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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
TIF
676
DELISTED
Tiffany & Co.
TIF
$14M 0.05%
183,196
-89,529
-33% -$7.05M
PFN
677
PIMCO Income Strategy Fund II
PFN
$698M
$14M 0.05%
1,374,216
+553,566
+67% +$5.61M
GTAT
678
DELISTED
GT ADVANCED TECHNOLOGIES INC COM STK (DE)
GTAT
$14M 0.05%
1,645,280
+217,094
+15% +$1.29M
HIX
679
Western Asset High Income Fund II
HIX
$353M
$14M 0.05%
1,482,350
+940,105
+173% +$8.47M
FTF
680
Franklin Limited Duration Income Trust
FTF
$232M
$13.9M 0.05%
1,070,952
-82,228
-7% -$1.05M
HST icon
681
Host Hotels & Resorts
HST
$17.2B
$13.9M 0.05%
787,550
+6,740
+0.9% +$120K
BTU
682
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$13.9M 0.05%
53,728
+6,496
+14% +$1.66M
VCI
683
DELISTED
VALASSIS COMMUNICATIONS INC
VCI
$13.9M 0.05%
480,541
+281,426
+141% +$7.93M
CTRA
684
DELISTED
Coterra Energy
CTRA
$13.9M 0.05%
371,572
+42,004
+13% +$1.57M
EFR
685
Eaton Vance Senior Floating-Rate Fund
EFR
$315M
$13.8M 0.05%
895,605
-23,192
-3% -$370K
ARP
686
DELISTED
ATLAS RESOURCE PARTNERS L P COM UIT REPSTG LTD PTNRS
ARP
$13.8M 0.05%
658,279
+261,888
+66% +$5.55M
PPLI
687
People Inc
PPLI
$3.39B
$13.8M 0.05%
1,408,890
+1,213,168
+620% +$11.1M
HCBK
688
DELISTED
HUDSON CITY BANCORP INC
HCBK
$13.7M 0.05%
1,516,077
+132,574
+10% +$1.25M
EAD
689
Allspring Income Opportunities Fund
EAD
$378M
$13.7M 0.05%
1,524,102
-143,331
-9% -$1.28M
ETP
690
DELISTED
Energy Transfer Partners L.p.
ETP
$13.7M 0.05%
263,253
-9,768
-4% -$504K
TSL
691
DELISTED
Trina Solar Limited
TSL
$13.7M 0.05%
884,913
+27,784
+3% +$246K
SJR
692
DELISTED
Shaw Communications Inc.
SJR
$13.7M 0.05%
588,088
+282,179
+92% +$6.83M
GME icon
693
GameStop
GME
$8.51B
$13.6M 0.05%
1,099,408
-51,908
-5% -$620K
CBRE icon
694
CBRE Group
CBRE
$43.5B
$13.6M 0.05%
587,252
+39,682
+7% +$919K
SEE
695
DELISTED
Sealed Air
SEE
$13.5M 0.05%
497,612
+20,717
+4% +$587K
BRSL
696
Brightstar Lottery PLC
BRSL
$2.03B
$13.5M 0.05%
715,091
+46,790
+7% +$892K
DG icon
697
Dollar General
DG
$28B
$13.5M 0.05%
239,510
+31,957
+15% +$1.76M
IGA
698
Voya Global Advantage and Premium Opportunity Fund
IGA
$156M
$13.5M 0.05%
1,132,290
-80,955
-7% -$983K
RRC icon
699
Range Resources
RRC
$9.25B
$13.5M 0.05%
177,322
+18,357
+12% +$1.43M
TECK icon
700
Teck Resources
TECK
$31.4B
$13.4M 0.05%
500,610
+173,253
+53% +$4.36M
26 27
28
29 30

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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.