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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
CNI icon
1526
Canadian National Railway
CNI
$76.5B
$2.27M 0.01%
44,888
+29,544
+193% +$1.46M
TRAK
1527
DELISTED
DEALERTRACK TECHNOLOGIES, INC. COM STK
TRAK
$2.27M 0.01%
53,016
+12,185
+30% +$481K
PCI
1528
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$2.27M 0.01%
101,963
+43,660
+75% +$950K
ESS icon
1529
Essex Property Trust
ESS
$18.4B
$2.27M 0.01%
15,346
-8,592
-36% -$1.33M
NUJ
1530
DELISTED
NUVEEN NEW JERSEY DIV ADVTG MUNI FD 2
NUJ
$2.27M 0.01%
181,476
-19,854
-10% -$245K
SRCE icon
1531
1st Source
SRCE
$2.16B
$2.26M 0.01%
92,357
-302
-0.3% -$7.36K
RY icon
1532
Royal Bank of Canada
RY
$293B
$2.25M 0.01%
35,016
+368
+1% +$22.9K
IT icon
1533
Gartner
IT
$11.6B
$2.25M 0.01%
37,478
+31,345
+511% +$1.85M
HUB.B
1534
DELISTED
HUBBELL INC CL-B
HUB.B
$2.25M 0.01%
21,435
-43,333
-67% -$4.56M
EROC
1535
DELISTED
EAGLE ROCK ENERGY PARTNERS, L.P. COM UNITS RPTNG LTD PRTNR
EROC
$2.24M 0.01%
315,481
-27,628
-8% -$192K
ACTG icon
1536
Acacia Research
ACTG
$462M
$2.23M 0.01%
96,662
+5,358
+6% +$123K
VPHM
1537
DELISTED
VIROPHARMA INC
VPHM
$2.23M 0.01%
56,725
+3,512
+7% +$115K
PSUN
1538
DELISTED
PACIFIC SUNWEAR OF CAL. INC
PSUN
$2.23M 0.01%
+722,793
New +$2.68M
HWKN icon
1539
Hawkins
HWKN
$2.76B
$2.22M 0.01%
117,926
+4,278
+4% +$85K
HR icon
1540
Healthcare Realty
HR
$6.96B
$2.22M 0.01%
105,580
-36,826
-26% -$795K
TECD
1541
DELISTED
Tech Data Corp
TECD
$2.22M 0.01%
44,425
-2,670
-6% -$134K
CCK icon
1542
Crown Holdings
CCK
$13.2B
$2.21M 0.01%
52,370
+1,911
+4% +$83.6K
SAH icon
1543
Sonic Automotive
SAH
$2.71B
$2.21M 0.01%
93,002
+18,343
+25% +$422K
BOOM icon
1544
DMC Global
BOOM
$155M
$2.21M 0.01%
95,403
+123
+0.1% +$2.51K
RAD
1545
PUT
DELISTED
Rite Aid Corporation
RAD
$2.21M 0.01%
+23,230
New +$1.59M
ALE
1546
DELISTED
Allete
ALE
$2.21M 0.01%
45,720
-81,565
-64% -$4.06M
CEQP
1547
DELISTED
Crestwood Equity Partners LP
CEQP
$2.21M 0.01%
16,043
-2,943
-16% -$431K
WP
1548
DELISTED
Worldpay, Inc.
WP
$2.21M 0.01%
79,016
-163,535
-67% -$4.46M
FMX icon
1549
Fomento Económico Mexicano
FMX
$41.8B
$2.21M 0.01%
22,738
-13,752
-38% -$1.38M
BSBR icon
1550
Santander
BSBR
$43.7B
$2.21M 0.01%
331,093
-209,049
-39% -$1.22M
60 61
62
63 64

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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.