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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
ITRI icon
876
Itron
ITRI
$4.65B
$8.92M 0.03%
208,335
-330
-0.2% -$13.5K
PTR
877
DELISTED
PETROCHINA COMPANY LIMITED ADS (REP 100 H SHARES)
PTR
$8.91M 0.03%
81,006
-21,519
-21% -$2.46M
SBNY
878
DELISTED
Signature Bank
SBNY
$8.86M 0.03%
96,771
+2,423
+3% +$218K
MBT
879
DELISTED
Mobile TeleSystems Public Joint Stock Company American Depositary Shares (Each representing 2 Shares
MBT
$8.85M 0.03%
397,444
+11,930
+3% +$246K
CHY
880
Calamos Convertible and High Income Fund
CHY
$1.04B
$8.84M 0.03%
705,653
-250,377
-26% -$3.1M
IQV icon
881
IQVIA
IQV
$37.6B
$8.83M 0.03%
196,775
+26,095
+15% +$1.15M
EPD icon
882
Enterprise Products Partners
EPD
$82.5B
$8.83M 0.03%
289,208
+33,270
+13% +$1.02M
TYN
883
DELISTED
TORTOISE NORTH AMERICAN ENERGY CORPORATION COM
TYN
$8.78M 0.03%
329,040
+12,163
+4% +$348K
JLL icon
884
Jones Lang LaSalle
JLL
$16.9B
$8.73M 0.03%
100,032
+22,071
+28% +$1.97M
ANN
885
DELISTED
ANN INC
ANN
$8.67M 0.03%
239,371
+8,746
+4% +$299K
CPRT icon
886
Copart
CPRT
$27.2B
$8.66M 0.03%
2,180,560
-1,448
-0.1% -$5.89K
NPBC
887
DELISTED
NATL PENN BANCSHARES INC
NPBC
$8.64M 0.03%
860,099
+670,221
+353% +$7.08M
IEX icon
888
IDEX
IEX
$17.5B
$8.64M 0.03%
132,351
-8,606
-6% -$520K
BRFS
889
DELISTED
BRF SA
BRFS
$8.61M 0.03%
351,043
-38,220
-10% -$878K
MWE
890
DELISTED
MARKWEST ENERGY PARTNERS, LP
MWE
$8.6M 0.03%
118,985
+11,767
+11% +$806K
TSLA icon
891
Tesla
TSLA
$1.29T
$8.54M 0.03%
661,935
+449,325
+211% +$4.45M
TOL icon
892
Toll Brothers
TOL
$14.3B
$8.51M 0.03%
262,296
-40,628
-13% -$1.31M
TGH
893
DELISTED
Textainer Group Holdings limited
TGH
$8.48M 0.03%
223,984
+116,057
+108% +$4.16M
LPX icon
894
Louisiana-Pacific
LPX
$5.37B
$8.45M 0.03%
480,427
+59,401
+14% +$982K
BMO icon
895
Bank of Montreal
BMO
$126B
$8.43M 0.03%
126,102
+7,143
+6% +$448K
SMF
896
DELISTED
SALIENT MLP & ENERGY INFRASTRUCTURE FD
SMF
$8.42M 0.03%
321,982
+33,925
+12% +$950K
BKT icon
897
BlackRock Income Trust
BKT
$336M
$8.41M 0.03%
420,490
-55,530
-12% -$1.09M
NHS
898
Neuberger High Yield Strategies Fund Inc
NHS
$254M
$8.41M 0.03%
643,725
-36,769
-5% -$474K
AEIS icon
899
Advanced Energy
AEIS
$13.7B
$8.39M 0.03%
478,631
+193,239
+68% +$3.8M
PDI icon
900
PIMCO Dynamic Income Fund
PDI
$7.45B
$8.35M 0.03%
291,229
+23,783
+9% +$666K
34 35
36
37 38

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AIM
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Fundsmith LLP
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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 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.