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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
KWR icon
3226
Quaker Houghton
KWR
$2.9B
– –
-10,410
Closed -$760K
LINC icon
3227
Lincoln Educational Services
LINC
$1.25B
– –
-157,125
Closed -$724K
MED icon
3228
Medifast
MED
$137M
– –
-42,927
Closed -$1.15M
MOFG
3229
DELISTED
MidWestOne Financial Group
MOFG
– –
-3,249
Closed -$83K
MOS icon
3230
PUT
The Mosaic Company
MOS
$7.39B
– –
-41,300
Closed -$1.79M
MPWR icon
3231
Monolithic Power Systems
MPWR
$68.4B
– –
-32,512
Closed -$984K
NKE icon
3232
CALL
Nike
NKE
$62.5B
– –
-39,000
Closed -$1.44M
NRO
3233
Neuberger Real Estate Securities Income Fund Inc
NRO
$189M
– –
-49,894
Closed -$215K
NTCT icon
3234
NETSCOUT
NTCT
$2.93B
– –
-20,967
Closed -$536K
NXP icon
3235
Nuveen Select Tax-Free Income Portfolio
NXP
$895M
– –
-10,782
Closed -$141K
ONTO icon
3236
Onto Innovation
ONTO
$13.6B
– –
-32,965
Closed -$531K
OSPN icon
3237
OneSpan
OSPN
$597M
– –
-62,351
Closed -$492K
OXM icon
3238
Oxford Industries
OXM
$561M
– –
-9,263
Closed -$630K
PARA
3239
PUT
DELISTED
Paramount Global Class B
PARA
– –
-1,500
Closed -$83K
PATK icon
3240
Patrick Industries
PATK
$2.88B
– –
-32,309
Closed -$288K
PESI icon
3241
Perma-Fix Environmental Services
PESI
$373M
– –
-2,446
Closed -$9K
PHO icon
3242
Invesco Water Resources ETF
PHO
$2.07B
– –
-14,400
Closed -$344K
PIM
3243
Franklin Master Intermediate Income Trust
PIM
$152M
– –
-43,275
Closed -$211K
QNST icon
3244
QuinStreet
QNST
$874M
– –
-103,760
Closed -$981K
QUAD icon
3245
Quad
QUAD
$522M
– –
-118,763
Closed -$3.6M
RWT
3246
CALL
Redwood Trust
RWT
$572M
– –
-50,000
Closed -$1M
SBCF icon
3247
Seacoast Banking Corp of Florida
SBCF
$3.35B
– –
-7,810
Closed -$84K
SEM
3248
DELISTED
Select Medical
SEM
– –
-2,415,293
Closed -$10.5M
SMP icon
3249
Standard Motor Products
SMP
$891M
– –
-33,910
Closed -$1.09M
SWBI icon
3250
Smith & Wesson
SWBI
$652M
– –
-15,252
Closed -$129K
128 129
130
131 132

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.