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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
NUVA
3201
DELISTED
NuVasive, Inc.
NUVA
– –
-54,050
Closed -$1.34M
FRBK
3202
DELISTED
Republic First Bancorp Inc
FRBK
– –
-28,566
Closed -$81K
CSII
3203
DELISTED
Cardiovascular Systems, Inc.
CSII
– –
-9,693
Closed -$205K
ABMD
3204
DELISTED
Abiomed Inc
ABMD
– –
-85,264
Closed -$1.84M
DRE
3205
PUT
DELISTED
Duke Realty Corp.
DRE
– –
-25,500
Closed -$398K
MTOR
3206
DELISTED
MERITOR, Inc.
MTOR
– –
-46,332
Closed -$327K
CNR
3207
DELISTED
Cornerstone Building Brands, Inc.
CNR
– –
-21,378
Closed -$327K
ETFC
3208
PUT
DELISTED
E*Trade Financial Corporation
ETFC
– –
-160,000
Closed -$2.03M
MLNX
3209
DELISTED
Mellanox Technologies, Ltd.
MLNX
– –
-4,687
Closed -$232K
CHKR
3210
DELISTED
CHESAPEAKE GRANITE WASH TRUST
CHKR
– –
-52,567
Closed -$810K
SDT
3211
DELISTED
SANDRIDGE MISSISSIPPIAN TRUST I
SDT
– –
-694,283
Closed -$9.67M
GHDX
3212
DELISTED
Genomic Health, Inc.
GHDX
– –
-72,263
Closed -$2.29M
MDSO
3213
DELISTED
Medidata Solutions, Inc.
MDSO
– –
-19,744
Closed -$765K
SHOS
3214
DELISTED
Sears Hometown and Outlet Stores, Inc.
SHOS
– –
-15,490
Closed -$677K
NAVB
3215
DELISTED
Navidea Biopharmaceuticals Inc.
NAVB
– –
-559
Closed -$30K
ELLI
3216
DELISTED
Ellie Mae Inc
ELLI
– –
-2,176
Closed -$50K
ELLI
3217
PUT
DELISTED
Ellie Mae Inc
ELLI
– –
-24,000
Closed -$554K
ELGX
3218
DELISTED
Endologix Inc
ELGX
– –
-4,667
Closed -$620K
BPK
3219
DELISTED
Blackrock Muni 2018 Term Tr
BPK
– –
-10,192
Closed -$164K
SONC
3220
DELISTED
Sonic Corp
SONC
– –
-11,767
Closed -$171K
GPT
3221
CALL
DELISTED
Gramercy Property Trust
GPT
– –
-26,667
Closed -$360K
ANTH
3222
DELISTED
Anthera Pharmaceuticals, Inc.
ANTH
– –
-712
Closed -$21K
RSO
3223
DELISTED
Resource Capital Corp.
RSO
– –
-133,822
Closed -$3.29M
LNCE
3224
DELISTED
Snyders-Lance, Inc.
LNCE
– –
-7,260
Closed -$206K
OCRX
3225
DELISTED
Ocera Therapeutics, Inc.
OCRX
– –
-1,622
Closed -$9K
127 128
129
130 131

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AIM
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Fundsmith LLP
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CII
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AAMU
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WANY
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ACA
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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.