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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
SJNK icon
951
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.76B
$6.96M 0.02%
225,535
+8,666
+4% +$267K
DLX icon
952
Deluxe
DLX
$1.23B
$6.95M 0.02%
133,202
+108,964
+450% +$5.21M
FAM
953
DELISTED
First Trust/abrdn Global Opportunity Income Fund
FAM
$6.94M 0.02%
494,011
-73,547
-13% -$1.04M
IVR icon
954
Invesco Mortgage Capital
IVR
$760M
$6.93M 0.02%
47,186
-46,774
-50% -$7.1M
HLF icon
955
Herbalife
HLF
$1.33B
$6.92M 0.02%
175,916
+1,616
+0.9% +$56K
HPI
956
John Hancock Preferred Income Fund
HPI
$433M
$6.91M 0.02%
387,337
+71,898
+23% +$1.32M
TEI
957
Templeton Emerging Markets Income Fund
TEI
$317M
$6.91M 0.02%
506,414
+74,034
+17% +$1.06M
YPF icon
958
YPF
YPF
$19.5B
$6.87M 0.02%
+208,271
New +$5.33M
OSK icon
959
Oshkosh
OSK
$9.67B
$6.84M 0.02%
135,763
-125,064
-48% -$6.23M
FHI icon
960
Federated Hermes
FHI
$4.81B
$6.79M 0.02%
235,909
+58,980
+33% +$1.62M
CVLT icon
961
Commault Systems
CVLT
$5.47B
$6.78M 0.02%
90,474
-32,155
-26% -$2.52M
TWC
962
CALL
DELISTED
TIME WARNER CABLE INC NEW COM STK
TWC
$6.78M 0.02%
+50,000
New +$6.21M
WMC
963
DELISTED
Western Asset Mortgage Capital Corporation
WMC
$6.74M 0.02%
45,317
-911
-2% -$147K
BWP
964
DELISTED
Boardwalk Pipeline Partners
BWP
$6.74M 0.02%
264,226
-283,363
-52% -$7.91M
NWE icon
965
NorthWestern Energy
NWE
$4.3B
$6.74M 0.02%
155,300
+52,069
+50% +$2.32M
SPXX icon
966
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$342M
$6.74M 0.02%
476,933
+99,956
+27% +$1.4M
BKT icon
967
BlackRock Income Trust
BKT
$336M
$6.73M 0.02%
345,990
-74,500
-18% -$1.46M
MDCO
968
DELISTED
Medicines Co
MDCO
$6.72M 0.02%
174,084
-8,568
-5% -$306K
BRW
969
Saba Capital Income & Opportunities Fund
BRW
$339M
$6.7M 0.02%
575,803
+29,389
+5% +$350K
BSAC icon
970
Banco Santander Chile
BSAC
$16.4B
$6.7M 0.02%
284,094
+193,860
+215% +$4.59M
PRTA icon
971
Prothena Corp
PRTA
$447M
$6.67M 0.02%
+251,345
New +$6.3M
SIX
972
DELISTED
Six Flags Entertainment Corp.
SIX
$6.57M 0.02%
178,444
-12,606
-7% -$454K
ENIA
973
DELISTED
Enel Amricas S.A. American Depositary Shares (Each representing 50 shares of Common Stock)
ENIA
$6.57M 0.02%
812,790
+775,591
+2,085% +$6.63M
LBTYA icon
974
Liberty Global Class A
LBTYA
$3.72B
$6.57M 0.02%
179,014
+14,128
+9% +$474K
FLG
975
Flagstar Bank National Association
FLG
$5.96B
$6.53M 0.02%
129,177
-15,360
-11% -$744K
37 38
39
40 41

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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
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NMIFOAC
National Mutual Insurance Federation of Agricultural Cooperatives Tokyo, Japan, Japan $13B AUM 17.65% 1-Year Est. Return
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.