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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
GNE icon
1676
Genie Energy
GNE
$376M
$2.26M 0.01%
221,196
-989,307
-82% -$11.1M
CCRN
1677
DELISTED
Cross Country Healthcare
CCRN
$2.25M 0.01%
225,702
+102,010
+82% +$707K
MEI icon
1678
Methode Electronics
MEI
$593M
$2.25M 0.01%
65,829
-5,857
-8% -$170K
CSTM icon
1679
Constellium
CSTM
$3.98B
$2.25M 0.01%
+96,520
New +$1.93M
DAKT icon
1680
Daktronics
DAKT
$1.05B
$2.25M 0.01%
143,197
+130,202
+1,002% +$1.73M
LOGI icon
1681
Logitech
LOGI
$15B
$2.25M 0.01%
+164,023
New +$1.78M
SJI
1682
DELISTED
South Jersey Industries, Inc.
SJI
$2.25M 0.01%
80,234
+10,882
+16% +$311K
CTB
1683
DELISTED
Cooper Tire & Rubber Co.
CTB
$2.25M 0.01%
93,405
-145,470
-61% -$3.6M
JAZZ icon
1684
Jazz Pharmaceuticals
JAZZ
$16.9B
$2.24M 0.01%
17,722
-2,284
-11% -$236K
GDL
1685
GDL Fund
GDL
$91.9M
$2.24M 0.01%
203,512
+67,897
+50% +$763K
ALJ
1686
DELISTED
Alon USA Energy Inc
ALJ
$2.24M 0.01%
135,578
+8,726
+7% +$110K
NXGN
1687
DELISTED
NextGen Healthcare, Inc. Common Stock
NXGN
$2.24M 0.01%
106,200
+11,178
+12% +$252K
HOLX
1688
CALL
DELISTED
Hologic
HOLX
$2.23M 0.01%
+100,000
New +$2.2M
KALU icon
1689
Kaiser Aluminum
KALU
$2.88B
$2.23M 0.01%
31,805
+23,510
+283% +$1.61M
AKP
1690
DELISTED
Alliance Californa Muni Fd
AKP
$2.23M 0.01%
184,047
+25,143
+16% +$305K
PPS
1691
DELISTED
Post Properties
PPS
$2.23M 0.01%
49,378
+14,269
+41% +$640K
RMD icon
1692
ResMed
RMD
$32.5B
$2.23M 0.01%
47,264
-222,933
-83% -$11.3M
STRL icon
1693
Sterling Infrastructure
STRL
$16.9B
$2.22M 0.01%
189,431
-3,477
-2% -$36.7K
EVER
1694
DELISTED
Everbank Financial Corp
EVER
$2.22M 0.01%
120,929
+24,810
+26% +$398K
WPC icon
1695
W.P. Carey
WPC
$16.4B
$2.22M 0.01%
36,887
+4,066
+12% +$256K
PGTI
1696
DELISTED
PGT, Inc.
PGTI
$2.22M 0.01%
219,021
+77,678
+55% +$768K
DBD
1697
DELISTED
Diebold Nixdorf Incorporated
DBD
$2.21M 0.01%
67,127
-27,909
-29% -$870K
EPAY
1698
DELISTED
Bottomline Technologies Inc
EPAY
$2.21M 0.01%
+61,196
New +$1.98M
DQ
1699
Daqo New Energy
DQ
$899M
$2.21M 0.01%
+304,380
New +$2.13M
ACCO icon
1700
Acco Brands
ACCO
$404M
$2.21M 0.01%
328,565
+121,420
+59% +$772K
66 67
68
69 70

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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
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
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.