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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
ARRY
1426
DELISTED
Array Biopharma Inc
ARRY
$2.67M 0.01%
+428,570
New +$2.55M
ANDE icon
1427
Andersons Inc
ANDE
$2.37B
$2.66M 0.01%
57,099
+3,280
+6% +$138K
SKS
1428
DELISTED
SAKS INCORPORATED
SKS
$2.65M 0.01%
166,501
+77,311
+87% +$1.2M
MFL
1429
DELISTED
BLACKROCK MUNIHOLDINGS INVESTMENT QUALITY FUND
MFL
$2.65M 0.01%
202,135
-38,904
-16% -$498K
ARCC icon
1430
Ares Capital
ARCC
$13.9B
$2.65M 0.01%
153,251
+79,098
+107% +$1.39M
SSL icon
1431
Sasol
SSL
$7.01B
$2.65M 0.01%
55,373
-3,991
-7% -$186K
DEO icon
1432
Diageo
DEO
$49.2B
$2.64M 0.01%
20,769
-2,118
-9% -$265K
MANT
1433
DELISTED
Mantech International Corp
MANT
$2.64M 0.01%
91,675
+13,647
+17% +$384K
EQC
1434
DELISTED
Equity Commonwealth
EQC
$2.63M 0.01%
120,233
-99,791
-45% -$2.38M
ACM icon
1435
Aecom
ACM
$9.63B
$2.63M 0.01%
83,984
+19,235
+30% +$602K
RIG icon
1436
Transocean
RIG
$5.69B
$2.62M 0.01%
58,936
+2,839
+5% +$134K
BBK
1437
DELISTED
Blackrock Municipal Bond Trust
BBK
$2.62M 0.01%
185,298
-455
-0.2% -$6.31K
BR icon
1438
Broadridge
BR
$18.6B
$2.61M 0.01%
82,365
+6,474
+9% +$192K
TCO
1439
DELISTED
Taubman Centers Inc.
TCO
$2.61M 0.01%
38,787
-31,294
-45% -$2.25M
DBC icon
1440
Invesco DB Commodity Index Tracking Fund
DBC
$1.64B
$2.61M 0.01%
101,346
-153,217
-60% -$4M
PZC
1441
DELISTED
PIMCO California Municipal Income Fund III
PZC
$2.59M 0.01%
277,240
+22,425
+9% +$213K
CYE
1442
DELISTED
BLACKROCK CORP HG YLD FD III, INC.
CYE
$2.59M 0.01%
354,130
-856,517
-71% -$6.14M
MKTX icon
1443
MarketAxess Holdings
MKTX
$5.71B
$2.58M 0.01%
42,983
-19,080
-31% -$1.02M
WLT
1444
DELISTED
WALTER ENERGY INC COM STK (DE)
WLT
$2.58M 0.01%
182,025
+135,275
+289% +$1.72M
TBBK icon
1445
The Bancorp
TBBK
$2.99B
$2.58M 0.01%
145,457
-13,199
-8% -$214K
CMBS icon
1446
iShares CMBS ETF
CMBS
$473M
$2.57M 0.01%
49,862
+5,104
+11% +$260K
VTLE
1447
DELISTED
Vital Energy
VTLE
$2.56M 0.01%
4,288
+2,701
+170% +$1.32M
VNR
1448
DELISTED
Vanguard Natural Resources, LLC
VNR
$2.55M 0.01%
91,244
+28,701
+46% +$787K
WKC icon
1449
World Kinect Corp
WKC
$1.97B
$2.55M 0.01%
68,367
+23,447
+52% +$903K
POWL icon
1450
Powell Industries
POWL
$7.59B
$2.54M 0.01%
124,425
-6,201
-5% -$112K
56 57
58
59 60

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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.