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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
AGD
3176
abrdn Global Dynamic Dividend Fund
AGD
$318M
– –
-13,596
Closed -$129K
AHT
3177
Ashford Hospitality Trust
AHT
$21M
– –
-20
Closed -$155K
AMED
3178
DELISTED
Amedisys
AMED
– –
-159,110
Closed -$2.74M
AMRN
3179
Amarin Corp
AMRN
$301M
– –
-42,099
Closed -$5.32M
APD icon
3180
CALL
Air Products & Chemicals
APD
$66.8B
– –
-37,835
Closed -$3.75M
APO icon
3181
Apollo Global Management
APO
$73.7B
– –
-451,054
Closed -$12.7M
ASPS icon
3182
Altisource Portfolio Solutions
ASPS
$66M
– –
-215
Closed -$241K
BAC.PRL icon
3183
Bank of America Series L
BAC.PRL
$3.98B
– –
-11,283
Closed -$12.2M
BN icon
3184
Brookfield
BN
$108B
– –
-29,045
Closed -$254K
CCL icon
3185
CALL
Carnival Corporation Ltd
CCL
$39.4B
– –
-11,600
Closed -$381K
CF icon
3186
PUT
CF Industries
CF
$17.9B
– –
-141,000
Closed -$5.95M
COHU icon
3187
Cohu
COHU
$2.45B
– –
-34,298
Closed -$374K
CTS icon
3188
CTS Corp
CTS
$1.89B
– –
-73,487
Closed -$1.16M
DE icon
3189
PUT
Deere & Co
DE
$166B
– –
-28,200
Closed -$2.32M
DIA icon
3190
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$46.3B
– –
-806,700
Closed -$122M
DMO
3191
Western Asset Mortgage Opportunity Fund
DMO
$119M
– –
-9,817
Closed -$221K
DORM icon
3192
Dorman Products
DORM
$4.08B
– –
-31,305
Closed -$1.55M
EA icon
3193
PUT
Electronic Arts
EA
– –
-58,300
Closed -$1.51M
EEFT icon
3194
Euronet Worldwide
EEFT
$2.73B
– –
-233,547
Closed -$9.29M
ERH
3195
Allspring Utilities & High Income Fund
ERH
$103M
– –
-14,875
Closed -$178K
EWA icon
3196
iShares MSCI Australia ETF
EWA
$1.44B
– –
-2,620
Closed -$66K
EWY icon
3197
iShares MSCI South Korea ETF
EWY
$23.8B
– –
-2,200
Closed -$135K
EXLS icon
3198
EXL Service
EXLS
$5.25B
– –
-124,470
Closed -$709K
F icon
3199
PUT
Ford
F
$55B
– –
-165,300
Closed -$2.82M
FAX
3200
abrdn Asia-Pacific Income Fund
FAX
$595M
– –
-4,223
Closed -$154K
126 127
128
129 130

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.