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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
BHD
1476
DELISTED
BLACKROCK STRATEGIC BOND TRUST
BHD
$2.46M 0.01%
189,954
-42,382
-18% -$548K
EQY
1477
DELISTED
Equity One
EQY
$2.46M 0.01%
112,400
-38,953
-26% -$877K
LPNT
1478
DELISTED
LifePoint Health, Inc.
LPNT
$2.45M 0.01%
52,568
-3,152
-6% -$151K
HVT icon
1479
Haverty Furniture Companies
HVT
$450M
$2.45M 0.01%
+98,678
New +$2.49M
ENX
1480
DELISTED
Eaton Vance New York Municipal Bond Fund
ENX
$2.45M 0.01%
211,998
+19,395
+10% +$221K
IVW icon
1481
iShares S&P 500 Growth ETF
IVW
$77.1B
$2.44M 0.01%
109,420
-26,564
-20% -$586K
BWLD
1482
DELISTED
Buffalo Wild Wings, Inc.
BWLD
$2.44M 0.01%
21,975
+3,328
+18% +$349K
BCS.PRD.CL
1483
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$2.44M 0.01%
95,958
-289,635
-75% -$7.35M
DMF
1484
DELISTED
BNY Mellon Municipal Income
DMF
$2.44M 0.01%
281,430
+25,364
+10% +$217K
HSH
1485
DELISTED
HILLSHIRE BRANDS CO
HSH
$2.44M 0.01%
79,303
+18,651
+31% +$616K
KELYA icon
1486
Kelly Services Class A
KELYA
$528M
$2.44M 0.01%
125,151
+11,047
+10% +$210K
HYD icon
1487
VanEck High Yield Muni ETF
HYD
$4.44B
$2.43M 0.01%
41,593
-8,297
-17% -$485K
FEI
1488
DELISTED
FIRST TRUST MLP AND ENERGY INCOME FUND
FEI
$2.43M 0.01%
123,977
+49,269
+66% +$987K
BSE
1489
DELISTED
BLACKROCK NEW YORK MUNICIPAL INCOME QUALITY TRUST
BSE
$2.43M 0.01%
197,463
+3,834
+2% +$47.3K
TAI
1490
DELISTED
TRANSAMERICA INCOME SHS INC
TAI
$2.42M 0.01%
118,573
-5,238
-4% -$107K
CPRI icon
1491
Capri Holdings
CPRI
$1.84B
$2.42M 0.01%
32,420
+4,751
+17% +$331K
ZEUS
1492
DELISTED
Olympic Steel
ZEUS
$2.41M 0.01%
86,813
+7,559
+10% +$205K
WWAV
1493
DELISTED
The WhiteWave Foods Company
WWAV
$2.41M 0.01%
120,749
+55,037
+84% +$1.04M
LTM
1494
DELISTED
LIFE TIME FITNESS INC
LTM
$2.41M 0.01%
46,751
+29,283
+168% +$1.52M
ETO
1495
Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund
ETO
$516M
$2.4M 0.01%
106,282
-8,264
-7% -$190K
WDAY icon
1496
Workday
WDAY
$42.1B
$2.4M 0.01%
29,417
+23,874
+431% +$1.74M
IVE icon
1497
iShares S&P 500 Value ETF
IVE
$49.7B
$2.39M 0.01%
30,555
+1,425
+5% +$112K
OMG
1498
DELISTED
OM GROUP INC.
OMG
$2.39M 0.01%
70,737
+5,325
+8% +$166K
PRFT
1499
DELISTED
Perficient Inc
PRFT
$2.39M 0.01%
130,091
+18,748
+17% +$296K
DRC
1500
DELISTED
DRESSER-RAND GROUP INC
DRC
$2.38M 0.01%
38,213
-3,011
-7% -$188K
58 59
60
61 62

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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.