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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
BLOX
3401
DELISTED
Infoblox Inc
BLOX
– –
-6,769
Closed -$224K
FLTX
3402
DELISTED
Fleetmatics Group PLC
FLTX
– –
-11,238
Closed -$486K
HNR
3403
DELISTED
Harvest Natural Resources
HNR
– –
-160,575
Closed -$2.9M
HTWR
3404
DELISTED
HEARTWARE INTERNATIONAL INC COM STK (DE)
HTWR
– –
-2,181
Closed -$205K
MESG
3405
DELISTED
XURA INC COM (DE)
MESG
– –
-5,286
Closed -$205K
UNIS
3406
DELISTED
Unilife Corporation
UNIS
– –
-1,018
Closed -$45K
JMI
3407
DELISTED
JAVELIN MTG INVESTMENT CORP COM
JMI
– –
-163,676
Closed -$2.28M
LF
3408
DELISTED
LEAPFROG ENTERPRISES INC.
LF
– –
-93,889
Closed -$745K
SFXE
3409
DELISTED
SFX ENTERTAINMENT, INC COM
SFXE
– –
-17,447
Closed -$209K
RENT
3410
DELISTED
RENTRAK CORP
RENT
– –
-5,294
Closed -$201K
DYAX
3411
DELISTED
DYAX CORPORATION
DYAX
– –
-385,625
Closed -$2.9M
GDP
3412
CALL
DELISTED
GOODRICH PETROLEUM CORP(NEW)
GDP
– –
-324,900
Closed -$5.53M
OWW
3413
DELISTED
ORBITZ WORLDWIDE, INC
OWW
– –
-12,337
Closed -$89K
GTI
3414
DELISTED
GRAFTECH INTERNATIONAL LTD
GTI
– –
-10,176
Closed -$114K
TLM
3415
PUT
DELISTED
TALISMAN ENERGY INC
TLM
– –
-125,000
Closed -$1.46M
PTP
3416
DELISTED
PLATINUM UNDERWRITERS HLDGS LTD
PTP
– –
-3,510
Closed -$215K
BSJE
3417
DELISTED
GUGGENGEIM BULLETSHARES 2014 HIGH YIELD CORPORATE BOND ETF
BSJE
– –
-2,442,100
Closed -$65.1M
TIBX
3418
CALL
DELISTED
TIBCO SOFTWARE INC
TIBX
– –
-30,000
Closed -$680K
PVD
3419
DELISTED
Admin Fondos Pensions
PVD
– –
-3,018
Closed -$262K
FIO
3420
DELISTED
FUSION-IO INC COM
FIO
– –
-14,808
Closed -$132K
PACT
3421
DELISTED
PACTERA TECHNOLOGY INTL LTD SPONSORED ADR
PACT
– –
-304,632
Closed -$2.18M
VTNC
3422
DELISTED
VITRAN CORPORATION
VTNC
– –
-12,954
Closed -$84K
PVR
3423
DELISTED
PVR PARTNERS L P COM UNIT REPTG LTD PARTNERSHIP INT
PVR
– –
-224,393
Closed -$6.02M
LEAP
3424
DELISTED
LEAP WIRELESS INTERNATIONAL INC NEW
LEAP
– –
-11,666
Closed -$203K
CAFI
3425
DELISTED
CAMCO FINL CORP
CAFI
– –
-44,853
Closed -$299K
135 136
137
138 139

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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
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.