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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
IQV icon
826
IQVIA
IQV
$37.5B
$10.1M 0.03%
217,378
+20,603
+10% +$902K
AMG icon
827
Affiliated Managers Group
AMG
$10.2B
$10.1M 0.03%
46,421
-16,684
-26% -$3.33M
BGR icon
828
BlackRock Energy and Resources Trust
BGR
$412M
$10M 0.03%
411,515
-17,510
-4% -$455K
GLO
829
Clough Global Opportunities Fund
GLO
$254M
$10M 0.03%
765,003
-185,955
-20% -$2.38M
DHG
830
DELISTED
Deutsche High Incm Opportunities
DHG
$9.91M 0.03%
688,380
-140,018
-17% -$1.98M
MSCI icon
831
MSCI
MSCI
$42B
$9.88M 0.03%
226,014
+172,465
+322% +$7.26M
TECK icon
832
Teck Resources
TECK
$31.3B
$9.88M 0.03%
379,876
-120,734
-24% -$3.12M
QVCGA
833
DELISTED
QVC Group Inc Series A
QVCGA
$9.88M 0.03%
8,197
-18,676
-69% -$20.8M
SFUN
834
DELISTED
Fang Holdings Limited American Depositary Shares (each representing ten Class A Ordinary Shares)
SFUN
$9.86M 0.03%
11,960
-13,028
-52% -$8.18M
BSJH
835
DELISTED
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
$9.73M 0.03%
358,769
+118,636
+49% +$3.2M
HPS
836
John Hancock Preferred Income Fund III
HPS
$459M
$9.72M 0.03%
623,546
-88,608
-12% -$1.42M
E icon
837
ENI
E
$77.4B
$9.7M 0.03%
200,022
+123,552
+162% +$5.91M
INCY icon
838
Incyte
INCY
$24.1B
$9.69M 0.03%
191,359
-227,893
-54% -$9.91M
BSJI
839
DELISTED
Invesco BulletShares 2018 High Yield Corporate Bond ETF
BSJI
$9.69M 0.03%
359,343
+118,569
+49% +$3.18M
VALE.P
840
DELISTED
Vale S A
VALE.P
$9.64M 0.03%
688,115
-223,293
-24% -$3.17M
NTI
841
DELISTED
NORTHERN TIER ENERGY LP CLASS A
NTI
$9.63M 0.03%
391,382
-547,041
-58% -$12.9M
INVX
842
Innovex International
INVX
$2.2B
$9.61M 0.03%
87,458
+69,002
+374% +$7.8M
XLB icon
843
State Street Materials Select Sector SPDR ETF
XLB
$8.45B
$9.58M 0.03%
414,600
+343,200
+481% +$7.54M
SMF
844
DELISTED
SALIENT MLP & ENERGY INFRASTRUCTURE FD
SMF
$9.55M 0.03%
339,823
+17,841
+6% +$472K
WSM icon
845
Williams-Sonoma
WSM
$29.3B
$9.48M 0.03%
323,470
-1,240,664
-79% -$34.7M
HNI icon
846
HNI Corp
HNI
$3.45B
$9.33M 0.03%
240,369
+222,595
+1,252% +$8.46M
EVF
847
Eaton Vance Senior Income Trust
EVF
$90.5M
$9.22M 0.03%
1,334,601
-156,712
-11% -$1.09M
CMO
848
DELISTED
Capstead Mortgage Corp.
CMO
$9.21M 0.03%
762,169
+280,012
+58% +$3.34M
HBI
849
DELISTED
Hanesbrands
HBI
$9.19M 0.03%
523,352
-156,840
-23% -$2.61M
CCG
850
DELISTED
CAMPUS CREST COMMUNITIES INC COM STK (MD)
CCG
$9.16M 0.03%
973,753
+11,968
+1% +$117K
32 33
34
35 36

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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
Aptus Capital Advisors Fairhope, Alabama $12.7B AUM 17.41% 1-Year Est. Return

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.