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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
TRW
1051
DELISTED
TRW AUTOMOTIVE HOLDINGS CORP
TRW
$5.49M 0.02%
76,700
+44,387
+137% +$3.12M
THOR
1052
DELISTED
THORATEC CORPORATION
THOR
$5.47M 0.02%
146,678
-19,202
-12% -$671K
PCF
1053
High Income Securities Fund
PCF
$98.8M
$5.46M 0.02%
694,365
-189,621
-21% -$1.48M
ELN
1054
PUT
DELISTED
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
$5.46M 0.02%
350,000
-34,100
-9% -$514K
STRI
1055
DELISTED
STR HLDGS INC COM STK NEW (DE)
STRI
$5.46M 0.02%
815,360
+608,203
+294% +$3.93M
HTGC icon
1056
Hercules Capital
HTGC
$3.16B
$5.45M 0.02%
357,408
+83,729
+31% +$1.21M
NUAN
1057
DELISTED
Nuance Communications, Inc.
NUAN
$5.45M 0.02%
334,936
+66,203
+25% +$1.1M
HTS
1058
DELISTED
HATTERAS FINANCIAL CORP
HTS
$5.42M 0.02%
289,376
-253,153
-47% -$5.09M
LBTYA icon
1059
Liberty Global Class A
LBTYA
$3.71B
$5.39M 0.02%
164,886
+66,419
+67% +$2.15M
NQM
1060
DELISTED
NUVEEN INVESTMENT QLTY MUNI FD
NQM
$5.39M 0.02%
391,336
-43,717
-10% -$589K
OPLN
1061
Openlane
OPLN
$4.36B
$5.38M 0.02%
504,083
+357,426
+244% +$3.57M
KGC icon
1062
Kinross Gold
KGC
$28B
$5.38M 0.02%
1,065,298
-22,099
-2% -$117K
VMW
1063
DELISTED
VMware, Inc
VMW
$5.36M 0.02%
65,494
+40,827
+166% +$3.3M
MYD
1064
DELISTED
BlackRock MuniYield Fund
MYD
$5.35M 0.02%
400,796
+31,256
+8% +$420K
KMM
1065
DELISTED
Deutsche Multi-Market Incm Trust
KMM
$5.34M 0.02%
533,876
-47,555
-8% -$491K
BRE
1066
DELISTED
BRE PROPERTIES INC CL A
BRE
$5.32M 0.02%
103,955
-27,057
-21% -$1.37M
AMRN
1067
Amarin Corp
AMRN
$297M
$5.32M 0.02%
42,099
+12,294
+41% +$1.47M
HTY
1068
DELISTED
JOHN HANCOCK TAX-ADVANTAGED GLOBAL SHAREHOLDER YIELD FUND
HTY
$5.32M 0.02%
461,327
-45,292
-9% -$552K
GOV
1069
DELISTED
Government Properties Income Trust
GOV
$5.3M 0.02%
221,631
+28,688
+15% +$707K
NTES icon
1070
NetEase
NTES
$84.2B
$5.3M 0.02%
364,775
+49,615
+16% +$678K
TLI
1071
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
$5.29M 0.02%
428,079
-70,166
-14% -$876K
VOD icon
1072
PUT
Vodafone
VOD
$36.1B
$5.28M 0.02%
+147,150
New +$4.65M
FCT
1073
First Trust Senior Floating Rate Income Fund II
FCT
$250M
$5.25M 0.02%
366,947
-59,378
-14% -$908K
CPHD
1074
DELISTED
Cepheid Inc
CPHD
$5.25M 0.02%
134,428
+19,338
+17% +$701K
ETG
1075
Eaton Vance Tax-Advantaged Global Dividend Income Fund
ETG
$1.82B
$5.24M 0.02%
335,786
-53,906
-14% -$851K
41 42
43
44 45

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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
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
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.