 2014 HIGH YIELD CORPORATE BOND ETF
BSJE
+$65.1M
2
ZOLT
ZOLTEK COMPANIES INC
ZOLT
+$41.5M
3
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$39M
4
GOOG icon
Alphabet (Google) Class C
GOOG
+$38.3M
5
QCOM icon
Qualcomm
QCOM
+$38.2M

Sector Composition

Rank Sector Weight
1 Financials 11.12%
2 Technology 11.03%
3 Industrials 10.67%
4 Consumer Discretionary 9.98%
5 Healthcare 9.72%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DZSI
3151
DELISTED
DZS Inc. Common Stock
DZSI
$44K ﹤0.01%
+2,101
New +$47.5K
GROW icon
3152
US Global Investors
GROW
$38.5M
$43K ﹤0.01%
13,245
+3,012
+29% +$9.93K
RSOL
3153
DELISTED
REAL GOODS SOLAR, INC. CL A COM
RSOL
$43K ﹤0.01%
+10,515
New +$41.1K
TOVX icon
3154
Theriva Biologics
TOVX
$10.3M
$42K ﹤0.01%
2
+1
+100% +$20.7K
NXR
3155
DELISTED
NUVEEN ELECT TAX-FREE INC 3
NXR
$42K ﹤0.01%
+3,047
New +$40.9K
ELON
3156
DELISTED
Echelon Corp
ELON
$42K ﹤0.01%
+1,518
New +$45.8K
HTM
3157
DELISTED
U.S. Geothermal Inc.
HTM
$42K ﹤0.01%
9,303
+2,113
+29% +$6.9K
INOD icon
3158
Innodata
INOD
$2.14B
$41K ﹤0.01%
14,003
+3,182
+29% +$9.43K
RIGL icon
3159
Rigel Pharmaceuticals
RIGL
$733M
$41K ﹤0.01%
1,061
-92
-8% -$3.28K
DVAX
3160
DELISTED
Dynavax Technologies
DVAX
$40K ﹤0.01%
2,211
-78
-3% -$1.45K
SURG
3161
DELISTED
SYNERGETICS USA, INC.
SURG
$40K ﹤0.01%
13,002
+2,956
+29% +$10K
VRML
3162
DELISTED
Vermillion, Inc.
VRML
$40K ﹤0.01%
+13,494
New +$38.9K
DNDN
3163
DELISTED
DENDREON CORPORATION
DNDN
$39K ﹤0.01%
13,206
-2,416
-15% -$7.15K
ZIPR
3164
DELISTED
ZIP REALTY, INC
ZIPR
$39K ﹤0.01%
+11,992
New +$54.2K
OPTT icon
3165
Ocean Power Technologies
OPTT
$47.8M
$38K ﹤0.01%
+51
New +$34.5K
TELL
3166
DELISTED
Tellurian Inc.
TELL
$38K ﹤0.01%
3,356
+762
+29% +$7.52K
ALSK
3167
DELISTED
Alaska Communications Systems
ALSK
$38K ﹤0.01%
19,826
+4,503
+29% +$9.69K
CVM icon
3168
CEL-SCI Corp
CVM
$28.1M
$37K ﹤0.01%
32
+15
+88% +$13K
SEEL
3169
DELISTED
Seelos Therapeutics, Inc. Common Stock
SEEL
– –
0
– –
ETRM
3170
DELISTED
EnteroMedics Inc.
ETRM
$37K ﹤0.01%
19
+6
+46% +$14.2K
LXRX icon
3171
Lexicon Pharmaceuticals
LXRX
$1.05B
$36K ﹤0.01%
2,943
-468
-14% -$5.98K
UAMY icon
3172
United States Antimony
UAMY
$920M
$36K ﹤0.01%
19,586
+4,452
+29% +$8.62K
AIM
3173
AIM ImmunoTech
AIM
$7.51M
$35K ﹤0.01%
2
+1
+100% +$21.2K
GEG icon
3174
Great Elm Group
GEG
$69.9M
$34K ﹤0.01%
1,304
-48
-4% -$892
RIOT icon
3175
Riot Platforms
RIOT
$8.02B
$33K ﹤0.01%
+1,582
New +$32.5K
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 Q1 2014 Portfolio in Review

As of Q1 2014, Guggenheim Capital held 3,470 positions worth $35.2B, up 6.8% from $32.9B the previous quarter. Its ten largest holdings account for 5.3% of the portfolio.

Guggenheim Capital deployed $1.59B of net new capital in Q1 2014, opening 295 new positions and adding to 1,678 existing holdings. Its largest new stake was Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust: 1,154,388 shares worth $23.9M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Technology and Industrials.

On the sell side, the largest reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, an estimated $39M trimmed.

  • Guggenheim Capital's largest Q1 2014 buy was Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust: 1,154,388 shares worth $23.9M.
  • Guggenheim Capital added most to State Street SPDR S&P 500 ETF Trust in Q1 2014, an estimated $86.8M increase.
  • Guggenheim Capital's biggest Q1 2014 reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, cutting an estimated $39M.
  • Guggenheim Capital fully exited GUGGENGEIM BULLETSHARES 2014 HIGH YIELD CORPORATE BOND ETF in Q1 2014, selling an estimated $65.1M.
  • Guggenheim Capital's ten largest holdings make up 5.3% of its $35.2B portfolio in Q1 2014.
  • Guggenheim Capital opened 295 new positions and closed 203 in Q1 2014.
  • Guggenheim Capital's portfolio value rose 6.8% quarter-over-quarter to $35.2B.

Based on Guggenheim Capital's 13F filing for Q1 2014, filed 16 May 2014.