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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
MPT
926
Medical Properties Trust
MPT
$2.79B
$7.44M 0.02%
608,922
+440,410
+261% +$5.62M
MFD
927
DELISTED
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
MFD
$7.39M 0.02%
441,706
-197,474
-31% -$3.15M
PDLI
928
DELISTED
PDL BioPharma, Inc.
PDLI
$7.31M 0.02%
866,425
-977,335
-53% -$8.24M
PSF icon
929
Cohen & Steers Select Preferred & Income Fund
PSF
$236M
$7.31M 0.02%
296,119
+81,585
+38% +$1.95M
SGEN
930
DELISTED
Seagen Inc. Common Stock
SGEN
$7.29M 0.02%
182,672
+4,745
+3% +$194K
AGCO icon
931
AGCO
AGCO
$7.5B
$7.28M 0.02%
123,036
-222,751
-64% -$13.3M
SEMG
932
DELISTED
SEMGROUP CORPORATION
SEMG
$7.26M 0.02%
111,295
+36,566
+49% +$2.2M
PBR icon
933
Petrobras
PBR
$121B
$7.22M 0.02%
523,951
-208,935
-29% -$3.24M
EWBC icon
934
East-West Bancorp
EWBC
$18.3B
$7.21M 0.02%
206,243
+196,639
+2,047% +$6.67M
SBY
935
DELISTED
Silver Bay Realty Trust Corp.
SBY
$7.2M 0.02%
450,052
+428,252
+1,964% +$6.75M
BOE icon
936
BlackRock Enhanced Global Dividend Trust
BOE
$684M
$7.18M 0.02%
479,759
+51,822
+12% +$751K
BCH icon
937
Banco de Chile
BCH
$21B
$7.17M 0.02%
275,156
+129,104
+88% +$3.41M
CSQ icon
938
Calamos Strategic Total Return Fund
CSQ
$3.34B
$7.17M 0.02%
658,992
-1,614
-0.2% -$17K
RAMP icon
939
LiveRamp
RAMP
$2.3B
$7.17M 0.02%
194,033
+185,282
+2,117% +$6.19M
CLNY
940
DELISTED
Colony Capital, Inc.
CLNY
$7.15M 0.02%
352,333
-23,836
-6% -$480K
IONS icon
941
Ionis Pharmaceuticals
IONS
$9.1B
$7.09M 0.02%
177,863
+3,957
+2% +$141K
DKS icon
942
Dick's Sporting Goods
DKS
$17.8B
$7.05M 0.02%
121,348
-110,452
-48% -$6.03M
RNP icon
943
Cohen & Steers REIT and Preferred and Income Fund
RNP
$986M
$7.02M 0.02%
447,524
-161,523
-27% -$2.56M
ALKS icon
944
Alkermes
ALKS
$8.31B
$7M 0.02%
172,203
-28,046
-14% -$1.04M
QGENF
945
DELISTED
QIAGEN NV
QGENF
$6.99M 0.02%
293,435
-8,029
-3% -$191K
HSIC icon
946
Henry Schein
HSIC
$10.2B
$6.98M 0.02%
155,823
+9,078
+6% +$397K
VCV icon
947
Invesco California Value Municipal Income Trust
VCV
$517M
$6.98M 0.02%
611,949
-6,828
-1% -$75.9K
SKM icon
948
SK Telecom
SKM
$13.4B
$6.97M 0.02%
171,840
-488
-0.3% -$19.2K
MDVN
949
DELISTED
MEDIVATION, INC.
MDVN
$6.97M 0.02%
218,406
-56,954
-21% -$1.72M
INF
950
DELISTED
BROOKFIELD GLOBAL LISTED INFRASTRUCTURE INCOME FUND INC.
INF
$6.97M 0.02%
360,588
-17,791
-5% -$349K
36 37
38
39 40

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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 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.