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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
TBBK icon
3251
The Bancorp
TBBK
$2.99B
– –
-145,457
Closed -$2.58M
TBI
3252
Trueblue
TBI
$312M
– –
-41,882
Closed -$1.01M
TCPC icon
3253
BlackRock TCP Capital
TCPC
$321M
– –
-239,918
Closed -$3.89M
TFSL icon
3254
TFS Financial
TFSL
$5.06B
– –
-53,373
Closed -$639K
TSI
3255
TCW Strategic Income Fund
TSI
$212M
– –
-11,394
Closed -$61K
TUR icon
3256
iShares MSCI Turkey ETF
TUR
$213M
– –
-4,200
Closed -$232K
UHT
3257
Universal Health Realty Income Trust
UHT
$585M
– –
-12,617
Closed -$528K
UI icon
3258
PUT
Ubiquiti
UI
$34.3B
– –
-69,900
Closed -$2.38M
VCEL icon
3259
Vericel Corp
VCEL
$2.3B
– –
-1,704
Closed -$9K
VO icon
3260
Vanguard Morningstar Mid-Cap ETF
VO
$108B
– –
-23,400
Closed -$599K
VOD icon
3261
PUT
Vodafone
VOD
$36.9B
– –
-147,150
Closed -$5.28M
VPG icon
3262
Vishay Precision Group
VPG
$935M
– –
-772,387
Closed -$11.2M
WBA
3263
CALL
DELISTED
Walgreens Boots Alliance
WBA
– –
-106,500
Closed -$5.81M
WSBF icon
3264
Waterstone Financial
WSBF
$376M
– –
-19,908
Closed -$185K
XLF icon
3265
State Street Financial Select Sector SPDR ETF
XLF
$58.3B
– –
-464,885
Closed -$8.12M
XLV icon
3266
State Street Health Care Select Sector SPDR ETF
XLV
$42B
– –
-200,000
Closed -$10.1M
GAP
3267
PUT
The Gap Inc
GAP
$7.4B
– –
-29,000
Closed -$1.18M
BERY
3268
DELISTED
Berry Global Group, Inc.
BERY
– –
-25,633
Closed -$470K
TAST
3269
DELISTED
Carrols Restaurant Group, Inc.
TAST
– –
-106,514
Closed -$650K
MIXT
3270
DELISTED
MIX TELEMATICS LIMITED
MIXT
– –
-35,257
Closed -$522K
BBBY
3271
PUT
DELISTED
Bed Bath & Beyond Inc
BBBY
– –
-37,300
Closed -$2.88M
CEA
3272
DELISTED
China Eastern Airlines
CEA
– –
-23,826
Closed -$390K
HNGR
3273
DELISTED
Hanger Inc.
HNGR
– –
-24,261
Closed -$819K
SHI
3274
DELISTED
Sinopec Shanghai Petrochemical Co., Ltd.
SHI
– –
-19,760
Closed -$496K
ACH
3275
DELISTED
Alum Corp of China Ltd
ACH
– –
-74,237
Closed -$685K
129 130
131
132 133

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.