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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
+9.08%
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
$32.9B
AUM Growth
+$5.06B
Cap. Flow
+$2.8B
Cap. Flow %
8.52%
Top 10 Hldgs %
5.63%
Holding
3,405
New
347
Increased
1,675
Reduced
1,120
Closed
228

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$67M
2
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$59M
3
HMHC
Houghton Mifflin Harcourt Company
HMHC
+$59M
4
GOOG icon
Alphabet (Google) Class C
GOOG
+$49.3M
5
QCOM icon
Qualcomm
QCOM
+$48.5M

Top Sells

Rank Stock Value
1
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$122M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$112M
3
WOLF icon
Wolfspeed
WOLF
+$47.2M
4
CHS
Chicos FAS, Inc.
CHS
+$45.3M
5
MFB
MAIDENFORM BRANDS, INC
MFB
+$40.7M

Sector Composition

Rank Sector Weight
1 Financials 11.55%
2 Industrials 10.81%
3 Technology 10.42%
4 Consumer Discretionary 9.8%
5 Healthcare 9.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ETY icon
651
Eaton Vance Tax-Managed Diversified Equity Income Fund
ETY
$2.32B
$17.1M 0.05%
1,570,060
+32,173
+2% +$343K
OII icon
652
Oceaneering
OII
$4.85B
$17.1M 0.05%
217,184
+52,059
+32% +$4.23M
JSD
653
DELISTED
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND
JSD
$17.1M 0.05%
907,415
-100,716
-10% -$1.88M
GWW icon
654
W.W. Grainger
GWW
$64.7B
$17.1M 0.05%
66,928
+11,862
+22% +$3.08M
SWN
655
DELISTED
Southwestern Energy Company
SWN
$17.1M 0.05%
434,303
+17,416
+4% +$654K
X
656
DELISTED
US Steel
X
$17.1M 0.05%
578,663
-274,023
-32% -$7.06M
ASB icon
657
Associated Banc-Corp
ASB
$5.93B
$17M 0.05%
979,422
+881,806
+903% +$14.7M
GGP
658
DELISTED
GGP Inc.
GGP
$17M 0.05%
848,648
+686,502
+423% +$14.1M
SUNE
659
DELISTED
SUNEDISON, INC COM
SUNE
$17M 0.05%
1,304,763
-165,733
-11% -$1.87M
POT
660
DELISTED
Potash Corp Of Saskatchewan
POT
$17M 0.05%
516,366
+380,617
+280% +$12.1M
HTR
661
DELISTED
Brookfield Total Return Fund Inc
HTR
$17M 0.05%
715,810
+36,485
+5% +$854K
TT icon
662
Trane Technologies
TT
$101B
$17M 0.05%
275,864
-7,472
-3% -$412K
PVH icon
663
PVH
PVH
$4.09B
$17M 0.05%
124,892
-57,572
-32% -$7.33M
ACP
664
abrdn Income Credit Strategies Fund
ACP
$630M
$16.9M 0.05%
995,323
-78,382
-7% -$1.29M
JRO
665
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$16.9M 0.05%
1,389,459
+37,306
+3% +$449K
EC icon
666
Ecopetrol
EC
$34.1B
$16.9M 0.05%
439,019
+151,282
+53% +$6.62M
SAN icon
667
Banco Santander
SAN
$206B
$16.8M 0.05%
2,042,334
+1,663,903
+440% +$13.2M
PDCO
668
DELISTED
Patterson Companies, Inc.
PDCO
$16.7M 0.05%
405,817
+39,520
+11% +$1.64M
LXK
669
DELISTED
Lexmark Intl Inc
LXK
$16.7M 0.05%
469,391
+188,454
+67% +$6.64M
IEX icon
670
IDEX
IEX
$17.2B
$16.6M 0.05%
225,251
+92,900
+70% +$6.45M
RWT
671
Redwood Trust
RWT
$580M
$16.6M 0.05%
858,458
-265,441
-24% -$4.89M
CBST
672
DELISTED
CUBIST PHARMACEUTICALS INC
CBST
$16.6M 0.05%
241,132
+110,590
+85% +$7.16M
VMC icon
673
Vulcan Materials
VMC
$36.7B
$16.5M 0.05%
277,936
+26,358
+10% +$1.45M
PLL
674
DELISTED
PALL CORP
PLL
$16.5M 0.05%
193,175
+10,211
+6% +$830K
ILMN icon
675
Illumina
ILMN
$29.9B
$16.4M 0.05%
152,538
-12,379
-8% -$1.13M
25 26
27
28 29

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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
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
NMIFOAC
National Mutual Insurance Federation of Agricultural Cooperatives Tokyo, Japan, Japan $13B AUM 17.65% 1-Year Est. Return
WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
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Guggenheim Capital's Q4 2013 Portfolio in Review

As of Q4 2013, Guggenheim Capital held 3,405 positions worth $32.9B, up 18% from $27.9B the previous quarter. Its ten largest holdings account for 5.6% of the portfolio.

Guggenheim Capital deployed $2.8B of net new capital in Q4 2013, opening 347 new positions and adding to 1,675 existing holdings. Its largest new stake was Houghton Mifflin Harcourt Company: 3,489,206 shares worth $57.6M.

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

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $112M trimmed.

  • Guggenheim Capital's largest Q4 2013 buy was Houghton Mifflin Harcourt Company: 3,489,206 shares worth $57.6M.
  • Guggenheim Capital added most to iShares Russell 2000 ETF in Q4 2013, an estimated $67M increase.
  • Guggenheim Capital's biggest Q4 2013 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $112M.
  • Guggenheim Capital fully exited State Street SPDR Dow Jones Industrial Average ETF Trust in Q4 2013, selling an estimated $122M.
  • Guggenheim Capital's ten largest holdings make up 5.6% of its $32.9B portfolio in Q4 2013.
  • Guggenheim Capital opened 347 new positions and closed 228 in Q4 2013.
  • Guggenheim Capital's portfolio value rose 18% quarter-over-quarter to $32.9B.

Based on Guggenheim Capital's 13F filing for Q4 2013, filed 14 Feb 2014.