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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
CBRE icon
701
CBRE Group
CBRE
$43B
$15.4M 0.05%
587,082
-170
-0% -$4.04K
LM
702
DELISTED
Legg Mason, Inc.
LM
$15.3M 0.05%
351,048
-165,309
-32% -$6.41M
MXIM
703
DELISTED
Maxim Integrated Products
MXIM
$15.2M 0.05%
545,458
+337,537
+162% +$9.76M
SPWR
704
DELISTED
SunPower Corporation Common Stock
SPWR
$15.2M 0.05%
779,019
+112,290
+17% +$2.25M
EMO
705
ClearBridge Energy Midstream Opportunity Fund
EMO
$1.03B
$15.2M 0.05%
130,735
+22,039
+20% +$2.49M
FRGI
706
DELISTED
Fiesta Restaurant Group, Inc.
FRGI
$15.2M 0.05%
290,035
-149,006
-34% -$6.65M
CMLP
707
DELISTED
CRESTWOOD MIDSTREAM PARTNERS LP NEW UTS REP LTD PRT INT (DE)
CMLP
$15.1M 0.05%
608,108
+553,425
+1,012% +$12.3M
YHOO
708
PUT
DELISTED
Yahoo Inc
YHOO
$15M 0.05%
370,000
+190,000
+106% +$6.82M
NCV
709
Virtus Convertible & Income Fund
NCV
$382M
$15M 0.05%
385,062
+6,106
+2% +$234K
TEX icon
710
Terex
TEX
$7.36B
$14.9M 0.05%
355,655
-258,027
-42% -$9.35M
ABEV icon
711
Ambev
ABEV
$47.1B
$14.9M 0.05%
+2,029,662
New +$14.8M
ARP
712
DELISTED
ATLAS RESOURCE PARTNERS L P COM UIT REPSTG LTD PTNRS
ARP
$14.9M 0.05%
728,159
+69,880
+11% +$1.42M
TLM
713
DELISTED
TALISMAN ENERGY INC
TLM
$14.8M 0.04%
1,267,129
+942,631
+290% +$11.3M
EAD
714
Allspring Income Opportunities Fund
EAD
$372M
$14.7M 0.04%
1,597,662
+73,560
+5% +$665K
LINE
715
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$14.6M 0.04%
+475,391
New +$13.8M
ETP
716
DELISTED
Energy Transfer Partners L.p.
ETP
$14.5M 0.04%
253,688
-9,565
-4% -$508K
CVD
717
DELISTED
COVANCE INC.
CVD
$14.5M 0.04%
164,676
-30,920
-16% -$2.68M
CSIQ icon
718
Canadian Solar
CSIQ
$1.05B
$14.4M 0.04%
484,453
-89,391
-16% -$2.36M
UTF icon
719
Cohen & Steers Infrastructure Fund
UTF
$3.1B
$14.3M 0.04%
696,184
-74,369
-10% -$1.5M
GEF icon
720
Greif
GEF
$4.93B
$14.2M 0.04%
270,186
+15,601
+6% +$819K
CYS
721
DELISTED
CYS Investments Inc.
CYS
$14.1M 0.04%
1,897,322
+473,443
+33% +$3.8M
JKS
722
JinkoSolar
JKS
$824M
$14.1M 0.04%
479,484
+125,384
+35% +$3.37M
PTC icon
723
PTC
PTC
$15.2B
$13.9M 0.04%
393,897
+381,605
+3,104% +$11.7M
RESI
724
DELISTED
Front Yard Residential Corporation Common Stock
RESI
$13.9M 0.04%
+462,745
New +$12.5M
GTAT
725
DELISTED
GT ADVANCED TECHNOLOGIES INC COM STK (DE)
GTAT
$13.9M 0.04%
1,597,103
-48,177
-3% -$428K
27 28
29
30 31

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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 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.