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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
UGP icon
951
Ultrapar
UGP
$6.75B
$6.9M 0.02%
561,558
-40,414
-7% -$477K
MKTO
952
DELISTED
MARKETO INC COM STK (DE)
MKTO
$6.86M 0.02%
+215,035
New +$6.83M
AEM icon
953
Agnico Eagle Mines
AEM
$76.3B
$6.84M 0.02%
258,056
+56,830
+28% +$1.62M
NAD icon
954
Nuveen Quality Municipal Income Fund
NAD
$2.74B
$6.84M 0.02%
524,611
-88,995
-15% -$1.14M
NEV
955
DELISTED
NUVEEN ENHANCED MUNICIPAL VALUE FUND
NEV
$6.81M 0.02%
505,227
-5,804
-1% -$78.3K
QRE
956
DELISTED
QR ENERGY LP UNIT LTD PARTNERSHIP INT (DE)
QRE
$6.79M 0.02%
417,130
+47,788
+13% +$800K
PGX icon
957
Invesco Preferred ETF
PGX
$3.81B
$6.78M 0.02%
495,235
+11,794
+2% +$164K
SABA
958
Saba Capital Income & Opportunities Fund II
SABA
$223M
$6.77M 0.02%
+405,004
New +$6.68M
ALKS icon
959
Alkermes
ALKS
$8.33B
$6.73M 0.02%
200,249
-19,423
-9% -$632K
YHOO
960
CALL
DELISTED
Yahoo Inc
YHOO
$6.71M 0.02%
200,000
– –
JHS
961
John Hancock Income Securities Trust
JHS
$127M
$6.68M 0.02%
473,231
-126,349
-21% -$1.8M
ARIA
962
DELISTED
Ariad Pharmaceuticals Inc
ARIA
$6.65M 0.02%
361,471
+24,704
+7% +$480K
PSE
963
DELISTED
PIONEER SOUTHWEST ENERGY PARTNERS LP
PSE
$6.64M 0.02%
150,130
+14,538
+11% +$579K
ATVI
964
DELISTED
Activision Blizzard
ATVI
$6.64M 0.02%
398,352
-417,008
-51% -$6.9M
ACG
965
DELISTED
AllianceBernstein Income Fund Inc
ACG
$6.63M 0.02%
941,465
-87,532
-9% -$620K
SJNK icon
966
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.76B
$6.62M 0.02%
216,869
+8,209
+4% +$250K
BRW
967
Saba Capital Income & Opportunities Fund
BRW
$339M
$6.62M 0.02%
546,414
+135,782
+33% +$1.66M
CSQ icon
968
Calamos Strategic Total Return Fund
CSQ
$3.33B
$6.61M 0.02%
660,606
-13,905
-2% -$141K
BIO icon
969
Bio-Rad Laboratories Class A
BIO
$8.91B
$6.59M 0.02%
56,081
+13,734
+32% +$1.62M
JCE icon
970
Nuveen Core Equity Alpha Fund
JCE
$288M
$6.59M 0.02%
424,759
-18,862
-4% -$297K
FLG
971
Flagstar Bank National Association
FLG
$5.95B
$6.55M 0.02%
144,537
-2,180
-1% -$97.9K
IONS icon
972
Ionis Pharmaceuticals
IONS
$9.15B
$6.53M 0.02%
173,906
-15,984
-8% -$477K
CGO
973
Calamos Global Total Return Fund
CGO
$127M
$6.49M 0.02%
482,333
-26,869
-5% -$365K
TWO
974
Two Harbors Investment
TWO
$1.27B
$6.48M 0.02%
83,452
-131,771
-61% -$10.3M
SDRL
975
DELISTED
Seadrill Limited Common Stock
SDRL
$6.48M 0.02%
537
+41
+8% +$485K
37 38
39
40 41

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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.