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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
+3.48%
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
$35.2B
AUM Growth
+$2.25B
Cap. Flow
+$1.59B
Cap. Flow %
4.52%
Top 10 Hldgs %
5.35%
Holding
3,470
New
295
Increased
1,678
Reduced
1,270
Closed
203

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$86.8M
2
BSJH
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
+$76.3M
3
DHI icon
D.R. Horton
DHI
+$65.5M
4
BSCE
CLAYMORE GUGGENHEIM BULLETSHARES 2014 CORP BD ETF
BSCE
+$60.5M
5
EOG icon
EOG Resources
EOG
+$57.6M

Top Sells

Rank Stock Value
1
BSJE
GUGGENGEIM BULLETSHARES 2014 HIGH YIELD CORPORATE BOND ETF
BSJE
+$65.1M
2
ZOLT
ZOLTEK COMPANIES INC
ZOLT
+$41.5M
3
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$39M
4
GOOG icon
Alphabet (Google) Class C
GOOG
+$38.3M
5
QCOM icon
Qualcomm
QCOM
+$38.2M

Sector Composition

Rank Sector Weight
1 Financials 11.12%
2 Technology 11.03%
3 Industrials 10.67%
4 Consumer Discretionary 9.98%
5 Healthcare 9.72%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XPL icon
3251
Solitario Resources
XPL
$68.9M
$14K ﹤0.01%
+10,690
New +$12.8K
ADAT
3252
DELISTED
AUTHENTIDATE HOLDING CORP COM STK (DE)
ADAT
$14K ﹤0.01%
+1,596
New +$17.4K
SARA
3253
DELISTED
SARATOGA RESOURCES INC
SARA
$14K ﹤0.01%
+10,604
New +$12.7K
WTSL
3254
DELISTED
WET SEAL INC CL-A
WTSL
$14K ﹤0.01%
10,327
-998
-9% -$2.04K
COSI
3255
DELISTED
COSI INC NEW COM STK (DE)
COSI
$12K ﹤0.01%
+10,455
New +$14.4K
WAVX
3256
DELISTED
WAVE SYS CORP CL A NEW COM STK (DE)
WAVX
$12K ﹤0.01%
1,327
+305
+30% +$2.94K
JRCC
3257
DELISTED
JAMES RIVER COAL NEW
JRCC
$12K ﹤0.01%
15,627
+3,551
+29% +$3.29K
CEI
3258
DELISTED
Camber Energy, Inc
CEI
– –
0
– –
BAXS
3259
DELISTED
BAXANO SURGICAL INC COM STK (DE)
BAXS
$11K ﹤0.01%
+10,456
New +$13.1K
CERE
3260
DELISTED
CERES, INC. COMMON STOCK NEW
CERE
$9K ﹤0.01%
+1,266
New +$13.2K
OIBR.C
3261
DELISTED
OI S.A. American Depositary Shares, each representing five shares of common stock
OIBR.C
$4K ﹤0.01%
5
-1
-17% -$861
KID
3262
DELISTED
KID BRANDS,INC COMMON STOCK
KID
$3K ﹤0.01%
+10,505
New +$8.32K
CWTR
3263
DELISTED
COLDWATER CREEK INC COM STK NEW (DE)
CWTR
$2K ﹤0.01%
+11,262
New +$8.49K
A icon
3264
CALL
Agilent Technologies
A
$39.9B
– –
-69,900
Closed -$2.87M
AAXJ icon
3265
iShares MSCI All Country Asia ex Japan ETF
AAXJ
$3.74B
– –
-1,310
Closed -$79K
ACCO icon
3266
Acco Brands
ACCO
$407M
– –
-328,565
Closed -$2.21M
AIT icon
3267
Applied Industrial Technologies
AIT
$13.3B
– –
-4,750
Closed -$233K
ARCO icon
3268
Arcos Dorados Holdings
ARCO
$1.76B
– –
-10,689
Closed -$126K
ASG
3269
Liberty All-Star Growth Fund
ASG
$339M
– –
-18,641
Closed -$105K
BJRI icon
3270
BJ's Restaurants
BJRI
$1.49B
– –
-46,137
Closed -$1.43M
BRK.A icon
3271
Berkshire Hathaway Class A
BRK.A
$1.13T
– –
-23
Closed -$4.09M
CAT icon
3272
PUT
Caterpillar
CAT
$395B
– –
-40,000
Closed -$3.63M
CEE
3273
Central and Eastern Europe Fund
CEE
$138M
– –
-7,438
Closed -$217K
CFFN icon
3274
Capitol Federal Financial
CFFN
$1.11B
– –
-20,788
Closed -$252K
CHMI
3275
Cherry Hill Mortgage Investment Corp
CHMI
$87.8M
– –
-12,693
Closed -$226K
129 130
131
132 133

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TRSOTSOK
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AIM
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Fundsmith LLP
Fundsmith LLP London, United Kingdom $12.8B AUM 6.9% 1-Year Est. Return
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 Q1 2014 Portfolio in Review

As of Q1 2014, Guggenheim Capital held 3,470 positions worth $35.2B, up 6.8% from $32.9B the previous quarter. Its ten largest holdings account for 5.3% of the portfolio.

Guggenheim Capital deployed $1.59B of net new capital in Q1 2014, opening 295 new positions and adding to 1,678 existing holdings. Its largest new stake was Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust: 1,154,388 shares worth $23.9M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Technology and Industrials.

On the sell side, the largest reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, an estimated $39M trimmed.

  • Guggenheim Capital's largest Q1 2014 buy was Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust: 1,154,388 shares worth $23.9M.
  • Guggenheim Capital added most to State Street SPDR S&P 500 ETF Trust in Q1 2014, an estimated $86.8M increase.
  • Guggenheim Capital's biggest Q1 2014 reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, cutting an estimated $39M.
  • Guggenheim Capital fully exited GUGGENGEIM BULLETSHARES 2014 HIGH YIELD CORPORATE BOND ETF in Q1 2014, selling an estimated $65.1M.
  • Guggenheim Capital's ten largest holdings make up 5.3% of its $35.2B portfolio in Q1 2014.
  • Guggenheim Capital opened 295 new positions and closed 203 in Q1 2014.
  • Guggenheim Capital's portfolio value rose 6.8% quarter-over-quarter to $35.2B.

Based on Guggenheim Capital's 13F filing for Q1 2014, filed 16 May 2014.