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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
TEN
1626
Tsakos Energy Navigation Ltd
TEN
$1.15B
$2.37M 0.01%
78,860
+34,297
+77% +$893K
NBIX icon
1627
Neurocrine Biosciences
NBIX
$16.4B
$2.37M 0.01%
253,374
-4,218
-2% -$41.2K
EQY
1628
DELISTED
Equity One
EQY
$2.36M 0.01%
105,033
-7,367
-7% -$168K
EHC icon
1629
Encompass Health
EHC
$11B
$2.36M 0.01%
88,926
+31,050
+54% +$864K
ETD icon
1630
Ethan Allen Interiors
ETD
$614M
$2.35M 0.01%
77,432
+4,122
+6% +$116K
TSRO
1631
DELISTED
TESARO, Inc.
TSRO
$2.35M 0.01%
83,385
+3,748
+5% +$139K
CHH icon
1632
Choice Hotels
CHH
$5.09B
$2.35M 0.01%
47,918
+6,771
+16% +$309K
SPPI
1633
DELISTED
Spectrum Pharmaceuticals Inc
SPPI
$2.35M 0.01%
265,436
-68,539
-21% -$612K
ABMD
1634
DELISTED
Abiomed Inc
ABMD
$2.35M 0.01%
+87,784
New +$2.17M
REG icon
1635
Regency Centers
REG
$14.5B
$2.34M 0.01%
50,602
-10,107
-17% -$494K
EVR icon
1636
Evercore
EVR
$12.3B
$2.34M 0.01%
39,171
+23,893
+156% +$1.27M
AA icon
1637
PUT
Alcoa
AA
$12.6B
$2.34M 0.01%
+91,552
New +$2.03M
WCN
1638
Waste Connections
WCN
$41.5B
$2.34M 0.01%
80,441
-260,577
-76% -$7.61M
VAL
1639
DELISTED
Valspar
VAL
$2.34M 0.01%
32,812
-150,733
-82% -$10.4M
MTW icon
1640
PUT
Manitowoc
MTW
$512M
$2.34M 0.01%
+110,617
New +$2.03M
UMBF icon
1641
UMB Financial
UMBF
$11.2B
$2.33M 0.01%
36,320
+7,446
+26% +$452K
FEI
1642
DELISTED
FIRST TRUST MLP AND ENERGY INCOME FUND
FEI
$2.33M 0.01%
116,440
-7,537
-6% -$145K
AZTA icon
1643
Azenta
AZTA
$1.47B
$2.33M 0.01%
222,078
-26,201
-11% -$259K
EMBJ
1644
Embraer S.A. ADS
EMBJ
$13B
$2.33M 0.01%
72,321
-22,245
-24% -$706K
MPO
1645
DELISTED
MIDSTATES PETE CO INC COM NEW
MPO
$2.32M 0.01%
35,105
+6,968
+25% +$404K
BDN
1646
Brandywine Realty Trust
BDN
$551M
$2.32M 0.01%
164,783
+5,480
+3% +$74.3K
SCSC icon
1647
Scansource
SCSC
$1.17B
$2.32M 0.01%
54,701
+3,530
+7% +$139K
SIR
1648
DELISTED
SELECT INCOME REIT
SIR
$2.31M 0.01%
196,665
+52,018
+36% +$617K
ANIK icon
1649
Anika Therapeutics
ANIK
$257M
$2.31M 0.01%
+60,535
New +$1.87M
JPS
1650
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$2.31M 0.01%
283,264
-84,587
-23% -$683K
64 65
66
67 68

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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
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AAMU
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WANY
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ACA
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ZIG
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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.