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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
ACAD icon
1101
Acadia Pharmaceuticals
ACAD
$4.39B
$4.91M 0.01%
196,405
+7,347
+4% +$173K
CIB icon
1102
Grupo Cibest SA
CIB
$21.6B
$4.88M 0.01%
99,447
+72,645
+271% +$3.86M
MUJ icon
1103
BlackRock MuniHoldings New Jersey Quality Fund
MUJ
$637M
$4.85M 0.01%
369,918
-17,296
-4% -$226K
WPZ
1104
DELISTED
Williams Partners L.P.
WPZ
$4.85M 0.01%
91,002
-6,909
-7% -$338K
PBYI icon
1105
Puma Biotechnology
PBYI
$391M
$4.85M 0.01%
+46,844
New +$2.75M
BCF
1106
DELISTED
BLACKROCK REAL ASSET EQUITY TRUST
BCF
$4.85M 0.01%
556,457
-294,369
-35% -$2.6M
IVC
1107
DELISTED
Invacare Corporation
IVC
$4.83M 0.01%
208,215
-17,623
-8% -$365K
HPF
1108
John Hancock Preferred Income Fund II
HPF
$344M
$4.83M 0.01%
269,675
+59,340
+28% +$1.09M
NDP
1109
DELISTED
TORTOISE ENERGY INDEPENDENCE FUND, INC.
NDP
$4.81M 0.01%
23,954
+20,475
+589% +$4.05M
KMM
1110
DELISTED
Deutsche Multi-Market Incm Trust
KMM
$4.79M 0.01%
510,673
-23,203
-4% -$221K
NEV
1111
DELISTED
NUVEEN ENHANCED MUNICIPAL VALUE FUND
NEV
$4.79M 0.01%
369,662
-135,565
-27% -$1.79M
IDE
1112
Voya Infrastructure, Industrials and Materials Fund
IDE
$198M
$4.76M 0.01%
278,336
+157,864
+131% +$2.67M
RPM icon
1113
RPM International
RPM
$14.2B
$4.76M 0.01%
114,710
+39,028
+52% +$1.52M
ORAN
1114
DELISTED
Orange
ORAN
$4.76M 0.01%
385,410
-223,725
-37% -$2.9M
CLDX icon
1115
Celldex Therapeutics
CLDX
$2.96B
$4.74M 0.01%
13,057
+2,386
+22% +$919K
NVC
1116
DELISTED
NUVEEN CALIF SELECT QUAL MUNI
NVC
$4.74M 0.01%
344,072
+20,278
+6% +$283K
UUP icon
1117
Invesco DB US Dollar Index Bullish Fund
UUP
$424M
$4.73M 0.01%
+220,000
New +$4.76M
LNT icon
1118
Alliant Energy
LNT
$18.5B
$4.73M 0.01%
183,200
+3,154
+2% +$81.4K
SJT
1119
San Juan Basin Royalty Trust
SJT
$113M
$4.71M 0.01%
+281,178
New +$4.62M
OIA icon
1120
Invesco Municipal Income Opportunities Trust
OIA
$287M
$4.71M 0.01%
759,034
+160,087
+27% +$986K
CHW
1121
Calamos Global Dynamic Income Fund
CHW
$533M
$4.7M 0.01%
524,335
-13,043
-2% -$115K
VE
1122
DELISTED
VEOLIA ENVIRONNEMENT
VE
$4.7M 0.01%
286,988
+90,773
+46% +$1.52M
HTY
1123
DELISTED
JOHN HANCOCK TAX-ADVANTAGED GLOBAL SHAREHOLDER YIELD FUND
HTY
$4.68M 0.01%
375,670
-85,657
-19% -$1.05M
NQJ
1124
DELISTED
NUVEEN NJ INVT QUALITY MUNI FD
NQJ
$4.68M 0.01%
362,956
-7,506
-2% -$95.2K
VRSK icon
1125
Verisk Analytics
VRSK
$25.1B
$4.67M 0.01%
71,052
+14,570
+26% +$957K
43 44
45
46 47

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Fundsmith LLP
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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.