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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
SVNT
3376
DELISTED
SAVIENT PHARMACEUTICALS INC
SVNT
– –
-28,310
Closed -$18K
BKR
3377
DELISTED
BAKER MICHAEL CORP
BKR
– –
-7,675
Closed -$311K
RUE
3378
DELISTED
RUE21 INC COM STK (DE)
RUE
– –
-58,144
Closed -$2.35M
FIRE
3379
DELISTED
SOURCEFIRE INC COM STK
FIRE
– –
-64,508
Closed -$4.9M
MFB
3380
DELISTED
MAIDENFORM BRANDS, INC
MFB
– –
-1,733,095
Closed -$40.7M
VHS
3381
DELISTED
VANGUARD HEALTH SYS INC COM STK (DE)
VHS
– –
-78,842
Closed -$1.66M
CXPO
3382
DELISTED
Crimson Exploration Inc. New Common Stock
CXPO
– –
-14,614
Closed -$44K
ONXX
3383
DELISTED
ONYX PHARMACEUTICALS INC
ONXX
– –
-104,578
Closed -$13M
ONXX
3384
PUT
DELISTED
ONYX PHARMACEUTICALS INC
ONXX
– –
-50,000
Closed -$6.24M
VLTR
3385
DELISTED
VOLTERRA SEMCONDUCTOR CORP
VLTR
– –
-25,395
Closed -$584K
WCRX
3386
DELISTED
WARNER CHILCOTT PLC ORD SHS CL A (IRL)
WCRX
– –
-163,450
Closed -$3.73M
CLP
3387
DELISTED
COLONIAL PROPERTIES TRUST
CLP
– –
-91,459
Closed -$2.06M
TWGP
3388
DELISTED
TOWER GROUP INTL LTD COM STK (BERMUDA)
TWGP
– –
-99,216
Closed -$695K
MOLXA
3389
DELISTED
MOLEX INC CL-A
MOLXA
– –
-12,149
Closed -$465K
MFT
3390
DELISTED
BLACKROCK MUNIYIELD INVESTMENT QUALITY FUND
MFT
– –
-62,692
Closed -$808K
CYE
3391
DELISTED
BLACKROCK CORP HG YLD FD III, INC.
CYE
– –
-354,130
Closed -$2.59M
MTL.PR
3392
DELISTED
Mechel PAO American Depositary Shares (each representing one-half of a Preferred Share)
MTL.PR
$0 ﹤0.01%
326
-48
-13% -$29
NSU
3393
DELISTED
Nevsun Resources Ltd.
NSU
– –
-3,383,802
Closed -$10.7M
MZF
3394
DELISTED
Managed Duration Inv Grd Muni Fd
MZF
– –
-61,210
Closed -$780K
ABAX
3395
DELISTED
Abaxis Inc
ABAX
– –
-15,613
Closed -$657K
BOBE
3396
DELISTED
Bob Evans Farms, Inc.
BOBE
– –
-218,751
Closed -$12.5M
CFNL
3397
DELISTED
Cardinal Financial Corp
CFNL
– –
-106,428
Closed -$1.76M
MPG
3398
DELISTED
MPG OFFICE TRUST, INC COM
MPG
– –
-98,244
Closed -$308K
EE
3399
DELISTED
El Paso Electric Company
EE
– –
-45,870
Closed -$1.53M
VXX
3400
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
– –
-159
Closed -$150K
133 134 135
136
137

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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 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.