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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
FCRD
1226
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
$3.88M 0.01%
+248,447
New +$3.87M
NCZ
1227
Virtus Convertible & Income Fund II
NCZ
$300M
$3.88M 0.01%
112,535
-12,736
-10% -$440K
LVNTA
1228
DELISTED
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
$3.87M 0.01%
177,192
+145,324
+456% +$3.12M
CTB
1229
PUT
DELISTED
Cooper Tire & Rubber Co.
CTB
$3.85M 0.01%
+125,000
New +$4.07M
BKN
1230
DELISTED
BlackRock Investment Quality Municipal Trust
BKN
$3.85M 0.01%
280,106
+44,460
+19% +$612K
CLDT
1231
Chatham Lodging
CLDT
$625M
$3.84M 0.01%
214,051
+146,791
+218% +$2.7M
CHKP icon
1232
Check Point Software Technologies
CHKP
$12.8B
$3.83M 0.01%
67,666
+16,490
+32% +$926K
AWR icon
1233
American States Water
AWR
$3.33B
$3.83M 0.01%
138,812
-38,382
-22% -$1.1M
VVC
1234
DELISTED
Vectren Corporation
VVC
$3.83M 0.01%
114,747
+27,912
+32% +$961K
FLTX
1235
DELISTED
Fleetmatics Group PLC
FLTX
$3.82M 0.01%
+100,300
New +$4.03M
BFZ
1236
DELISTED
BlackRock CA Municipal Income Trust
BFZ
$3.82M 0.01%
271,924
-20,848
-7% -$287K
NNP
1237
DELISTED
NUVEEN NY PERF PLUS MUNI FD
NNP
$3.82M 0.01%
278,826
+5,119
+2% +$69.6K
HIO
1238
Western Asset High Income Opportunity Fund
HIO
$339M
$3.81M 0.01%
639,179
-113,729
-15% -$664K
CTRX
1239
DELISTED
CATAMARAN CORP COM STK (CDA)
CTRX
$3.8M 0.01%
82,723
+7,639
+10% +$403K
OIA icon
1240
Invesco Municipal Income Opportunities Trust
OIA
$287M
$3.79M 0.01%
598,947
+130,761
+28% +$815K
APC
1241
PUT
DELISTED
Anadarko Petroleum
APC
$3.78M 0.01%
40,000
+3,000
+8% +$273K
SSYS icon
1242
Stratasys
SSYS
$778M
$3.77M 0.01%
+37,182
New +$3.6M
NSIT icon
1243
Insight Enterprises
NSIT
$4.24B
$3.77M 0.01%
199,115
+6,515
+3% +$131K
ATCO
1244
DELISTED
Atlas Corp.
ATCO
$3.76M 0.01%
153,692
+29,209
+23% +$634K
IRWD icon
1245
Ironwood Pharmaceuticals
IRWD
$683M
$3.75M 0.01%
378,361
-119,710
-24% -$1.17M
APD icon
1246
CALL
Air Products & Chemicals
APD
$65.7B
$3.75M 0.01%
+37,835
New +$3.6M
WCRX
1247
DELISTED
WARNER CHILCOTT PLC ORD SHS CL A (IRL)
WCRX
$3.73M 0.01%
163,450
-38,410
-19% -$812K
TLM
1248
DELISTED
TALISMAN ENERGY INC
TLM
$3.73M 0.01%
324,498
+267,975
+474% +$3M
BNJ
1249
DELISTED
Blackrock New Jersey Muni Tr
BNJ
$3.72M 0.01%
271,986
-23,099
-8% -$311K
CLVS
1250
DELISTED
Clovis Oncology, Inc.
CLVS
$3.71M 0.01%
+61,040
New +$4.33M
48 49
50
51 52

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TRSOTSOK
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AIM
ARK Investment Management St. Petersburg, Florida $12.9B AUM 64.92% 1-Year Est. Return
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.