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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
OSK icon
726
Oshkosh
OSK
$9.65B
$12.8M 0.05%
260,827
+35,788
+16% +$1.59M
APO icon
727
Apollo Global Management
APO
$76.8B
$12.7M 0.05%
451,054
-2,811
-0.6% -$75.4K
ICE icon
728
Intercontinental Exchange
ICE
$83.8B
$12.7M 0.05%
349,755
+39,875
+13% +$1.44M
CEO
729
DELISTED
CNOOC Limited
CEO
$12.7M 0.05%
62,738
-5,052
-7% -$961K
LNKD
730
DELISTED
LinkedIn Corporation
LNKD
$12.6M 0.05%
51,251
+6,047
+13% +$1.36M
NRK icon
731
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$901M
$12.6M 0.05%
1,025,934
-44,351
-4% -$546K
BOBE
732
DELISTED
Bob Evans Farms, Inc.
BOBE
$12.5M 0.05%
218,751
+3,900
+2% +$201K
IPG
733
DELISTED
Interpublic Group of Companies
IPG
$12.5M 0.04%
728,547
+19,745
+3% +$318K
IRR
734
DELISTED
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
$12.5M 0.04%
1,247,366
-79,011
-6% -$817K
GEF icon
735
Greif
GEF
$5.03B
$12.5M 0.04%
254,585
+21,661
+9% +$1.17M
DKS icon
736
Dick's Sporting Goods
DKS
$17.9B
$12.4M 0.04%
231,800
+46,224
+25% +$2.33M
DNB
737
DELISTED
Dun & Bradstreet
DNB
$12.3M 0.04%
118,741
+15,708
+15% +$1.63M
WTRG icon
738
Essential Utilities
WTRG
$11.2B
$12.3M 0.04%
498,050
-265,536
-35% -$6.77M
EMO
739
ClearBridge Energy Midstream Opportunity Fund
EMO
$1.03B
$12.3M 0.04%
108,696
+9,357
+9% +$1.1M
SRC
740
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
$12.2M 0.04%
297,515
+221,691
+292% +$9.12M
GLO
741
Clough Global Opportunities Fund
GLO
$255M
$12.2M 0.04%
950,958
-411,677
-30% -$5.28M
VR
742
DELISTED
Validus Hold Ltd
VR
$12.2M 0.04%
330,881
+54,482
+20% +$1.93M
CMA
743
DELISTED
Comerica
CMA
$12.2M 0.04%
310,077
+27,664
+10% +$1.15M
BAC.PRL icon
744
Bank of America Series L
BAC.PRL
$3.98B
$12.2M 0.04%
+11,283
New +$12.4M
SCHW
745
Charles Schwab
SCHW
$185B
$12.2M 0.04%
576,354
+21,400
+4% +$465K
MENT
746
DELISTED
Mentor Graphics Corp
MENT
$12.1M 0.04%
518,198
+21,492
+4% +$461K
BPT
747
DELISTED
BP Prudhoe Bay Royalty Trust
BPT
$12.1M 0.04%
139,087
-10,220
-7% -$900K
EEP
748
DELISTED
Enbridge Energy Partners
EEP
$12M 0.04%
395,168
+18,507
+5% +$568K
NTP
749
DELISTED
Nam Tai Property Inc.
NTP
$12M 0.04%
1,547,618
+1,035,599
+202% +$7.73M
POR icon
750
Portland General Electric
POR
$5.92B
$12M 0.04%
425,763
+395,804
+1,321% +$11.8M
28 29
30
31 32

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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
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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.