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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
PKY
3226
DELISTED
Parkway, Inc.
PKY
– –
-14,858
Closed -$249K
GGE
3227
DELISTED
Guggenheim Enhncd Eqty Strtgy Fd
GGE
– –
-15,985
Closed -$283K
GGP
3228
CALL
DELISTED
GGP Inc.
GGP
– –
-88,800
Closed -$1.76M
NRF
3229
CALL
DELISTED
NorthStar Realty Finance Corp.
NRF
– –
-46,087
Closed -$824K
DRYS
3230
DELISTED
DryShips Inc. Common Stock
DRYS
– –
0
– -$1.34M
FAV
3231
DELISTED
FIRST TRUST DIVIDEND AND INCOME FD COM
FAV
– –
-29,049
Closed -$237K
MFRM
3232
DELISTED
MATTRESS FIRM HLDG CORP COM STK (DE)
MFRM
– –
-5,308
Closed -$214K
RBS.PRT
3233
DELISTED
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
– –
-339,369
Closed -$8.13M
IHS
3234
DELISTED
IHS INC CL-A COM STK
IHS
– –
-6,717
Closed -$701K
LINE
3235
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
– –
-337,625
Closed -$11.2M
HPY
3236
DELISTED
HEARTLAND PAYMENT SYSTEMS, INC. COM STK
HPY
– –
-6,545
Closed -$244K
JMI
3237
DELISTED
JAVELIN MTG INVESTMENT CORP COM
JMI
– –
-80,870
Closed -$1.14M
LF
3238
PUT
DELISTED
LEAPFROG ENTERPRISES INC.
LF
– –
-20,000
Closed -$197K
SYA
3239
DELISTED
SYMETRA FINANCIAL CORPORATION COMMON STOCK
SYA
– –
-85,063
Closed -$1.36M
WHZ
3240
DELISTED
WHITING USA TR II TR UNIT (DE)
WHZ
– –
-47,238
Closed -$608K
WAVX
3241
DELISTED
WAVE SYS CORP CL A NEW COM STK (DE)
WAVX
– –
-957
Closed -$11K
BEE
3242
CALL
DELISTED
STRATEGIC HOTELS & RESORTS, INC
BEE
– –
-30,000
Closed -$266K
PGI
3243
DELISTED
PREMIERE GLOBAL SERVICES, INC.
PGI
– –
-83,253
Closed -$1M
MM
3244
DELISTED
MILLENNIAL MEDIA INC COM STK (DE)
MM
– –
-13,883
Closed -$121K
PPO
3245
DELISTED
POLYPORE INTERNATIONAL, INC
PPO
– –
-8,566
Closed -$345K
MCRL
3246
DELISTED
MICREL INC
MCRL
– –
-14,274
Closed -$141K
RBS.PRN
3247
DELISTED
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
– –
-3,073
Closed -$65K
ANV
3248
PUT
DELISTED
Allied Nevada Gold Corp
ANV
– –
-52,400
Closed -$340K
DRL
3249
DELISTED
DORAL FINANCIAL CORPORATION (NEW)
DRL
– –
-1,841
Closed -$31K
BKW
3250
DELISTED
BURGER KING WORLDWIDE
BKW
– –
-10,180
Closed -$199K
128 129
130
131 132

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CII
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AAMU
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WANY
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ZIG
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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.