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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
MOLX
3351
DELISTED
MOLEX INC
MOLX
– –
-570,118
Closed -$22M
LCC
3352
DELISTED
US AIRWAYS GROUP INC.
LCC
– –
-103,253
Closed -$1.96M
ROMA
3353
DELISTED
ROMA FINANCIAL CORPORATION COM STK
ROMA
– –
-12,907
Closed -$240K
BHD
3354
DELISTED
BLACKROCK STRATEGIC BOND TRUST
BHD
– –
-189,954
Closed -$2.46M
TLAB
3355
DELISTED
TELLABS INC
TLAB
– –
-22,132
Closed -$50K
SYMM
3356
DELISTED
SYMMETRICOM INC
SYMM
– –
-2,291,849
Closed -$11M
SHFL
3357
DELISTED
SHFL ENTMT INC
SHFL
– –
-110,224
Closed -$2.54M
NTSC
3358
DELISTED
NATL TECHNICAL SYS INC
NTSC
– –
-25,146
Closed -$575K
NAFC
3359
DELISTED
NASH FINCH CO
NAFC
– –
-67,904
Closed -$1.79M
ACTV
3360
DELISTED
Active Network Inc
ACTV
– –
-14,862
Closed -$213K
COY
3361
DELISTED
BLACKROCK CORP HIGH YLD FD INC
COY
– –
-26,973
Closed -$194K
HYV
3362
DELISTED
BALCKROCK CORP HG YLD FD V INC
HYV
– –
-1,584,044
Closed -$19.2M
ROCM
3363
DELISTED
ROCHESTER MEDICAL CORP
ROCM
– –
-10,258
Closed -$205K
NYX
3364
DELISTED
NYSE EURONEXT INC
NYX
– –
-598,004
Closed -$25.1M
ABV.C
3365
DELISTED
COMPANHIA BEBIDA ADS EACH RPTNG 1 COM SH)
ABV.C
– –
-17,273
Closed -$668K
ABV
3366
DELISTED
COMPANHIA BEBIDA ADS EACH REPSTG 1 PFD SH
ABV
– –
-453,249
Closed -$17.4M
LSE
3367
DELISTED
CAPLEASE, INC
LSE
– –
-113,480
Closed -$963K
OMX
3368
CALL
DELISTED
OFFICEMAX INCORPORATED
OMX
– –
-5,100
Closed -$65K
OMX
3369
DELISTED
OFFICEMAX INCORPORATED
OMX
– –
-254,013
Closed -$3.25M
SKS
3370
DELISTED
SAKS INCORPORATED
SKS
– –
-166,501
Closed -$2.65M
DELL
3371
DELISTED
DELL INC
DELL
– –
-2,281,154
Closed -$31.4M
BZ
3372
DELISTED
BOISE INC COM STK (DE)
BZ
– –
-10,081
Closed -$127K
WMS
3373
DELISTED
WMS INDS INC
WMS
– –
-96,620
Closed -$2.51M
KDN
3374
DELISTED
KAYDON CORP
KDN
– –
-60,618
Closed -$2.15M
TMS
3375
DELISTED
TMS INTERNATIONAL CORP CLASS A COM STK
TMS
– –
-92,171
Closed -$1.61M
133 134
135
136 137

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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
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.