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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
IJH icon
1026
iShares Core S&P Mid-Cap ETF
IJH
$126B
$5.75M 0.02%
214,655
-29,385
-12% -$758K
NTES icon
1027
NetEase
NTES
$83.6B
$5.71M 0.02%
363,375
-1,400
-0.4% -$19.6K
MGU
1028
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
$5.71M 0.02%
258,145
-9,268
-3% -$204K
CHD icon
1029
Church & Dwight Co
CHD
$24.4B
$5.69M 0.02%
171,748
-16,226
-9% -$523K
KT icon
1030
KT
KT
$8.79B
$5.69M 0.02%
382,422
+10,327
+3% +$162K
HYG icon
1031
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.6B
$5.66M 0.02%
+60,906
New +$5.66M
RAD
1032
DELISTED
Rite Aid Corporation
RAD
$5.66M 0.02%
55,891
+12,265
+28% +$1.3M
CGO
1033
Calamos Global Total Return Fund
CGO
$127M
$5.64M 0.02%
402,501
-79,832
-17% -$1.1M
TWO
1034
Two Harbors Investment
TWO
$1.27B
$5.64M 0.02%
75,981
-7,471
-9% -$560K
BGT icon
1035
BlackRock Floating Rate Income Trust
BGT
$323M
$5.64M 0.02%
403,910
-103,795
-20% -$1.46M
GA
1036
DELISTED
GIANT INTERACTIVE GROUP INC ADR (CAYMAN ISLANDS)
GA
$5.64M 0.02%
501,621
-689,993
-58% -$6.85M
AWP
1037
abrdn Global Premier Properties Fund
AWP
$369M
$5.6M 0.02%
259,454
-125,801
-33% -$2.71M
SNN icon
1038
Smith & Nephew
SNN
$12.8B
$5.59M 0.02%
194,730
+128,420
+194% +$3.39M
PVTB
1039
DELISTED
PrivateBancorp Inc
PVTB
$5.56M 0.02%
192,181
-46,175
-19% -$1.19M
ACTG icon
1040
Acacia Research
ACTG
$445M
$5.55M 0.02%
380,932
+284,270
+294% +$4.49M
GDP
1041
CALL
DELISTED
GOODRICH PETROLEUM CORP(NEW)
GDP
$5.53M 0.02%
324,900
+192,800
+146% +$4.14M
WTS icon
1042
Watts Water Technologies
WTS
$12B
$5.5M 0.02%
88,856
-479
-0.5% -$27.8K
CIG icon
1043
CEMIG Preferred Shares
CIG
$6.15B
$5.49M 0.02%
1,806,837
+110,970
+7% +$368K
FLOT icon
1044
iShares Floating Rate Bond ETF
FLOT
$10.3B
$5.47M 0.02%
107,864
+12,397
+13% +$628K
UVV icon
1045
Universal Corp
UVV
$1.32B
$5.46M 0.02%
100,077
+30,936
+45% +$1.61M
VRE
1046
DELISTED
Veris Residential
VRE
$5.46M 0.02%
254,223
+42,251
+20% +$886K
TCOM icon
1047
Trip.com Group
TCOM
$29.5B
$5.46M 0.02%
219,874
+13,598
+7% +$355K
SMM
1048
DELISTED
Salient Midstream & MLP Fund
SMM
$5.45M 0.02%
229,557
+78,599
+52% +$1.77M
ULQ
1049
DELISTED
CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF
ULQ
$5.44M 0.02%
108,400
-492,400
-82% -$24.7M
MITT
1050
TPG Mortgage Investment Trust
MITT
$227M
$5.42M 0.02%
115,631
+29,659
+34% +$1.43M
40 41
42
43 44

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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
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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.