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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
SMA
3251
DELISTED
SYMMETRY MEDICAL INC
SMA
– –
-11,628
Closed -$98K
BSP
3252
DELISTED
AMERN STRATEGIC INCM PORTF II
BSP
– –
-10,080
Closed -$83K
SUSS
3253
DELISTED
SUSSER HOLDINGS CORPORATION COMMON STOCK
SUSS
– –
-27,161
Closed -$1.3M
ESC
3254
CALL
DELISTED
EMERITUS CORP
ESC
– –
-75,000
Closed -$1.74M
ESC
3255
DELISTED
EMERITUS CORP
ESC
– –
-97,086
Closed -$2.25M
CWTR
3256
DELISTED
COLDWATER CREEK INC COM STK NEW (DE)
CWTR
– –
-231,368
Closed -$578K
PGRX
3257
DELISTED
PROSPECT GLOBAL RES INC COM (NEW)
PGRX
– –
-218
Closed -$1K
VTNC
3258
DELISTED
VITRAN CORPORATION
VTNC
– –
-112,400
Closed -$735K
CXM
3259
DELISTED
CARDIUM THERAPEUTICS INC NEW
CXM
– –
-2,952
Closed -$4K
LCC
3260
CALL
DELISTED
US AIRWAYS GROUP INC.
LCC
– –
-150,000
Closed -$2.46M
GWAY
3261
DELISTED
GREENWAY MED TECHNOLOGIES INC CPM STK (DE)
GWAY
– –
-78,556
Closed -$969K
DOLE
3262
DELISTED
DOLE FOOD CO INC NEW CMN STK (DE)
DOLE
– –
-104,802
Closed -$1.34M
DELL
3263
PUT
DELISTED
DELL INC
DELL
– –
-100,200
Closed -$1.34M
ASTX
3264
DELISTED
ASTEX PHARMACEUTICALS, INC COM
ASTX
– –
-46,554
Closed -$192K
ARB
3265
DELISTED
ARBITRON INC (NEW)
ARB
– –
-49,536
Closed -$2.3M
CNH
3266
DELISTED
CNH GLOBAL N.V. (NEW)
CNH
– –
-17,443
Closed -$726K
SFD
3267
DELISTED
SMITHFIELD FOODS,INC
SFD
– –
-496,175
Closed -$16.6M
WWAV.B
3268
DELISTED
THE WHITEWAVE FOODS COMPANY CLASS B COM STK
WWAV.B
– –
-74,424
Closed -$1.13M
IN
3269
DELISTED
INTERMEC, INC.
IN
– –
-125,259
Closed -$1.23M
LPR
3270
DELISTED
LONE PINE RES INC
LPR
– –
-3,211,110
Closed -$1.06M
TSRX
3271
DELISTED
TRIUS THERAPEUTICS INC COM STK (DE)
TSRX
– –
-14,993
Closed -$121K
BMC
3272
DELISTED
BMC SOFTWARE, INC
BMC
– –
-578,267
Closed -$26.1M
BKI
3273
DELISTED
BUCKEYE TECHNOLOGY INC
BKI
– –
-39,304
Closed -$1.46M
KEYN
3274
DELISTED
KEYNOTE SYSTEMS INC
KEYN
– –
-23,626
Closed -$467K
LEDR
3275
DELISTED
MARKET LEADER INC COM STK (WA)
LEDR
– –
-106,305
Closed -$1.14M
129 130
131
132 133

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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
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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.