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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
DRIV
3326
DELISTED
DIGITAL RIVER INC.
DRIV
– –
-37,780
Closed -$675K
GTIV
3327
DELISTED
GENTIVA HEALTH SERVICES INC
GTIV
– –
-108,535
Closed -$1.31M
SWY
3328
PUT
DELISTED
SAFEWAY INC
SWY
– –
-139,625
Closed -$4.03M
DPD
3329
DELISTED
DOW 30 PREMIUM & DIVIDEND INCOME FUND INC
DPD
– –
-23,112
Closed -$339K
CPWR
3330
CALL
DELISTED
COMPUWARE CORP
CPWR
– –
-104,100
Closed -$1.12M
VITC
3331
DELISTED
VITACOST COM INC COM STK (DE)
VITC
– –
-12,995
Closed -$111K
IDIX
3332
DELISTED
IDENIX PHARMACEUTICALS INC
IDIX
– –
-10,134
Closed -$53K
OPEN
3333
PUT
DELISTED
OPENTABLE,INC COMMON STOCK
OPEN
– –
-35,000
Closed -$2.48M
FIO
3334
CALL
DELISTED
FUSION-IO INC COM
FIO
– –
-70,000
Closed -$937K
AWC
3335
DELISTED
Alumina Ltd
AWC
– –
-18,447
Closed -$70K
CRTX
3336
DELISTED
CORNERSTONE THERAPEUTICS INC
CRTX
– –
-31,683
Closed -$298K
BSCD
3337
DELISTED
CLAYMORE GUGGENHEIM BULLETSHARES 2013 CORP BD ETF
BSCD
– –
-23,875
Closed -$495K
OCZ
3338
DELISTED
OCZ TECHNOLOGY GROUP INC COM STK NEW (DE)
OCZ
– –
-24,142
Closed -$31K
SPRD
3339
DELISTED
SPREADTRUM COMMUNICATIONS INC ADS (CAYMAN ISLANDS)
SPRD
– –
-43,558
Closed -$1.33M
BLC
3340
DELISTED
BELO CORP SER A
BLC
– –
-40,485
Closed -$555K
STEI
3341
DELISTED
STEWART ENTERPRISES INC CL-A
STEI
– –
-72,817
Closed -$957K
TPGI
3342
DELISTED
THOMAS PROPERTIES GROUP INC
TPGI
– –
-12,043
Closed -$81K
NVE
3343
DELISTED
NV ENERGY, INC
NVE
– –
-167,148
Closed -$3.95M
MSPD
3344
DELISTED
MINDSPEED TECHNOLOGIES INC COM STK
MSPD
– –
-19,001
Closed -$58K
ELN
3345
CALL
DELISTED
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
– –
-200,000
Closed -$3.12M
ELN
3346
DELISTED
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
– –
-717,129
Closed -$11.2M
ELN
3347
PUT
DELISTED
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
– –
-350,000
Closed -$5.46M
PSE
3348
DELISTED
PIONEER SOUTHWEST ENERGY PARTNERS LP
PSE
– –
-150,130
Closed -$6.64M
MAKO
3349
DELISTED
MAKO SURGICAL CORP COM
MAKO
– –
-15,132
Closed -$447K
GCOM
3350
DELISTED
GLOBECOMM SYSTEMS INC
GCOM
– –
-50,965
Closed -$715K
132 133
134
135 136

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WANY
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ZIG
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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.