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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
EVT icon
751
Eaton Vance Tax-Advantaged Dividend Income Fund
EVT
$2.16B
$12M 0.04%
666,069
+4,903
+0.7% +$89.7K
HPS
752
John Hancock Preferred Income Fund III
HPS
$459M
$11.9M 0.04%
712,154
+187,076
+36% +$3.22M
WFC.PRL icon
753
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.68B
$11.9M 0.04%
+10,484
New +$12.1M
GNE icon
754
Genie Energy
GNE
$372M
$11.9M 0.04%
1,210,503
+446,723
+58% +$4.38M
ANF icon
755
Abercrombie & Fitch
ANF
$4.82B
$11.8M 0.04%
334,608
+125,740
+60% +$5.56M
IQI icon
756
Invesco Quality Municipal Securities
IQI
$527M
$11.8M 0.04%
1,023,318
-136,760
-12% -$1.55M
KEY icon
757
KeyCorp
KEY
$24.9B
$11.8M 0.04%
1,036,560
+40,583
+4% +$485K
LAMR icon
758
Lamar Advertising Co
LAMR
$16.2B
$11.8M 0.04%
250,948
+57,038
+29% +$2.51M
ETB
759
Eaton Vance Tax-Managed Buy-Write Income Fund
ETB
$461M
$11.8M 0.04%
820,482
-24,818
-3% -$372K
CNL
760
DELISTED
CLECO CRP (HOLDING CO)
CNL
$11.8M 0.04%
262,547
+246,252
+1,511% +$11.5M
WEX icon
761
WEX
WEX
$6.39B
$11.8M 0.04%
134,093
+1,080
+0.8% +$91.3K
SUNE
762
DELISTED
SUNEDISON, INC COM
SUNE
$11.7M 0.04%
1,470,496
+449,100
+44% +$3.72M
DHG
763
DELISTED
Deutsche High Incm Opportunities
DHG
$11.7M 0.04%
828,398
-89,868
-10% -$1.26M
BLW icon
764
BlackRock Limited Duration Income Trust
BLW
$492M
$11.7M 0.04%
689,509
+194,306
+39% +$3.28M
AYR
765
DELISTED
Aircastle Ltd
AYR
$11.7M 0.04%
671,901
+438,673
+188% +$7.5M
JNS
766
DELISTED
Janus Capital Group Inc
JNS
$11.7M 0.04%
1,373,674
+827,083
+151% +$7.42M
MTGE
767
DELISTED
MTGE Investment Corp. Common Stock
MTGE
$11.7M 0.04%
591,338
-388
-0.1% -$7.5K
CNVR
768
DELISTED
CONVERSANT INC COM STK (DE)
CNVR
$11.7M 0.04%
558,886
-7,166
-1% -$163K
VAL
769
DELISTED
Valspar
VAL
$11.6M 0.04%
183,545
-2,499
-1% -$164K
EXXI
770
DELISTED
ENERGY XXI LTD COM SHS
EXXI
$11.6M 0.04%
384,710
+44,910
+13% +$1.21M
COL
771
DELISTED
Rockwell Collins
COL
$11.6M 0.04%
170,881
+4,453
+3% +$315K
BCX icon
772
BlackRock Resources & Commodities Strategy Trust
BCX
$910M
$11.6M 0.04%
1,001,229
+93,463
+10% +$1.09M
CYS
773
DELISTED
CYS Investments Inc.
CYS
$11.6M 0.04%
1,423,879
-128,600
-8% -$1.04M
RAX
774
DELISTED
Rackspace Hosting Inc
RAX
$11.6M 0.04%
219,384
+10,834
+5% +$501K
BPL
775
DELISTED
Buckeye Partners, L.P.
BPL
$11.6M 0.04%
176,581
+121,840
+223% +$8.42M
29 30
31
32 33

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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
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NMIFOAC
National Mutual Insurance Federation of Agricultural Cooperatives Tokyo, Japan, Japan $13B AUM 17.65% 1-Year Est. Return
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.