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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
TLT icon
3176
iShares 20+ Year Treasury Bond ETF
TLT
$41.6B
– –
-15,000
Closed -$1.66M
TPH
3177
DELISTED
Tri Pointe Homes
TPH
– –
-101,344
Closed -$1.68M
TR icon
3178
Tootsie Roll Industries
TR
$3.01B
– –
-9,610
Closed -$208K
TRGP icon
3179
Targa Resources
TRGP
$56.8B
– –
-6,488
Closed -$417K
TTSH
3180
DELISTED
Tile Shop Holdings
TTSH
– –
-7,150
Closed -$207K
UMC icon
3181
United Microelectronic
UMC
$48.3B
– –
-11,319
Closed -$26K
USNA icon
3182
Usana Health Sciences
USNA
$271M
– –
-37,554
Closed -$1.36M
VCR icon
3183
Vanguard Consumer Discretionary ETF
VCR
$6.24B
– –
-10,832
Closed -$987K
VHI icon
3184
Valhi
VHI
$445M
– –
-12,975
Closed -$2.14M
VZ icon
3185
CALL
Verizon
VZ
$194B
– –
-180,000
Closed -$9.06M
WCC
3186
WESCO International
WCC
$18.2B
– –
-11,954
Closed -$813K
WELL icon
3187
PUT
Welltower
WELL
$169B
– –
-30,000
Closed -$2.01M
WEN icon
3188
PUT
Wendy's
WEN
$1.46B
– –
-85,600
Closed -$499K
WT icon
3189
WisdomTree
WT
$3.29B
– –
-13,068
Closed -$151K
WY icon
3190
CALL
Weyerhaeuser
WY
$18.2B
– –
-30,000
Closed -$855K
XHB icon
3191
PUT
State Street SPDR S&P Homebuilders ETF
XHB
$1.53B
– –
-25,000
Closed -$736K
XLF icon
3192
PUT
State Street Financial Select Sector SPDR ETF
XLF
$58.3B
– –
-142,393
Closed -$2.44M
XLI icon
3193
State Street Industrial Select Sector SPDR ETF
XLI
$33.7B
– –
-65,600
Closed -$2.97M
XLP icon
3194
PUT
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.8B
– –
-40,000
Closed -$1.59M
XLY icon
3195
PUT
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$22.8B
– –
-80,000
Closed -$2.26M
XPH icon
3196
State Street SPDR S&P Pharmaceuticals ETF
XPH
$504M
– –
-35,278
Closed -$1.24M
ZUMZ icon
3197
Zumiez
ZUMZ
$338M
– –
-24,302
Closed -$699K
BECN
3198
DELISTED
Beacon Roofing Supply, Inc.
BECN
– –
-32,710
Closed -$1.24M
FFNW
3199
DELISTED
First Financial Northwest, Inc
FFNW
– –
-14,655
Closed -$151K
CHUY
3200
DELISTED
Chuy's Holdings, Inc. Common Stock
CHUY
– –
-8,265
Closed -$317K
126 127
128
129 130

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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
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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.