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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
GDO
876
Western Asset Global Corporate Defined Opportunity Fund
GDO
$77.5M
$8.42M 0.03%
466,040
-55,070
-11% -$987K
JBHT icon
877
JB Hunt Transport Services
JBHT
$25.8B
$8.41M 0.03%
108,840
-68,821
-39% -$5.13M
NHS
878
Neuberger High Yield Strategies Fund Inc
NHS
$253M
$8.41M 0.03%
634,341
-9,384
-1% -$124K
VCI
879
DELISTED
VALASSIS COMMUNICATIONS INC
VCI
$8.41M 0.03%
245,523
-235,018
-49% -$6.95M
HNW
880
DELISTED
Pioneer Diversified High Income Fund
HNW
$8.4M 0.03%
409,356
-23,987
-6% -$499K
JCE icon
881
Nuveen Core Equity Alpha Fund
JCE
$288M
$8.37M 0.03%
493,122
+68,363
+16% +$1.11M
TYN
882
DELISTED
TORTOISE NORTH AMERICAN ENERGY CORPORATION COM
TYN
$8.36M 0.03%
300,910
-28,130
-9% -$767K
CPRT icon
883
Copart
CPRT
$27B
$8.35M 0.03%
1,822,112
-358,448
-16% -$1.5M
WLT
884
DELISTED
WALTER ENERGY INC COM STK (DE)
WLT
$8.34M 0.03%
497,417
+315,392
+173% +$4.93M
MBB icon
885
iShares MBS ETF
MBB
$39.1B
$8.31M 0.03%
79,472
-17,660
-18% -$1.86M
NDRO
886
DELISTED
Enduro Royalty Trust
NDRO
$8.3M 0.03%
+686,524
New +$8.64M
CHT icon
887
Chunghwa Telecom
CHT
$32.6B
$8.29M 0.03%
267,760
+74,536
+39% +$2.33M
MWE
888
DELISTED
MARKWEST ENERGY PARTNERS, LP
MWE
$8.17M 0.02%
123,605
+4,620
+4% +$321K
IGD
889
Voya Global Equity Dividend and Premium Opportunity Fund
IGD
$513M
$8.17M 0.02%
913,067
-189,575
-17% -$1.7M
ERC
890
Allspring Multi-Sector Income Fund
ERC
$257M
$8.14M 0.02%
578,942
-70,618
-11% -$998K
BSL
891
Blackstone Senior Floating Rate 2027 Term Fund
BSL
$170M
$8.1M 0.02%
429,732
-166,107
-28% -$3.14M
LECO icon
892
Lincoln Electric
LECO
$15.2B
$8.09M 0.02%
113,423
-53,033
-32% -$3.72M
CHY
893
Calamos Convertible and High Income Fund
CHY
$1.03B
$8.07M 0.02%
624,393
-81,260
-12% -$1.04M
NIE
894
Virtus Equity & Convertible Income Fund
NIE
$731M
$8.05M 0.02%
412,257
-19,972
-5% -$382K
PAA icon
895
Plains All American Pipeline
PAA
$16.7B
$8.02M 0.02%
154,992
+13,202
+9% +$674K
PBR.A icon
896
Petrobras Class A
PBR.A
$107B
$8.02M 0.02%
545,974
-246,526
-31% -$4.06M
XLY icon
897
PUT
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$22.9B
$8.02M 0.02%
+240,000
New +$7.64M
IAG icon
898
IAMGOLD
IAG
$8.63B
$8.02M 0.02%
2,407,252
+191,212
+9% +$828K
NMO
899
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
$8M 0.02%
666,470
-11,597
-2% -$138K
CNK icon
900
Cinemark Holdings
CNK
$4.38B
$7.98M 0.02%
239,528
-212,510
-47% -$6.97M
34 35
36
37 38

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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 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.