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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
TMUS icon
1326
CALL
T-Mobile US
TMUS
$186B
$3.36M 0.01%
+100,000
New +$2.74M
CYH icon
1327
Community Health Systems
CYH
$416M
$3.36M 0.01%
103,462
+6,460
+7% +$222K
BBOX
1328
DELISTED
Black Box Corp
BBOX
$3.36M 0.01%
+112,654
New +$3.14M
ARI
1329
Apollo Commercial Real Estate
ARI
$872M
$3.35M 0.01%
206,485
+44,643
+28% +$724K
EFT
1330
Eaton Vance Floating-Rate Income Trust
EFT
$287M
$3.34M 0.01%
218,860
+33,430
+18% +$516K
SENEA icon
1331
Seneca Foods Class A
SENEA
$1.16B
$3.34M 0.01%
104,687
+56,846
+119% +$1.73M
MBFI
1332
DELISTED
MB Financial Corp
MBFI
$3.34M 0.01%
103,992
+96,163
+1,228% +$2.92M
WKC icon
1333
World Kinect Corp
WKC
$1.97B
$3.33M 0.01%
77,167
+8,800
+13% +$347K
EQC
1334
DELISTED
Equity Commonwealth
EQC
$3.33M 0.01%
142,678
+22,445
+19% +$532K
LAD icon
1335
Lithia Motors
LAD
$8.1B
$3.32M 0.01%
47,815
+24,131
+102% +$1.62M
XOXO
1336
DELISTED
Xo Group Inc
XOXO
$3.32M 0.01%
223,120
+75,274
+51% +$1.07M
BTA
1337
DELISTED
BlackRock Long-Term Municipal Advantage Trust
BTA
$3.31M 0.01%
324,201
-14,471
-4% -$148K
GPRE icon
1338
Green Plains
GPRE
$1.15B
$3.3M 0.01%
170,010
+156,943
+1,201% +$2.6M
ARLP icon
1339
Alliance Resource Partners
ARLP
$3.27B
$3.29M 0.01%
85,568
+37,336
+77% +$1.4M
LNG icon
1340
Cheniere Energy
LNG
$53.4B
$3.29M 0.01%
76,358
-5,841
-7% -$233K
AVTA
1341
DELISTED
Avantax, Inc. Common Stock
AVTA
$3.29M 0.01%
112,794
-34,695
-24% -$937K
HNT
1342
DELISTED
HEALTH NET INC
HNT
$3.29M 0.01%
110,743
+38,397
+53% +$1.15M
SID icon
1343
Companhia Siderúrgica Nacional
SID
$1.3B
$3.29M 0.01%
529,839
-2,030,705
-79% -$11.1M
AR icon
1344
Antero Resources
AR
$10.6B
$3.28M 0.01%
+51,727
New +$2.9M
CDNS icon
1345
Cadence Design Systems
CDNS
$92.8B
$3.28M 0.01%
234,018
-232,393
-50% -$3.12M
WMB icon
1346
PUT
Williams Companies
WMB
$87.8B
$3.28M 0.01%
+85,000
New +$3.06M
NNP
1347
DELISTED
NUVEEN NY PERF PLUS MUNI FD
NNP
$3.27M 0.01%
246,152
-32,674
-12% -$435K
EG icon
1348
Everest Group
EG
$14.3B
$3.27M 0.01%
21,007
+7,315
+53% +$1.12M
ENPH icon
1349
Enphase Energy
ENPH
$5.15B
$3.27M 0.01%
515,668
-183,556
-26% -$1.34M
CMRE icon
1350
Costamare
CMRE
$1.77B
$3.26M 0.01%
178,595
+68,140
+62% +$1.21M
52 53
54
55 56

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TRSOTSOK
Teachers Retirement System of the State of Kentucky Frankfort, Kentucky $12.9B AUM 31.03% 1-Year Est. Return
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 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.