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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
FCX icon
126
Freeport-McMoran
FCX
$90B
$40.4M 0.15%
1,219,950
-32,796
-3% -$1M
AET
127
DELISTED
Aetna Inc
AET
$39.8M 0.14%
622,332
+4,538
+0.7% +$291K
NFLX icon
128
Netflix
NFLX
$299B
$39.4M 0.14%
8,919,050
+446,530
+5% +$1.72M
HD icon
129
Home Depot
HD
$331B
$39.3M 0.14%
518,157
+36,125
+7% +$2.79M
CVSA
130
Covista Inc
CVSA
$4.25B
$39.3M 0.14%
1,284,687
+337,547
+36% +$10.4M
JNK icon
131
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.07B
$39.2M 0.14%
327,749
+63,718
+24% +$7.61M
HES
132
DELISTED
Hess
HES
$39.1M 0.14%
504,615
-691
-0.1% -$51.5K
ICFI icon
133
ICF International
ICFI
$1.46B
$39.1M 0.14%
1,104,594
+32,340
+3% +$1.09M
DD icon
134
DuPont de Nemours
DD
$18.5B
$39M 0.14%
400,558
-108,914
-21% -$10.1M
BSJE
135
DELISTED
GUGGENGEIM BULLETSHARES 2014 HIGH YIELD CORPORATE BOND ETF
BSJE
$38.9M 0.14%
1,458,700
+1,178,700
+421% +$31.3M
RFMD
136
DELISTED
RF MICRO DEVICES INC
RFMD
$38.8M 0.14%
6,884,602
+364,834
+6% +$1.92M
SMTC icon
137
Semtech
SMTC
$11B
$38.7M 0.14%
1,292,012
+42,514
+3% +$1.34M
ALL icon
138
Allstate
ALL
$68B
$38.6M 0.14%
764,377
+88,013
+13% +$4.43M
MA icon
139
Mastercard
MA
$506B
$38.6M 0.14%
573,050
+191,830
+50% +$12M
LOW icon
140
Lowe's Companies
LOW
$117B
$38.4M 0.14%
806,078
-1,231
-0.2% -$55.9K
GXP
141
DELISTED
Great Plains Energy Incorporated
GXP
$38.2M 0.14%
1,719,045
+155,013
+10% +$3.57M
DDD icon
142
3D Systems Corp
DDD
$431M
$38M 0.14%
703,287
+20,317
+3% +$1.01M
BMR
143
DELISTED
BIOMED REALTY TRUST INC
BMR
$38M 0.14%
2,041,776
+1,816,288
+805% +$35.6M
SLB icon
144
SLB Ltd
SLB
$73.6B
$37.8M 0.14%
427,957
-53,261
-11% -$4.38M
ADT
145
DELISTED
ADT Corp
ADT
$37.7M 0.14%
923,526
+363,582
+65% +$14.9M
BKLN icon
146
Invesco Senior Loan ETF
BKLN
$6.97B
$37.7M 0.14%
1,526,324
+457,951
+43% +$11.4M
GPN icon
147
Global Payments
GPN
$23B
$37.5M 0.13%
1,468,936
+142,696
+11% +$3.45M
BFH icon
148
Bread Financial
BFH
$4.37B
$37.5M 0.13%
222,069
+114,516
+106% +$18.2M
DTV
149
DELISTED
DIRECTV COM STK (DE)
DTV
$37.1M 0.13%
621,192
+124,217
+25% +$7.65M
MMM icon
150
3M
MMM
$90.9B
$36.9M 0.13%
369,505
+1,139
+0.3% +$111K
4 5
6
7 8

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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
NMIFOAC
National Mutual Insurance Federation of Agricultural Cooperatives Tokyo, Japan, Japan $13B AUM 17.65% 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

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.