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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
ENB icon
1276
Enbridge
ENB
$113B
$3.57M 0.01%
85,277
-25,890
-23% -$1.1M
GDF
1277
DELISTED
WESTERN ASSET GLB PARTNERS INCM FUND INC. COM
GDF
$3.54M 0.01%
318,076
-65,608
-17% -$717K
EDF
1278
Virtus Stone Harbor Emerging Markets Income Fund
EDF
$167M
$3.52M 0.01%
179,431
+40,766
+29% +$837K
UVV icon
1279
Universal Corp
UVV
$1.3B
$3.52M 0.01%
69,141
+7,003
+11% +$388K
E icon
1280
ENI
E
$76.5B
$3.52M 0.01%
76,470
+7,894
+12% +$355K
PAI
1281
Western Asset Investment Grade Income Fund
PAI
$113M
$3.51M 0.01%
276,384
-87,995
-24% -$1.11M
BLE
1282
DELISTED
BlackRock Municipal Income Trust II
BLE
$3.5M 0.01%
250,040
+34,825
+16% +$475K
JNPR
1283
CALL
DELISTED
Juniper Networks
JNPR
$3.49M 0.01%
+175,000
New +$3.61M
BNS icon
1284
Scotiabank
BNS
$108B
$3.49M 0.01%
65,487
-7,779
-11% -$406K
HLF icon
1285
CALL
Herbalife
HLF
$1.31B
$3.49M 0.01%
+100,000
New +$3.09M
BAK icon
1286
Braskem
BAK
$901M
$3.48M 0.01%
218,520
-64,736
-23% -$992K
WIT icon
1287
Wipro
WIT
$19.8B
$3.48M 0.01%
1,807,621
+108,501
+6% +$182K
ZQK
1288
DELISTED
QUICKSILVER,INC.
ZQK
$3.44M 0.01%
489,755
+233,897
+91% +$1.46M
NBH
1289
Neuberger Municipal Fund Inc
NBH
$301M
$3.43M 0.01%
245,590
+18,188
+8% +$250K
PSEC icon
1290
Prospect Capital
PSEC
$1.09B
$3.42M 0.01%
306,146
-83,572
-21% -$928K
HE icon
1291
Hawaiian Electric Industries
HE
$2.17B
$3.42M 0.01%
136,104
-28,383
-17% -$730K
SIRO
1292
DELISTED
SIRONA DENTAL SYSTEMS INC COM STK
SIRO
$3.41M 0.01%
50,879
-10,057
-17% -$679K
DNY
1293
DELISTED
DONNELLEY R R & SONS CO
DNY
$3.41M 0.01%
215,654
+79,842
+59% +$1.26M
RHP icon
1294
Ryman Hospitality Properties
RHP
$8.05B
$3.4M 0.01%
97,971
-15,901
-14% -$567K
UN
1295
DELISTED
Unilever NV New York Registry Shares
UN
$3.4M 0.01%
90,159
+19,154
+27% +$757K
AVTA
1296
DELISTED
Avantax, Inc. Common Stock
AVTA
$3.39M 0.01%
147,489
+23,877
+19% +$497K
HYB
1297
DELISTED
New America High Income Fund, Inc.
HYB
$3.38M 0.01%
355,784
-93,618
-21% -$894K
BUD icon
1298
AB InBev
BUD
$168B
$3.38M 0.01%
34,091
+4,029
+13% +$384K
CW icon
1299
Curtiss-Wright
CW
$27.6B
$3.38M 0.01%
71,969
+3,476
+5% +$148K
ULTA icon
1300
Ulta Beauty
ULTA
$23.2B
$3.37M 0.01%
28,170
+16,407
+139% +$1.7M
50 51
52
53 54

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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
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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 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.