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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
ST icon
3351
Sensata Technologies
ST
$6.93B
– –
-50,956
Closed -$1.98M
SWK icon
3352
CALL
Stanley Black & Decker
SWK
$15.6B
– –
-50,000
Closed -$4.06M
TGT icon
3353
PUT
Target
TGT
$67.4B
– –
-20,000
Closed -$1.27M
TMUS icon
3354
CALL
T-Mobile US
TMUS
$190B
– –
-100,000
Closed -$3.36M
TRNO icon
3355
Terreno Realty
TRNO
$7.32B
– –
-68,453
Closed -$1.21M
TXMD icon
3356
TherapeuticsMD
TXMD
$23.5M
– –
-728
Closed -$190K
TXT icon
3357
PUT
Textron
TXT
$15.2B
– –
-39,500
Closed -$1.45M
UHAL icon
3358
U-Haul Holding Co
UHAL
$14.8B
– –
-20,490
Closed -$487K
VPV icon
3359
Invesco Pennsylvania Value Municipal Income Trust
VPV
$195M
– –
-23,661
Closed -$288K
WERN icon
3360
CALL
Werner Enterprises
WERN
$2.25B
– –
-80,000
Closed -$1.98M
WMB icon
3361
PUT
Williams Companies
WMB
$87.5B
– –
-85,000
Closed -$3.28M
WM icon
3362
CALL
Waste Management
WM
$89.6B
– –
-40,000
Closed -$1.79M
X
3363
CALL
DELISTED
US Steel
X
– –
-158,000
Closed -$4.66M
XHB icon
3364
PUT
State Street SPDR S&P Homebuilders ETF
XHB
$1.54B
– –
-40,000
Closed -$1.33M
XLB icon
3365
PUT
State Street Materials Select Sector SPDR ETF
XLB
$8.6B
– –
-80,000
Closed -$1.85M
XLE icon
3366
State Street Energy Select Sector SPDR ETF
XLE
$37.9B
– –
-281,800
Closed -$12.5M
XLI icon
3367
PUT
State Street Industrial Select Sector SPDR ETF
XLI
$33.8B
– –
-30,000
Closed -$1.57M
XLU icon
3368
State Street Utilities Select Sector SPDR ETF
XLU
$22.5B
– –
-6,774
Closed -$129K
XLY icon
3369
PUT
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$23B
– –
-240,000
Closed -$8.02M
XME icon
3370
PUT
State Street SPDR S&P Metals & Mining ETF
XME
$4.29B
– –
-50,000
Closed -$2.1M
XOP icon
3371
PUT
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.5B
– –
-9,975
Closed -$2.73M
BIG
3372
PUT
DELISTED
Big Lots, Inc.
BIG
– –
-75,000
Closed -$2.42M
SCU
3373
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
– –
-8,006
Closed -$1.19M
INFI
3374
DELISTED
Infinity Pharmaceuticals, Inc.
INFI
– –
-184,336
Closed -$2.55M
SPPI
3375
DELISTED
Spectrum Pharmaceuticals Inc
SPPI
– –
-265,436
Closed -$2.35M
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
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
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.