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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
SABA
851
Saba Capital Income & Opportunities Fund II
SABA
$223M
$9.13M 0.03%
573,942
+168,938
+42% +$2.76M
EDF
852
Virtus Stone Harbor Emerging Markets Income Fund
EDF
$168M
$9.12M 0.03%
497,559
+318,128
+177% +$6.04M
BTI icon
853
British American Tobacco
BTI
$128B
$9.1M 0.03%
169,482
+98,966
+140% +$5.27M
VTOL icon
854
Bristow Group
VTOL
$1.37B
$9.08M 0.03%
147,130
+136,474
+1,281% +$8.46M
GSM icon
855
FerroAtlántica
GSM
$626M
$9.07M 0.03%
503,789
-746,898
-60% -$12.9M
FIF
856
DELISTED
FIRST TRUST ENERGY INFRASTRUCTURE FUND
FIF
$9.02M 0.03%
433,107
-7,679
-2% -$163K
COLE
857
DELISTED
COLE REAL ESTATE INVESTMENTS, INC COM
COLE
$9.01M 0.03%
641,554
+508,046
+381% +$6.92M
MMT
858
Aberdeen Multi-Market Income Fund
MMT
$239M
$8.89M 0.03%
1,342,401
-244,801
-15% -$1.59M
JLA
859
DELISTED
NUVEEN EQUITY PREMIUM ADVANTAGE FUND
JLA
$8.88M 0.03%
702,487
-116,238
-14% -$1.44M
ABB
860
DELISTED
ABB Ltd
ABB
$8.87M 0.03%
333,731
+126,851
+61% +$3.16M
LNW
861
DELISTED
Light & Wonder
LNW
$8.86M 0.03%
+523,382
New +$9.24M
HTD
862
John Hancock Tax-Advantaged Dividend Income Fund
HTD
$908M
$8.85M 0.03%
485,712
-48,689
-9% -$863K
PDI icon
863
PIMCO Dynamic Income Fund
PDI
$7.44B
$8.77M 0.03%
300,952
+9,723
+3% +$285K
CNVR
864
DELISTED
CONVERSANT INC COM STK (DE)
CNVR
$8.65M 0.03%
370,200
-188,686
-34% -$3.95M
IWM icon
865
PUT
iShares Russell 2000 ETF
IWM
$82.5B
$8.65M 0.03%
75,000
+8,800
+13% +$972K
DBL
866
DoubleLine Opportunistic Credit Fund
DBL
$279M
$8.63M 0.03%
386,611
+309,948
+404% +$7.08M
BR icon
867
Broadridge
BR
$19.7B
$8.61M 0.03%
217,930
+135,565
+165% +$4.9M
VOO icon
868
Vanguard S&P 500 ETF
VOO
$1.01T
$8.61M 0.03%
50,892
-1
-0% -$162
AVK
869
Advent Convertible and Income Fund
AVK
$563M
$8.59M 0.03%
476,347
-84,681
-15% -$1.48M
NRK icon
870
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$899M
$8.53M 0.03%
694,963
-330,971
-32% -$3.98M
CHTR icon
871
Charter Communications
CHTR
$17.5B
$8.5M 0.03%
62,176
+26,562
+75% +$3.52M
GG
872
DELISTED
Goldcorp Inc
GG
$8.49M 0.03%
391,614
+11,969
+3% +$281K
NPT
873
DELISTED
NUVEEN PREM INSD MUNI FD-4 INC
NPT
$8.49M 0.03%
699,850
-195,291
-22% -$2.29M
IRR
874
DELISTED
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
$8.46M 0.03%
862,574
-384,792
-31% -$3.82M
QIHU
875
DELISTED
QIHOO 360 TECHNOLOGY CO LTD ADS RPSTG 3 CL A SHS
QIHU
$8.44M 0.03%
102,917
+43,671
+74% +$3.65M
33 34
35
36 37

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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
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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.