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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
IVW icon
1651
iShares S&P 500 Growth ETF
IVW
$77.1B
$2.31M 0.01%
93,416
-16,004
-15% -$377K
CSV icon
1652
Carriage Services
CSV
$657M
$2.31M 0.01%
118,025
+43,862
+59% +$833K
DMF
1653
DELISTED
BNY Mellon Municipal Income
DMF
$2.3M 0.01%
272,269
-9,161
-3% -$76.7K
PAI
1654
Western Asset Investment Grade Income Fund
PAI
$114M
$2.3M 0.01%
174,827
-101,557
-37% -$1.31M
CTWS
1655
DELISTED
Connecticut Water Service Inc
CTWS
$2.3M 0.01%
64,851
+4,855
+8% +$161K
ININ
1656
DELISTED
Interactive Intelligence Group, inc.
ININ
$2.3M 0.01%
34,166
+13,091
+62% +$839K
DRC
1657
DELISTED
DRESSER-RAND GROUP INC
DRC
$2.3M 0.01%
38,611
+398
+1% +$23.6K
ZQK
1658
DELISTED
QUICKSILVER,INC.
ZQK
$2.3M 0.01%
261,861
-227,894
-47% -$1.84M
CLR
1659
DELISTED
CONTINENTAL RESOURCES INC.
CLR
$2.29M 0.01%
40,798
+9,270
+29% +$518K
RHP icon
1660
Ryman Hospitality Properties
RHP
$8.05B
$2.29M 0.01%
54,822
-43,149
-44% -$1.7M
AAL icon
1661
American Airlines Group
AAL
$11B
$2.29M 0.01%
+90,628
New +$2.33M
TCO
1662
DELISTED
Taubman Centers Inc.
TCO
$2.29M 0.01%
35,784
-3,003
-8% -$200K
IRF
1663
DELISTED
INTL RECTIFIER CORP
IRF
$2.29M 0.01%
87,653
+25,110
+40% +$612K
TRP icon
1664
TC Energy
TRP
$66.5B
$2.28M 0.01%
50,000
– –
BWG
1665
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$131M
$2.28M 0.01%
135,264
-11,905
-8% -$200K
JMI
1666
DELISTED
JAVELIN MTG INVESTMENT CORP COM
JMI
$2.28M 0.01%
+163,676
New +$2M
PETS icon
1667
PetMed Express
PETS
$42.1M
$2.28M 0.01%
136,959
+3,217
+2% +$50.2K
PMO
1668
Franklin Municipal Opportunities Trust
PMO
$281M
$2.28M 0.01%
211,886
-39,326
-16% -$425K
UFCS icon
1669
United Fire Group
UFCS
$1.4B
$2.27M 0.01%
79,320
+11,631
+17% +$347K
FDX icon
1670
CALL
FedEx
FDX
$73.5B
$2.27M 0.01%
+15,800
New +$2.09M
ANF icon
1671
Abercrombie & Fitch
ANF
$4.86B
$2.27M 0.01%
68,977
-265,631
-79% -$9.16M
PES
1672
DELISTED
Pioneer Energy Services Corp.
PES
$2.27M 0.01%
282,787
+112,279
+66% +$884K
CBK
1673
DELISTED
Christopher & Banks Corporation
CBK
$2.26M 0.01%
+263,448
New +$1.77M
MTRN icon
1674
Materion
MTRN
$6.18B
$2.26M 0.01%
73,333
+16,887
+30% +$490K
SSNI
1675
DELISTED
Silver Spring Networks, Inc.
SSNI
$2.26M 0.01%
+107,522
New +$2.06M
65 66
67
68 69

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AIM
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Fundsmith LLP
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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.