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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
JDD
976
DELISTED
Nuveen Diversified Dividend and Income Fund
JDD
$6.52M 0.02%
578,464
+58,377
+11% +$656K
BCE icon
977
BCE
BCE
$20.5B
$6.51M 0.02%
150,384
+7,371
+5% +$321K
BGS icon
978
B&G Foods
BGS
$289M
$6.5M 0.02%
191,700
+136,994
+250% +$4.7M
RCI icon
979
Rogers Communications
RCI
$18.3B
$6.49M 0.02%
143,430
-106,736
-43% -$4.75M
ALNY icon
980
Alnylam Pharmaceuticals
ALNY
$29.3B
$6.48M 0.02%
100,747
-7,349
-7% -$438K
PDT
981
John Hancock Premium Dividend Fund
PDT
$632M
$6.42M 0.02%
554,023
+163,477
+42% +$1.96M
UN
982
DELISTED
Unilever NV New York Registry Shares
UN
$6.42M 0.02%
159,681
+69,522
+77% +$2.7M
NJR icon
983
New Jersey Resources
NJR
$5.79B
$6.42M 0.02%
277,420
+238,514
+613% +$5.37M
DPZ icon
984
Domino's
DPZ
$12.2B
$6.41M 0.02%
92,094
+85,794
+1,362% +$5.87M
JSN
985
DELISTED
NUVEEN EQUITY PREMIUM OPPORTUNITY FUND
JSN
$6.4M 0.02%
506,155
-87,790
-15% -$1.08M
CSG
986
DELISTED
CHAMBERS STR PPTYS COM
CSG
$6.4M 0.02%
836,723
+817,572
+4,269% +$6.97M
INVA icon
987
Innoviva
INVA
$1.54B
$6.37M 0.02%
221,559
-4,444
-2% -$130K
IDA icon
988
Idacorp
IDA
$8.36B
$6.34M 0.02%
122,315
+90,619
+286% +$4.63M
LMOS
989
DELISTED
Lumos Networks Corp
LMOS
$6.33M 0.02%
301,437
-630,662
-68% -$13.9M
VGI
990
Virtus Global Multi-Sector Income Fund
VGI
$82.2M
$6.29M 0.02%
371,721
-8,572
-2% -$145K
ALEX
991
DELISTED
Alexander & Baldwin
ALEX
$6.24M 0.02%
+149,565
New +$5.74M
PBA icon
992
Pembina Pipeline
PBA
$28.1B
$6.2M 0.02%
176,006
+43,507
+33% +$1.43M
SIRI icon
993
SiriusXM
SIRI
$10.4B
$6.19M 0.02%
177,463
+18,812
+12% +$703K
CTCM
994
DELISTED
CTC MEDIA INC COM STK
CTCM
$6.19M 0.02%
445,225
-10,430
-2% -$129K
PSX icon
995
PUT
Phillips 66
PSX
$82.5B
$6.17M 0.02%
+80,000
New +$5.34M
NAD icon
996
Nuveen Quality Municipal Income Fund
NAD
$2.74B
$6.15M 0.02%
488,767
-35,844
-7% -$453K
LEA icon
997
Lear
LEA
$6.21B
$6.14M 0.02%
75,891
-78,673
-51% -$6.16M
RY icon
998
Royal Bank of Canada
RY
$290B
$6.14M 0.02%
91,365
+56,349
+161% +$3.74M
TECH icon
999
Bio-Techne
TECH
$11.2B
$6.14M 0.02%
259,236
-56,080
-18% -$1.22M
PICB icon
1000
Invesco International Corporate Bond ETF
PICB
$361M
$6.12M 0.02%
207,482
+41,720
+25% +$1.23M
38 39
40
41 42

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TRSOTSOK
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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
APG Asset Management US New York $13B AUM 5.3% 1-Year Est. Return
NMIFOAC
National Mutual Insurance Federation of Agricultural Cooperatives Tokyo, Japan, Japan $13B AUM 17.65% 1-Year Est. Return
WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
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.