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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
AVB icon
576
AvalonBay Communities
AVB
$27B
$16.7M 0.06%
131,456
-36,650
-22% -$4.83M
EA icon
577
Electronic Arts
EA
$53B
$16.7M 0.06%
652,828
+76,890
+13% +$2M
LEN icon
578
Lennar Class A
LEN
$20.5B
$16.7M 0.06%
495,006
+53,851
+12% +$1.75M
BWP
579
DELISTED
Boardwalk Pipeline Partners
BWP
$16.6M 0.06%
547,589
+287,816
+111% +$8.82M
TTE icon
580
TotalEnergies
TTE
$193B
$16.6M 0.06%
286,758
-8,067
-3% -$436K
DVN icon
581
Devon Energy
DVN
$51.4B
$16.6M 0.06%
287,270
+40,393
+16% +$2.31M
WAT icon
582
Waters Corp
WAT
$36.8B
$16.6M 0.06%
155,883
+25,065
+19% +$2.57M
JEF icon
583
Jefferies Financial Group
JEF
$12.8B
$16.5M 0.06%
678,126
+103,415
+18% +$2.48M
FRGI
584
DELISTED
Fiesta Restaurant Group, Inc.
FRGI
$16.5M 0.06%
439,041
+156,140
+55% +$5.29M
LRCX icon
585
Lam Research
LRCX
$369B
$16.5M 0.06%
3,228,960
+624,540
+24% +$3.05M
KYE
586
DELISTED
Kayne Anderson Energy
KYE
$16.5M 0.06%
550,006
-24,661
-4% -$724K
CVC
587
DELISTED
CABLEVISION SYS CP NY GRP CL-A
CVC
$16.5M 0.06%
977,022
-36,198
-4% -$663K
FITB
588
Fifth Third Bancorp
FITB
$51.6B
$16.4M 0.06%
911,360
+134,129
+17% +$2.52M
BSX icon
589
Boston Scientific
BSX
$70.2B
$16.4M 0.06%
1,396,991
-137,855
-9% -$1.49M
CRI icon
590
Carter's
CRI
$1.46B
$16.3M 0.06%
214,765
+52,097
+32% +$3.81M
ROK icon
591
Rockwell Automation
ROK
$53.5B
$16.3M 0.06%
152,281
+19,180
+14% +$1.87M
PNW icon
592
Pinnacle West Capital
PNW
$12.2B
$16.3M 0.06%
297,368
+33,830
+13% +$1.9M
EVV
593
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
$16.3M 0.06%
1,039,818
-138,984
-12% -$2.1M
KMI icon
594
Kinder Morgan
KMI
$69.9B
$16.3M 0.06%
457,173
-163,765
-26% -$6.14M
L icon
595
Loews
L
$23.8B
$16.3M 0.06%
347,755
+56,795
+20% +$2.61M
ESV
596
DELISTED
Ensco Rowan plc
ESV
$16.2M 0.06%
75,427
+15,763
+26% +$3.61M
BCR
597
DELISTED
CR Bard Inc.
BCR
$16.2M 0.06%
140,748
+14,950
+12% +$1.71M
FRX
598
DELISTED
FOREST LABORATORIES INC
FRX
$16.2M 0.06%
378,405
+26,337
+7% +$1.14M
HP icon
599
Helmerich & Payne
HP
$3.41B
$16.1M 0.06%
234,187
+9,753
+4% +$644K
MRSH
600
Marsh
MRSH
$92B
$16.1M 0.06%
370,007
+41,203
+13% +$1.73M
22 23
24
25 26

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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.