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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
+386.48%
AUM
$32.9B
AUM Growth
+$5.06B
Cap. Flow
+$2.81B
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
RGP
1601
DELISTED
REGENCY ENERGY PARTNERS LP COMMON UTS REP LIMITED PART INTS
RGP
$2.43M 0.01%
92,595
-22,122
-19% -$564K
NPI
1602
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
$2.43M 0.01%
197,050
-151,003
-43% -$1.87M
ARCB icon
1603
ArcBest
ARCB
$3.17B
$2.43M 0.01%
72,134
-146,136
-67% -$4.35M
ITC
1604
DELISTED
ITC HOLDINGS CORP
ITC
$2.43M 0.01%
76,059
+12,420
+20% +$396K
FRED
1605
DELISTED
Fred's Inc
FRED
$2.42M 0.01%
130,875
+34,089
+35% +$567K
CLMS
1606
DELISTED
Calamos Asset Management, Inc.
CLMS
$2.42M 0.01%
204,721
+88,727
+76% +$924K
BIG
1607
PUT
DELISTED
Big Lots, Inc.
BIG
$2.42M 0.01%
+75,000
New +$2.67M
VRTU
1608
DELISTED
Virtusa Corporation
VRTU
$2.42M 0.01%
+63,469
New +$2.11M
ARRY
1609
DELISTED
Array Biopharma Inc
ARRY
$2.42M 0.01%
482,613
+54,043
+13% +$294K
CBR
1610
DELISTED
CIBER Inc.
CBR
$2.42M 0.01%
584,031
+86,609
+17% +$310K
VMO icon
1611
Invesco Municipal Opportunity Trust
VMO
$656M
$2.41M 0.01%
205,639
-21,137
-9% -$243K
GLOG
1612
DELISTED
GASLOG LTD
GLOG
$2.4M 0.01%
140,781
+59,257
+73% +$913K
WFT
1613
DELISTED
Weatherford International plc
WFT
$2.4M 0.01%
155,196
+4,481
+3% +$71.2K
MMLP icon
1614
Martin Midstream Partners
MMLP
$92.1M
$2.4M 0.01%
56,096
-34,987
-38% -$1.58M
MIE
1615
DELISTED
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
$2.4M 0.01%
130,890
+114,321
+690% +$1.97M
AGU
1616
DELISTED
Agrium
AGU
$2.39M 0.01%
26,149
+1,454
+6% +$128K
MFG icon
1617
Mizuho Financial
MFG
$130B
$2.39M 0.01%
548,242
+307,948
+128% +$1.3M
APLP
1618
DELISTED
Archrock Partners, L.P. Common Units representing Limited Partner Interests
APLP
$2.39M 0.01%
78,969
+277
+0.4% +$7.99K
AENZ
1619
DELISTED
Aenza S.A.A.
AENZ
$2.39M 0.01%
+37,467
New +$2.29M
DNKN
1620
DELISTED
Dunkin' Brands Group, Inc.
DNKN
$2.38M 0.01%
49,458
+40,524
+454% +$1.92M
DY icon
1621
Dycom Industries
DY
$12.3B
$2.38M 0.01%
85,770
+54,190
+172% +$1.55M
GLDD
1622
DELISTED
Great Lakes Dredge & Dock
GLDD
$2.38M 0.01%
258,375
+13,445
+5% +$113K
POWL icon
1623
Powell Industries
POWL
$7.59B
$2.38M 0.01%
106,455
-17,970
-14% -$388K
TBRG
1624
DELISTED
TruBridge
TBRG
$2.37M 0.01%
38,431
-86,677
-69% -$5.23M
HOMB icon
1625
Home BancShares
HOMB
$6.26B
$2.37M 0.01%
126,910
-17,172
-12% -$296K
63 64
65
66 67

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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 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 $2.81B 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.