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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
+9.08%
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
$32.9B
AUM Growth
+$5.06B
Cap. Flow
+$2.8B
Cap. Flow %
8.52%
Top 10 Hldgs %
5.63%
Holding
3,405
New
347
Increased
1,675
Reduced
1,120
Closed
228

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$67M
2
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$59M
3
HMHC
Houghton Mifflin Harcourt Company
HMHC
+$59M
4
GOOG icon
Alphabet (Google) Class C
GOOG
+$49.3M
5
QCOM icon
Qualcomm
QCOM
+$48.5M

Top Sells

Rank Stock Value
1
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$122M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$112M
3
WOLF icon
Wolfspeed
WOLF
+$47.2M
4
CHS
Chicos FAS, Inc.
CHS
+$45.3M
5
MFB
MAIDENFORM BRANDS, INC
MFB
+$40.7M

Sector Composition

Rank Sector Weight
1 Financials 11.55%
2 Industrials 10.81%
3 Technology 10.42%
4 Consumer Discretionary 9.8%
5 Healthcare 9.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ITGR icon
1501
Integer Holdings
ITGR
$4.24B
$2.74M 0.01%
68,022
-36,067
-35% -$1.27M
XOP icon
1502
PUT
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.49B
$2.73M 0.01%
+9,975
New +$2.73M
WCG
1503
DELISTED
Wellcare Health Plans, Inc.
WCG
$2.73M 0.01%
38,813
-31,242
-45% -$2.18M
HTGC icon
1504
Hercules Capital
HTGC
$3.12B
$2.73M 0.01%
166,515
-190,893
-53% -$3.08M
TDW icon
1505
Tidewater
TDW
$3.85B
$2.73M 0.01%
1,429
+356
+33% +$677K
XEC
1506
DELISTED
CIMAREX ENERGY CO
XEC
$2.73M 0.01%
26,011
+8,200
+46% +$830K
EXAS
1507
DELISTED
Exact Sciences
EXAS
$2.73M 0.01%
233,222
-16,730
-7% -$192K
SAFM
1508
DELISTED
Sanderson Farms Inc
SAFM
$2.72M 0.01%
37,568
+17,758
+90% +$1.18M
NAN icon
1509
Nuveen New York Quality Municipal Income Fund
NAN
$368M
$2.71M 0.01%
213,614
-42,466
-17% -$536K
ENX
1510
DELISTED
Eaton Vance New York Municipal Bond Fund
ENX
$2.71M 0.01%
239,177
+27,179
+13% +$308K
WBA
1511
PUT
DELISTED
Walgreens Boots Alliance
WBA
$2.71M 0.01%
46,800
-11,300
-19% -$657K
CGI
1512
DELISTED
Celadon Group Inc
CGI
$2.7M 0.01%
138,706
-6,212
-4% -$118K
TIP icon
1513
iShares TIPS Bond ETF
TIP
$14.5B
$2.7M 0.01%
24,534
+9,777
+66% +$1.09M
ETP
1514
DELISTED
Energy Transfer Partners, L.P.
ETP
$2.69M 0.01%
71,162
-4,228
-6% -$146K
RENX
1515
DELISTED
RELX N.V.
RENX
$2.68M 0.01%
193,470
+63,053
+48% +$844K
TMUS icon
1516
T-Mobile US
TMUS
$186B
$2.67M 0.01%
79,443
+60,415
+318% +$1.66M
CSH
1517
DELISTED
CASH AMERICA INTERNATIONAL INC
CSH
$2.67M 0.01%
153,539
+109,580
+249% +$1.97M
NGLS
1518
DELISTED
TARGA RESOURCES PARTNERS LP COM UTS REPTG LTD PARTERSHIP INT
NGLS
$2.67M 0.01%
50,988
+6,361
+14% +$325K
HTSI
1519
DELISTED
HARRIS TEETER SUPERMARKETS INC COM STK (NC)
HTSI
$2.66M 0.01%
53,967
-31,603
-37% -$1.56M
JOYY
1520
JOYY Inc
JOYY
$3.77B
$2.66M 0.01%
52,910
+37,460
+242% +$1.87M
DXPE icon
1521
DXP Enterprises
DXPE
$2.61B
$2.66M 0.01%
23,066
+20,451
+782% +$1.92M
DNP icon
1522
DNP Select Income Fund
DNP
$4.03B
$2.65M 0.01%
281,291
-18,209
-6% -$175K
ALGN icon
1523
Align Technology
ALGN
$12.5B
$2.65M 0.01%
46,291
+34,665
+298% +$1.87M
AROC icon
1524
Archrock
AROC
$5.95B
$2.65M 0.01%
77,355
+37,955
+96% +$1.17M
RPTP
1525
DELISTED
RAPTOR PHARMACEUTICAL CORP COM STK (DE)
RPTP
$2.64M 0.01%
+202,985
New +$2.8M
59 60
61
62 63

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TRSOTSOK
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AIM
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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 Q4 2013 Portfolio in Review

As of Q4 2013, Guggenheim Capital held 3,405 positions worth $32.9B, up 18% from $27.9B the previous quarter. Its ten largest holdings account for 5.6% of the portfolio.

Guggenheim Capital deployed $2.8B of net new capital in Q4 2013, opening 347 new positions and adding to 1,675 existing holdings. Its largest new stake was Houghton Mifflin Harcourt Company: 3,489,206 shares worth $57.6M.

By sector, the portfolio is most concentrated in Financials at 12% of assets, up from 11% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was State Street SPDR S&P 500 ETF Trust, an estimated $112M trimmed.

  • Guggenheim Capital's largest Q4 2013 buy was Houghton Mifflin Harcourt Company: 3,489,206 shares worth $57.6M.
  • Guggenheim Capital added most to iShares Russell 2000 ETF in Q4 2013, an estimated $67M increase.
  • Guggenheim Capital's biggest Q4 2013 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $112M.
  • Guggenheim Capital fully exited State Street SPDR Dow Jones Industrial Average ETF Trust in Q4 2013, selling an estimated $122M.
  • Guggenheim Capital's ten largest holdings make up 5.6% of its $32.9B portfolio in Q4 2013.
  • Guggenheim Capital opened 347 new positions and closed 228 in Q4 2013.
  • Guggenheim Capital's portfolio value rose 18% quarter-over-quarter to $32.9B.

Based on Guggenheim Capital's 13F filing for Q4 2013, filed 14 Feb 2014.