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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
+7.56%
1 Year Est. Return
+27.3%
3 Year Est. Return
+83.37%
5 Year Est. Return
+104.66%
10 Year Est. Return
+359.15%
AUM
$27.9B
AUM Growth
+$4.08B
Cap. Flow
+$2.62B
Cap. Flow %
9.39%
Top 10 Hldgs %
6.03%
Holding
3,311
New
278
Increased
1,671
Reduced
1,018
Closed
254

Top Buys

Rank Stock Value
1
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$123M
2
TFCFA
Twenty-First Century Fox, Inc. Class A
TFCFA
+$39.9M
3
BSJF
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
+$36.6M
4
BMR
BIOMED REALTY TRUST INC
BMR
+$35.6M
5
ARE icon
Alexandria Real Estate Equities
ARE
+$34.5M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$111M
2
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$60.8M
3
GDP
GOODRICH PETROLEUM CORP(NEW)
GDP
+$49.7M
4
MDR
McDermott International
MDR
+$37.4M
5
ORCL icon
Oracle
ORCL
+$33.1M

Sector Composition

Rank Sector Weight
1 Financials 11.11%
2 Industrials 10.08%
3 Technology 9.94%
4 Healthcare 9.76%
5 Consumer Discretionary 9.43%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PNC icon
376
PNC Financial Services
PNC
$100B
$22.3M 0.08%
307,414
+5,809
+2% +$434K
WOR icon
377
Worthington Enterprises
WOR
$2.8B
$22.3M 0.08%
1,048,454
+11,397
+1% +$244K
K
378
DELISTED
Kellanova
K
$22.2M 0.08%
402,011
+72,848
+22% +$4.34M
AIZ icon
379
Assurant
AIZ
$13.9B
$22.1M 0.08%
409,105
+38,807
+10% +$2.1M
RWT
380
Redwood Trust
RWT
$579M
$22.1M 0.08%
1,123,899
+328,087
+41% +$5.84M
NDAQ icon
381
Nasdaq
NDAQ
$52.4B
$22.1M 0.08%
2,066,046
+514,857
+33% +$5.5M
MKC icon
382
McCormick & Company Non-Voting
MKC
$13.8B
$22.1M 0.08%
682,426
+206,874
+44% +$7.25M
ECL icon
383
Ecolab
ECL
$77.9B
$22M 0.08%
222,694
+34,837
+19% +$3.24M
AEE icon
384
Ameren
AEE
$30.2B
$22M 0.08%
630,896
+71,388
+13% +$2.47M
MOLX
385
DELISTED
MOLEX INC
MOLX
$22M 0.08%
570,118
+156,589
+38% +$5.03M
HAR
386
DELISTED
Harman International Industries
HAR
$21.9M 0.08%
331,339
-48,238
-13% -$3.01M
NOC icon
387
Northrop Grumman
NOC
$77.6B
$21.9M 0.08%
229,879
+7,025
+3% +$649K
APH icon
388
Amphenol
APH
$199B
$21.9M 0.08%
2,263,576
+225,952
+11% +$2.21M
GBAB
389
Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
GBAB
$384M
– –
-997,869
Closed -$20.6M
SAIA icon
390
Saia
SAIA
$9.35B
$21.9M 0.08%
701,087
-273,110
-28% -$8.5M
EHI
391
Western Asset Global High Income Fund
EHI
$176M
$21.8M 0.08%
1,761,818
-180,550
-9% -$2.16M
ZTS icon
392
Zoetis
ZTS
$32.5B
$21.8M 0.08%
698,920
+144,504
+26% +$4.43M
BHI
393
DELISTED
Baker Hughes
BHI
$21.7M 0.08%
442,296
+70,947
+19% +$3.42M
CI icon
394
Cigna
CI
$73.8B
$21.7M 0.08%
282,391
+11,423
+4% +$892K
PVH icon
395
PVH
PVH
$4.06B
$21.7M 0.08%
182,464
+30,751
+20% +$3.95M
LSI
396
DELISTED
LSI CORPORATION
LSI
$21.6M 0.08%
2,757,150
+513,154
+23% +$3.93M
CMI icon
397
Cummins
CMI
$89.8B
$21.5M 0.08%
162,142
+32,222
+25% +$3.98M
LQD icon
398
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$32.8B
$21.5M 0.08%
189,425
-12,545
-6% -$1.42M
PARA
399
DELISTED
Paramount Global Class B
PARA
$21.5M 0.08%
389,087
+24,046
+7% +$1.28M
LNC icon
400
Lincoln National
LNC
$8.76B
$21.4M 0.08%
510,387
+1,835
+0.4% +$77.5K
14 15
16
17 18

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AIM
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Fundsmith LLP
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CII
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AAMU
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NMIFOAC
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WANY
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ACA
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Guggenheim Capital's Q3 2013 Portfolio in Review

As of Q3 2013, Guggenheim Capital held 3,311 positions worth $27.9B, up 17% from $23.8B the previous quarter. Its ten largest holdings account for 6% of the portfolio.

Guggenheim Capital deployed $2.62B of net new capital in Q3 2013, opening 278 new positions and adding to 1,671 existing holdings. Its largest new stake was State Street SPDR Dow Jones Industrial Average ETF Trust: 806,700 shares worth $122M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was Invesco QQQ Trust, an estimated $111M trimmed.

  • Guggenheim Capital's largest Q3 2013 buy was State Street SPDR Dow Jones Industrial Average ETF Trust: 806,700 shares worth $122M.
  • Guggenheim Capital added most to GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF in Q3 2013, an estimated $36.6M increase.
  • Guggenheim Capital's biggest Q3 2013 reduction was Invesco QQQ Trust, cutting an estimated $111M.
  • Guggenheim Capital fully exited PIMCO Enhanced Short Maturity Active Exchange-Traded Fund in Q3 2013, selling an estimated $60.8M.
  • Guggenheim Capital's ten largest holdings make up 6% of its $27.9B portfolio in Q3 2013.
  • Guggenheim Capital opened 278 new positions and closed 254 in Q3 2013.
  • Guggenheim Capital's portfolio value rose 17% quarter-over-quarter to $27.9B.

Based on Guggenheim Capital's 13F filing for Q3 2013, filed 14 Nov 2013.