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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
EOCC
1001
DELISTED
Enel Generacion Chile S.A.
EOCC
$6.11M 0.02%
197,953
+165,576
+511% +$5.06M
VVR icon
1002
Invesco Senior Income Trust
VVR
$456M
$6.09M 0.02%
1,208,887
+237,871
+24% +$1.24M
BIO icon
1003
Bio-Rad Laboratories Class A
BIO
$8.91B
$6.08M 0.02%
49,194
-6,887
-12% -$839K
LPT
1004
DELISTED
Liberty Property Trust
LPT
$6.06M 0.02%
178,928
+14,576
+9% +$510K
SCD
1005
LMP Capital and Income Fund
SCD
$358M
$6.05M 0.02%
383,504
-42,505
-10% -$653K
PVR
1006
DELISTED
PVR PARTNERS L P COM UNIT REPTG LTD PARTNERSHIP INT
PVR
$6.02M 0.02%
224,393
+2,743
+1% +$69.1K
RGR icon
1007
Sturm, Ruger & Co
RGR
$625M
$6.01M 0.02%
82,179
-153,285
-65% -$10.8M
ACG
1008
DELISTED
AllianceBernstein Income Fund Inc
ACG
$5.99M 0.02%
839,029
-102,436
-11% -$722K
VCIT icon
1009
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.4B
$5.97M 0.02%
72,160
+5,193
+8% +$435K
LDOS icon
1010
Leidos
LDOS
$16.4B
$5.95M 0.02%
127,932
+96,478
+307% +$4.45M
NRP icon
1011
Natural Resource Partners
NRP
$1.28B
$5.94M 0.02%
29,785
-142
-0.5% -$28.4K
AUY
1012
DELISTED
Yamana Gold, Inc.
AUY
$5.93M 0.02%
688,128
+108,419
+19% +$1M
SMG icon
1013
ScottsMiracle-Gro
SMG
$3.86B
$5.9M 0.02%
94,832
+70,704
+293% +$4.14M
TYG
1014
Tortoise Energy Infrastructure Corp
TYG
$1.08B
$5.9M 0.02%
30,935
+11,304
+58% +$2.13M
NPSP
1015
DELISTED
NPS PHARMACEUTICALS INC
NPSP
$5.89M 0.02%
194,163
+7,288
+4% +$201K
EXG icon
1016
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$3.04B
$5.88M 0.02%
588,062
-87,373
-13% -$858K
SINA
1017
DELISTED
Sina Corp
SINA
$5.88M 0.02%
69,793
+24,282
+53% +$1.98M
WR
1018
DELISTED
Westar Energy Inc
WR
$5.87M 0.02%
182,474
+43,498
+31% +$1.37M
LZB icon
1019
La-Z-Boy
LZB
$1.67B
$5.87M 0.02%
189,307
+115,569
+157% +$2.99M
MYGN icon
1020
Myriad Genetics
MYGN
$303M
$5.87M 0.02%
279,716
+28,011
+11% +$708K
BRFS
1021
DELISTED
BRF SA
BRFS
$5.82M 0.02%
278,864
-72,179
-21% -$1.66M
CCC
1022
DELISTED
Calgon Carbon Corp
CCC
$5.8M 0.02%
282,036
+20,273
+8% +$405K
DINO icon
1023
HF Sinclair
DINO
$15.7B
$5.78M 0.02%
116,247
-346,516
-75% -$15.8M
OPK icon
1024
Opko Health
OPK
$978M
$5.75M 0.02%
681,863
-18,562
-3% -$188K
DWA
1025
DELISTED
DREAMWORKS ANIMATION SKG INC CL-A
DWA
$5.75M 0.02%
162,037
+131,335
+428% +$4.14M
39 40
41
42 43

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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.