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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
CSII
3376
DELISTED
Cardiovascular Systems, Inc.
CSII
– –
-10,437
Closed -$358K
RSX
3377
DELISTED
VanEck Russia ETF
RSX
– –
-5,200
Closed -$150K
CTXS
3378
CALL
DELISTED
Citrix Systems Inc
CTXS
– –
-37,674
Closed -$1.9M
SREV
3379
DELISTED
ServiceSource International, Inc.
SREV
– –
-242,305
Closed -$2.03M
ATRS
3380
DELISTED
Antares Pharma, Inc.
ATRS
– –
-11,481
Closed -$51K
SUNS
3381
DELISTED
SLR Senior Investment Corp. Common Stock
SUNS
– –
-68,415
Closed -$1.25M
XEC
3382
CALL
DELISTED
CIMAREX ENERGY CO
XEC
– –
-120
Closed -$13K
USCR
3383
DELISTED
U S Concrete, Inc.
USCR
– –
-6,618
Closed -$150K
ENT
3384
DELISTED
Global Eagle Entertainment Inc.
ENT
– –
-421
Closed -$157K
LTS
3385
DELISTED
Ladenburg Thalmann Financial Services Inc
LTS
– –
-10,030
Closed -$31K
SDT
3386
DELISTED
SANDRIDGE MISSISSIPPIAN TRUST I
SDT
– –
-584,221
Closed -$5.4M
ARRY
3387
DELISTED
Array Biopharma Inc
ARRY
– –
-482,613
Closed -$2.42M
HZNP
3388
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
– –
-23,356
Closed -$178K
TSRO
3389
DELISTED
TESARO, Inc.
TSRO
– –
-83,385
Closed -$2.35M
NSM
3390
DELISTED
Nationstar Mortgage Holdings
NSM
– –
-8,683
Closed -$321K
SSNI
3391
DELISTED
Silver Spring Networks, Inc.
SSNI
– –
-107,522
Closed -$2.26M
RATE
3392
DELISTED
Bankrate Inc
RATE
– –
-21,745
Closed -$390K
CIE
3393
CALL
DELISTED
Cobalt International Energy, Inc
CIE
– –
-4,740
Closed -$1.17M
YHOO
3394
PUT
DELISTED
Yahoo Inc
YHOO
– –
-370,000
Closed -$15M
SALE
3395
CALL
DELISTED
RetailMeNot, Inc. Series 1
SALE
– –
-150,000
Closed -$4.32M
XXIA
3396
DELISTED
Ixia
XXIA
– –
-14,772
Closed -$196K
JOY
3397
PUT
DELISTED
Joy Global Inc
JOY
– –
-20,000
Closed -$1.17M
ELNK
3398
DELISTED
EarthLink Holdings Corp.
ELNK
– –
-10,135
Closed -$51K
NRF
3399
PUT
DELISTED
NorthStar Realty Finance Corp.
NRF
– –
-10,185
Closed -$269K
AMSG
3400
DELISTED
Amsurg Corp
AMSG
– –
-4,549
Closed -$208K
134 135
136
137 138

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TRSOTSOK
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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 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.