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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
JOSB
1251
PUT
DELISTED
JOS A BANK CLOTHIERS INC
JOSB
$3.89M 0.01%
+70,000
New +$3.59M
HDB icon
1252
HDFC Bank
HDB
$123B
$3.86M 0.01%
448,108
-221,788
-33% -$1.89M
TLI
1253
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
$3.86M 0.01%
315,553
-112,526
-26% -$1.35M
XCO
1254
DELISTED
Exco Resources
XCO
$3.83M 0.01%
48,151
+46,728
+3,284% +$3.99M
NNN icon
1255
NNN REIT
NNN
$8.94B
$3.83M 0.01%
126,425
+2,260
+2% +$73.2K
EFA icon
1256
iShares MSCI EAFE ETF
EFA
$79.6B
$3.83M 0.01%
57,130
+15,200
+36% +$993K
NZH
1257
DELISTED
Nuveen Calif Div
NZH
$3.82M 0.01%
334,497
-85,019
-20% -$970K
ICPT
1258
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
$3.8M 0.01%
+55,714
New +$3.22M
ARIA
1259
DELISTED
Ariad Pharmaceuticals Inc
ARIA
$3.79M 0.01%
556,030
+194,559
+54% +$1.05M
RRTS
1260
DELISTED
RoadRunner Transportation Systems, Inc.
RRTS
$3.78M 0.01%
5,604
+3,730
+199% +$2.47M
ENLK
1261
DELISTED
EnLink Midstream Partners, LP
ENLK
$3.77M 0.01%
136,393
-16,361
-11% -$405K
DISH
1262
PUT
DELISTED
DISH Network Corp.
DISH
$3.77M 0.01%
+65,000
New +$3.33M
BFZ
1263
DELISTED
BlackRock CA Municipal Income Trust
BFZ
$3.74M 0.01%
273,063
+1,139
+0.4% +$15.7K
HE icon
1264
Hawaiian Electric Industries
HE
$2.16B
$3.72M 0.01%
142,551
+6,447
+5% +$167K
MCY icon
1265
Mercury Insurance
MCY
$6.03B
$3.71M 0.01%
74,726
+5,501
+8% +$266K
MMP
1266
DELISTED
Magellan Midstream Partners, L.P.
MMP
$3.71M 0.01%
58,619
+1,041
+2% +$62.1K
MGA icon
1267
Magna International
MGA
$19.1B
$3.7M 0.01%
90,252
-44,654
-33% -$1.85M
SNCR
1268
DELISTED
Synchronoss Technologies
SNCR
$3.69M 0.01%
+13,185
New +$4M
MUC icon
1269
BlackRock MuniHoldings California Quality Fund
MUC
$1.01B
$3.69M 0.01%
278,893
+51,403
+23% +$686K
MJI
1270
DELISTED
BLACKROCK MUNIYLD NJ QUALITY FUND INC COM STK (USA)
MJI
$3.69M 0.01%
284,110
-9,165
-3% -$119K
NXZ
1271
DELISTED
NUVEEN DIV ADV MUNI FD-2
NXZ
$3.67M 0.01%
288,971
-136,659
-32% -$1.75M
DF
1272
DELISTED
Dean Foods Company
DF
$3.67M 0.01%
213,154
+71,193
+50% +$1.3M
OKS
1273
DELISTED
Oneok Partners LP
OKS
$3.65M 0.01%
69,357
-116,991
-63% -$6.17M
WLK icon
1274
Westlake Corp
WLK
$9.93B
$3.65M 0.01%
59,802
+38,992
+187% +$2.19M
CAMP
1275
DELISTED
CalAmp Corp.
CAMP
$3.65M 0.01%
5,674
+1,367
+32% +$763K
49 50
51
52 53

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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
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AAMU
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WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
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ZIG
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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.