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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
ASCA
3276
DELISTED
AMERISTAR CASINOS INC
ASCA
– –
-32,387
Closed -$851K
AM
3277
DELISTED
AMERICAN GREETINGS CORP CL A
AM
– –
-74,397
Closed -$1.36M
QTWW
3278
DELISTED
QUANTUM FUEL SYS TECHNOLOGIES WORLDWIDE INC COM STK (DE)
QTWW
– –
-6,389
Closed -$14K
GDI
3279
DELISTED
GARDNER DENVER,INC
GDI
– –
-171,382
Closed -$12.9M
TRLG
3280
DELISTED
TRUE RELIGION APPAREL INC
TRLG
– –
-69,878
Closed -$2.21M
FFCH
3281
DELISTED
FIRST FINANCIAL HLDGS INC
FFCH
– –
-10,810
Closed -$229K
PWER
3282
DELISTED
POWER-ONE INC COM STK NEW (DE)
PWER
– –
-2,365,483
Closed -$14.9M
SDIX
3283
DELISTED
STRATEGIC DIAGNOSTICS INC
SDIX
– –
-10,475
Closed -$9K
ET
3284
DELISTED
EXACTTARGET INC COM STK (DE)
ET
– –
-58,773
Closed -$1.98M
NMD
3285
DELISTED
NUVEEN MUNICIPAL HIGH INCM OPPORT FUND 2 COM
NMD
– –
-91,994
Closed -$1.12M
SVN
3286
DELISTED
7 Days Group Holdings Ltd
SVN
– –
-81,630
Closed -$1.13M
NTSP
3287
DELISTED
NETSPEND HLDGS INC COM STK
NTSP
– –
-33,552
Closed -$536K
LUFK
3288
DELISTED
LUFKIN IND INC
LUFK
– –
-52,298
Closed -$4.63M
NFP
3289
DELISTED
NATIONAL FINANCIAL PARTNERS CORP
NFP
– –
-156,704
Closed -$3.97M
FBC
3290
DELISTED
Flagstar Bancorp, Inc. New
FBC
– –
-16,960
Closed -$237K
DLLR
3291
DELISTED
DFC GLOBAL CORP COM STK (DE)
DLLR
– –
-73,905
Closed -$1.02M
ALC
3292
DELISTED
ASSISTED LIVING CONCEPTS INC NEW CL A COM STK (NV)
ALC
– –
-67,732
Closed -$810K
MRGE
3293
DELISTED
MERGE HEALTHCARE INC COM STK (WI)
MRGE
– –
-86,886
Closed -$313K
STEC
3294
DELISTED
STEC INC COM STK
STEC
– –
-49,152
Closed -$330K
HOT
3295
CALL
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
– –
-20,000
Closed -$1.26M
NITE
3296
DELISTED
KNIGHT CAPITAL GROUP, INC. CLASS A
NITE
– –
-147,438
Closed -$529K
FNC
3297
DELISTED
SCBT FINANCIAL CORPORATION
FNC
– –
-19,665
Closed -$991K
MTL.PR
3298
DELISTED
Mechel PAO American Depositary Shares (each representing one-half of a Preferred Share)
MTL.PR
$0 ﹤0.01%
374
-678
-64% -$547
OREX
3299
DELISTED
Orexigen Therapeutics, Inc.
OREX
– –
-31,166
Closed -$1.82M
EVBS
3300
DELISTED
Eastern Virginia Bankshares In
EVBS
– –
-17,420
Closed -$87K
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.