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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
+7.55%
1 Year Est. Return
+27.3%
3 Year Est. Return
+83.37%
5 Year Est. Return
+104.66%
10 Year Est. Return
+386.48%
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
EMBJ
1351
Embraer S.A. ADS
EMBJ
$13B
$3.07M 0.01%
94,566
+3,331
+4% +$116K
PCQ
1352
Pimco California Municipal Income Fund
PCQ
$166M
$3.05M 0.01%
233,687
-2,039
-0.9% -$26.5K
DEX
1353
DELISTED
DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FUND
DEX
$3.05M 0.01%
256,084
-46,100
-15% -$541K
ENLK
1354
DELISTED
EnLink Midstream Partners, LP
ENLK
$3.04M 0.01%
152,754
-8,071
-5% -$161K
RFI
1355
Cohen & Steers Total Return Realty Fund
RFI
$308M
$3.03M 0.01%
244,564
-25,126
-9% -$322K
EVRI
1356
DELISTED
Everi Holdings
EVRI
$3M 0.01%
384,470
-1,038
-0.3% -$7.68K
JPS
1357
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$3M 0.01%
367,851
-93,672
-20% -$774K
AV
1358
DELISTED
Aviva Plc
AV
$2.99M 0.01%
232,827
+49,782
+27% +$601K
MOH icon
1359
Molina Healthcare
MOH
$10.2B
$2.99M 0.01%
83,858
+58,723
+234% +$2.17M
SWFT
1360
DELISTED
Swift Transportation Company
SWFT
$2.97M 0.01%
147,285
+50,884
+53% +$926K
ONB icon
1361
Old National Bancorp
ONB
$10.3B
$2.95M 0.01%
208,038
+94,058
+83% +$1.33M
EXAS
1362
DELISTED
Exact Sciences
EXAS
$2.95M 0.01%
249,952
+76,877
+44% +$987K
RGC
1363
DELISTED
Regal Entertainment Group
RGC
$2.95M 0.01%
155,442
+69,113
+80% +$1.29M
APU
1364
DELISTED
AmeriGas Partners, L.P.
APU
$2.94M 0.01%
68,167
-15,355
-18% -$682K
JLS icon
1365
Nuveen Mortgage and Income Fund
JLS
$94.8M
$2.94M 0.01%
123,547
-230,275
-65% -$5.51M
REG icon
1366
Regency Centers
REG
$14.5B
$2.94M 0.01%
60,709
-4,079
-6% -$206K
SFG
1367
DELISTED
STANCORP FINL GRP
SFG
$2.93M 0.01%
53,301
-6,359
-11% -$341K
HF
1368
DELISTED
HFF Inc.
HF
$2.92M 0.01%
124,198
+18,630
+18% +$380K
NBIX icon
1369
Neurocrine Biosciences
NBIX
$16.4B
$2.92M 0.01%
+257,592
New +$3.54M
EPB
1370
DELISTED
EL PASO PIPELINE PARTNERS, L.P. COM UNITS REPSTG LTD PART
EPB
$2.91M 0.01%
68,979
+9,724
+16% +$411K
VBF icon
1371
Invesco Bond Fund
VBF
$169M
$2.9M 0.01%
165,474
-26,553
-14% -$467K
RLJ icon
1372
RLJ Lodging Trust
RLJ
$1.87B
$2.9M 0.01%
123,404
-90,872
-42% -$2.15M
ISCA
1373
DELISTED
International Speedway Corp
ISCA
$2.9M 0.01%
89,622
+5,033
+6% +$166K
IEP icon
1374
Icahn Enterprises
IEP
$5.01B
$2.89M 0.01%
34,700
+18,802
+118% +$1.42M
EFT
1375
Eaton Vance Floating-Rate Income Trust
EFT
$287M
$2.89M 0.01%
185,430
+65,760
+55% +$1.07M
53 54
55
56 57

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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 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.