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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
HSA
3451
DELISTED
HELIOS STRATEGIC INCOME FD, INC
HSA
– –
-13,049
Closed -$87K
FWLT
3452
CALL
DELISTED
FOSTER WHEELER AG (SWITZERLAND)
FWLT
– –
-94,800
Closed -$3.13M
MRGE
3453
DELISTED
MERGE HEALTHCARE INC COM STK (WI)
MRGE
– –
-10,091
Closed -$23K
DISH
3454
PUT
DELISTED
DISH Network Corp.
DISH
– –
-65,000
Closed -$3.77M
MTL.PR
3455
DELISTED
Mechel PAO American Depositary Shares (each representing one-half of a Preferred Share)
MTL.PR
– –
-326
Closed –
QIWI
3456
DELISTED
QIWI PLC
QIWI
– –
-5,295
Closed -$297K
VVUS
3457
DELISTED
Vivus Inc
VVUS
– –
-7,389
Closed -$671K
SDR
3458
DELISTED
SANDRIDGE MISSISSIPPIAN TRUST II
SDR
– –
-11,840
Closed -$106K
CKEC
3459
DELISTED
Carmike Cinemas Inc
CKEC
– –
-9,648
Closed -$269K
TWC
3460
CALL
DELISTED
TIME WARNER CABLE INC NEW COM STK
TWC
– –
-50,000
Closed -$6.78M
ONE
3461
DELISTED
HIGHER ONE HOLDINGS, INC COM STK
ONE
– –
-106,156
Closed -$1.04M
TIVO
3462
DELISTED
TIVO INC
TIVO
– –
-24,560
Closed -$322K
DGIT
3463
DELISTED
DIGITAL GENERATION INC COM STK (DE)
DGIT
– –
-56,798
Closed -$724K
UBNK
3464
DELISTED
UNITIED FINANCIAL BANCORP INC
UBNK
– –
-22,925
Closed -$435K
PACD
3465
DELISTED
Pacific Drilling S A
PACD
– –
-1,659
Closed -$190K
ANAC
3466
DELISTED
ANACOR PHARMACEUTICALS INC COM
ANAC
– –
-13,009
Closed -$219K
MPO
3467
DELISTED
MIDSTATES PETE CO INC COM NEW
MPO
– –
-35,105
Closed -$2.32M
135 136 137 138
139

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TRSOTSOK
Teachers Retirement System of the State of Kentucky Frankfort, Kentucky $12.9B AUM 31.03% 1-Year Est. Return
AIM
ARK Investment Management St. Petersburg, Florida $12.9B AUM 64.92% 1-Year Est. Return
Fundsmith LLP
Fundsmith LLP London, United Kingdom $12.8B AUM 6.9% 1-Year Est. Return
CII
Capital International Inc Los Angeles, California $13B AUM 31.88% 1-Year Est. Return
AAMU
APG Asset Management US New York $13B AUM 5.3% 1-Year Est. Return
WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
Aptus Capital Advisors Fairhope, Alabama $12.7B AUM 17.41% 1-Year Est. Return
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.