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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
IAE
1151
Voya Asia Pacific High Dividend Equity Income Fund
IAE
$92.3M
$4.46M 0.01%
350,177
-105,411
-23% -$1.37M
HMN icon
1152
Horace Mann Educators
HMN
$2.09B
$4.46M 0.01%
141,322
-17,196
-11% -$509K
CTRX
1153
DELISTED
CATAMARAN CORP COM STK (CDA)
CTRX
$4.46M 0.01%
93,872
+11,149
+13% +$526K
OVV icon
1154
Ovintiv
OVV
$17.1B
$4.45M 0.01%
49,325
+25,075
+103% +$2.28M
IRBT
1155
DELISTED
iRobot
IRBT
$4.45M 0.01%
127,965
+29,902
+30% +$1.02M
SR icon
1156
Spire
SR
$4.73B
$4.45M 0.01%
97,712
+16,009
+20% +$737K
AVT icon
1157
Avnet
AVT
$7.29B
$4.45M 0.01%
100,807
+1,968
+2% +$81.2K
TRW
1158
DELISTED
TRW AUTOMOTIVE HOLDINGS CORP
TRW
$4.43M 0.01%
59,522
-17,178
-22% -$1.29M
ARW icon
1159
Arrow Electronics
ARW
$11.1B
$4.42M 0.01%
81,406
-4,084
-5% -$207K
LGCY
1160
DELISTED
Legacy Reserves Inc. Common Stock
LGCY
$4.4M 0.01%
156,410
+5,263
+3% +$145K
HIW icon
1161
Highwoods Properties
HIW
$3.67B
$4.37M 0.01%
120,897
-9,407
-7% -$343K
QCOR
1162
DELISTED
QUESTCOR PHARMA INC
QCOR
$4.36M 0.01%
80,043
+36,982
+86% +$2.19M
BTM
1163
DELISTED
OI S.A. SPON ADR REPSTG 3 PFD SHS (BRA)
BTM
$4.35M 0.01%
2,734,749
+1,481,954
+118% +$2.36M
PML
1164
PIMCO Municipal Income Fund II
PML
$484M
$4.34M 0.01%
406,776
-240,216
-37% -$2.58M
SCI icon
1165
Service Corp International
SCI
$11.7B
$4.33M 0.01%
239,118
-258,427
-52% -$4.69M
KGC icon
1166
Kinross Gold
KGC
$27.8B
$4.33M 0.01%
988,659
-76,639
-7% -$366K
SALE
1167
CALL
DELISTED
RetailMeNot, Inc. Series 1
SALE
$4.32M 0.01%
+150,000
New +$4.68M
MHN
1168
DELISTED
BlackRock MuniHoldings New Yrok Quality Fund
MHN
$4.32M 0.01%
345,567
-41,305
-11% -$521K
TGP
1169
DELISTED
Teekay LNG Partners L.P.
TGP
$4.31M 0.01%
100,878
+44,614
+79% +$1.83M
PRFT
1170
DELISTED
Perficient Inc
PRFT
$4.3M 0.01%
183,651
+53,560
+41% +$1.1M
NKX icon
1171
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$649M
$4.3M 0.01%
352,887
+37,248
+12% +$455K
HRI icon
1172
PUT
Herc Holdings
HRI
$5.48B
$4.29M 0.01%
+50,000
New +$3.57M
JOSB
1173
DELISTED
JOS A BANK CLOTHIERS INC
JOSB
$4.29M 0.01%
77,354
+65,304
+542% +$3.35M
PCF
1174
High Income Securities Fund
PCF
$98.8M
$4.28M 0.01%
518,281
-176,084
-25% -$1.43M
CLVS
1175
DELISTED
Clovis Oncology, Inc.
CLVS
$4.28M 0.01%
71,022
+9,982
+16% +$543K
45 46
47
48 49

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AIM
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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.