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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
HPF
1201
John Hancock Preferred Income Fund II
HPF
$345M
$4.03M 0.01%
210,335
+134,231
+176% +$2.61M
MHD icon
1202
BlackRock MuniHoldings Fund
MHD
$602M
$4.03M 0.01%
264,136
+26,956
+11% +$415K
MUS
1203
DELISTED
BLACKROCK MUNIHOLDINGS QUALITY FUND, INC.
MUS
$4.03M 0.01%
325,157
-45,957
-12% -$550K
SWY
1204
PUT
DELISTED
SAFEWAY INC
SWY
$4.03M 0.01%
+139,625
New +$3.33M
PHI icon
1205
PLDT
PHI
$4.23B
$4M 0.01%
58,985
-7,503
-11% -$506K
IGR
1206
CBRE Global Real Estate Income Fund
IGR
$712M
$4M 0.01%
493,880
-8,771
-2% -$73.3K
BCH icon
1207
Banco de Chile
BCH
$21.2B
$3.98M 0.01%
146,052
+87,993
+152% +$2.28M
IMGN
1208
DELISTED
Immunogen Inc
IMGN
$3.98M 0.01%
233,641
+48,971
+27% +$861K
NNN icon
1209
NNN REIT
NNN
$8.97B
$3.95M 0.01%
124,165
-47,904
-28% -$1.6M
XLI icon
1210
PUT
State Street Industrial Select Sector SPDR ETF
XLI
$34B
$3.95M 0.01%
+84,600
New +$3.83M
NVE
1211
DELISTED
NV ENERGY, INC
NVE
$3.95M 0.01%
167,148
-295,230
-64% -$6.97M
MAIN icon
1212
Main Street Capital
MAIN
$5.23B
$3.94M 0.01%
+131,705
New +$3.92M
CNW
1213
DELISTED
CON-WAY INC.
CNW
$3.93M 0.01%
91,259
+13,276
+17% +$562K
MWA icon
1214
Mueller Water Products
MWA
$4.13B
$3.92M 0.01%
491,205
+11,569
+2% +$89.1K
DCT
1215
DELISTED
DCT Industrial Trust Inc.
DCT
$3.92M 0.01%
136,399
+23,431
+21% +$682K
BFK
1216
DELISTED
BlackRock Municipal Income Trust
BFK
$3.92M 0.01%
302,026
+38,725
+15% +$493K
CPWR
1217
DELISTED
COMPUWARE CORP
CPWR
$3.91M 0.01%
363,400
+25,845
+8% +$272K
FHY
1218
DELISTED
First Trust Strategic High
FHY
$3.91M 0.01%
245,529
-70,106
-22% -$1.09M
MJI
1219
DELISTED
BLACKROCK MUNIYLD NJ QUALITY FUND INC COM STK (USA)
MJI
$3.9M 0.01%
293,275
-26,408
-8% -$351K
IVC
1220
DELISTED
Invacare Corporation
IVC
$3.9M 0.01%
225,838
+6,621
+3% +$105K
TUES
1221
DELISTED
Tuesday Morning Corp
TUES
$3.89M 0.01%
254,864
+35,654
+16% +$440K
TCPC icon
1222
BlackRock TCP Capital
TCPC
$294M
$3.89M 0.01%
+239,918
New +$3.82M
VOXX
1223
DELISTED
VOXX International Corporation Class A
VOXX
$3.89M 0.01%
283,851
+24,474
+9% +$325K
NQU
1224
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$3.89M 0.01%
308,277
-33,526
-10% -$421K
NKX icon
1225
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$653M
$3.88M 0.01%
315,639
-24,501
-7% -$301K
47 48
49
50 51

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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
APG Asset Management US New York $13B AUM 5.3% 1-Year Est. Return
WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
Aptus Capital Advisors Fairhope, Alabama $12.7B AUM 17.41% 1-Year Est. Return
ZIG
Zurich Insurance Group Zurich, Switzerland $12.7B AUM 53.57% 1-Year Est. Return

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.