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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
BYM
1076
DELISTED
BlackRock Municipal Income Quality Trust
BYM
$5.13M 0.02%
404,965
+46,485
+13% +$597K
MYD
1077
DELISTED
BlackRock MuniYield Fund
MYD
$5.13M 0.02%
400,283
-513
-0.1% -$6.73K
ATCO
1078
DELISTED
Atlas Corp.
ATCO
$5.13M 0.02%
223,563
+69,871
+45% +$1.56M
RYAAY icon
1079
Ryanair
RYAAY
$31.1B
$5.13M 0.02%
+266,243
New +$5.21M
CRI icon
1080
Carter's
CRI
$1.46B
$5.11M 0.02%
71,223
-143,542
-67% -$10.2M
MEMP
1081
DELISTED
Memorial Production Partners LP Common Units
MEMP
$5.11M 0.02%
232,773
+72,631
+45% +$1.5M
ABM icon
1082
ABM Industries
ABM
$2.86B
$5.11M 0.02%
178,561
+109,961
+160% +$3.04M
FELE icon
1083
Franklin Electric
FELE
$4.73B
$5.1M 0.02%
114,271
-12,631
-10% -$516K
FNF icon
1084
Fidelity National Financial
FNF
$13.9B
$5.08M 0.02%
274,370
+202,654
+283% +$3.28M
TK icon
1085
Teekay
TK
$1.03B
$5.07M 0.02%
105,543
+41,800
+66% +$1.83M
DPO
1086
DELISTED
DOW ENHANCED PREMIUM & INCOME FUND, INC COM
DPO
$5.07M 0.02%
385,847
+23,127
+6% +$291K
CLMT icon
1087
Calumet Specialty Products
CLMT
$3.69B
$5.05M 0.02%
194,085
+14,549
+8% +$407K
YOKU
1088
DELISTED
YOUKU TUDOU INC.(CAYMAN ISLS)
YOKU
$5.04M 0.02%
166,439
-122,884
-42% -$3.53M
HME
1089
DELISTED
HOME PROPERTIES, INC
HME
$5.01M 0.02%
93,376
+22,873
+32% +$1.29M
BBEP
1090
DELISTED
BREITBURN ENERGY PARTNERS LP COM UNITS RPTNG LTD PRTNRSHIP
BBEP
$5M 0.02%
246,066
-103,861
-30% -$1.98M
RQI icon
1091
Cohen & Steers Quality Income Realty Fund
RQI
$1.7B
$5M 0.02%
527,311
-81,949
-13% -$798K
SNP
1092
DELISTED
CHINA PETROLEUM & CHEMICAL CORPORATION ADS (REP 100 ORDINARY H SHARES)
SNP
$4.99M 0.02%
60,709
-82,820
-58% -$6.82M
NSIT icon
1093
Insight Enterprises
NSIT
$3.98B
$4.98M 0.02%
219,370
+20,255
+10% +$444K
AEGR
1094
DELISTED
Aegerion Pharmaceuticals
AEGR
$4.97M 0.02%
70,087
+9,127
+15% +$698K
VR
1095
DELISTED
Validus Hold Ltd
VR
$4.97M 0.02%
123,282
-207,599
-63% -$8.11M
PMFG
1096
DELISTED
PMFG INC COM STK (DE)
PMFG
$4.96M 0.02%
548,058
+228,597
+72% +$1.78M
ACOR
1097
DELISTED
Acorda Therapeutics
ACOR
$4.95M 0.02%
1,412
+259
+22% +$1.01M
NUC
1098
DELISTED
NUVEEN CALIF QUAL INCM MUNI FD
NUC
$4.94M 0.02%
344,244
+14,606
+4% +$209K
GRFS
1099
Grifois
GRFS
$5.35B
$4.92M 0.01%
+272,372
New +$4.37M
HTS
1100
DELISTED
HATTERAS FINANCIAL CORP
HTS
$4.92M 0.01%
300,999
+11,623
+4% +$203K
42 43
44
45 46

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CII
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AAMU
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NMIFOAC
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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.