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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
BBBY
1376
PUT
DELISTED
Bed Bath & Beyond Inc
BBBY
$2.88M 0.01%
37,300
+12,300
+49% +$921K
CWEI
1377
DELISTED
Clayton Williams Energy, Inc.
CWEI
$2.88M 0.01%
54,977
-2,308
-4% -$120K
NCO
1378
DELISTED
NUVEEN CALIF MUN MKT OPPOR FD
NCO
$2.88M 0.01%
207,053
-14,153
-6% -$193K
CHU
1379
DELISTED
China Unicom (HONG KONG) Limited
CHU
$2.88M 0.01%
186,824
-5,102
-3% -$76.3K
DNP icon
1380
DNP Select Income Fund
DNP
$4.03B
$2.88M 0.01%
299,500
+119,018
+66% +$1.18M
DFRG
1381
DELISTED
Del Frisco's Restaurant Group, Inc. Common Stock
DFRG
$2.88M 0.01%
142,593
+95,449
+202% +$1.96M
KERX
1382
DELISTED
Keryx Biopharmaceuticals Inc
KERX
$2.88M 0.01%
284,901
+43,888
+18% +$391K
LSTR icon
1383
Landstar System
LSTR
$6.09B
$2.84M 0.01%
50,809
+14,405
+40% +$789K
NUS icon
1384
Nu Skin
NUS
$253M
$2.84M 0.01%
29,706
-11,267
-27% -$956K
PLCM
1385
DELISTED
POLYCOM INC
PLCM
$2.84M 0.01%
260,421
+240,443
+1,204% +$2.51M
NUAN
1386
PUT
DELISTED
Nuance Communications, Inc.
NUAN
$2.83M 0.01%
+173,250
New +$2.87M
NOK icon
1387
Nokia
NOK
$53.5B
$2.83M 0.01%
427,005
+321,218
+304% +$1.52M
SWC
1388
DELISTED
Stillwater Mining Co
SWC
$2.83M 0.01%
256,567
-43,949
-15% -$509K
NMZ icon
1389
Nuveen Municipal High Income Opportunity Fund
NMZ
$2.19B
$2.82M 0.01%
241,949
+160,105
+196% +$1.86M
F icon
1390
PUT
Ford
F
$56.3B
$2.82M 0.01%
+165,300
New +$2.79M
NPP
1391
DELISTED
NUVEEN PERFORMANCE+MUN FUND
NPP
$2.81M 0.01%
208,237
-29,112
-12% -$390K
WGO icon
1392
Winnebago Industries
WGO
$904M
$2.81M 0.01%
108,289
+15,699
+17% +$371K
SAN icon
1393
Banco Santander
SAN
$209B
$2.81M 0.01%
378,431
-1,512,754
-80% -$10M
LNG icon
1394
Cheniere Energy
LNG
$53.4B
$2.81M 0.01%
82,199
+51,281
+166% +$1.52M
NMA
1395
DELISTED
NUVEEN MUNI ADVANTAGE FUND
NMA
$2.8M 0.01%
223,950
+46,704
+26% +$581K
SPPI
1396
DELISTED
Spectrum Pharmaceuticals Inc
SPPI
$2.8M 0.01%
333,975
+62,241
+23% +$504K
AAPL icon
1397
CALL
Apple
AAPL
$4.54T
$2.8M 0.01%
+162,400
New +$2.69M
BBT
1398
Beacon Financial Corp
BBT
$2.68B
$2.79M 0.01%
111,231
+71,581
+181% +$1.88M
BVN icon
1399
Compañía de Minas Buenaventura
BVN
$8.38B
$2.79M 0.01%
238,219
+34,157
+17% +$451K
INFI
1400
DELISTED
Infinity Pharmaceuticals, Inc.
INFI
$2.79M 0.01%
159,816
+40,007
+33% +$766K
54 55
56
57 58

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Fundsmith LLP
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CII
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AAMU
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WANY
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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.