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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
INSY
1826
DELISTED
Insys Therapeutics, Inc.
INSY
$1.5M 0.01%
+128,172
New +$1.05M
BNY
1827
DELISTED
BlackRock New York Municipal Income Trust
BNY
$1.49M 0.01%
113,380
+23,299
+26% +$306K
LRE
1828
DELISTED
LRR ENERGY LP
LRE
$1.49M 0.01%
93,329
+24,466
+36% +$371K
MIG
1829
DELISTED
MEADOWBROOK INSURANCE GRP INC
MIG
$1.49M 0.01%
228,633
-136,365
-37% -$974K
AOS icon
1830
A.O. Smith
AOS
$8.56B
$1.49M 0.01%
65,732
+4,994
+8% +$104K
EDD
1831
Morgan Stanley Emerging Markets Domestic Debt Fund
EDD
$386M
$1.48M 0.01%
105,114
-56,850
-35% -$796K
MTS
1832
DELISTED
MONTGOMERY STR INCOME SECS
MTS
$1.48M 0.01%
94,317
-10,357
-10% -$163K
BAS
1833
DELISTED
Basis Energy Services, Inc.
BAS
$1.48M 0.01%
205
-51
-20% -$369K
ESI
1834
DELISTED
ITT EDUCATIONAL SERVICES INC
ESI
$1.47M 0.01%
47,545
-2,495
-5% -$70.3K
ROSE
1835
DELISTED
ROSETTA RESOURCES INC
ROSE
$1.47M 0.01%
27,081
+1,045
+4% +$49.5K
UEIC icon
1836
Universal Electronics
UEIC
$60.6M
$1.47M 0.01%
40,786
+3,575
+10% +$113K
VOYA icon
1837
Voya Financial
VOYA
$9.2B
$1.47M 0.01%
50,204
+35,214
+235% +$1.05M
PANW icon
1838
Palo Alto Networks
PANW
$293B
$1.47M 0.01%
192,036
+18,102
+10% +$143K
CGX
1839
DELISTED
CONSOLIDATED GRAPHICS INC
CGX
$1.47M 0.01%
26,132
+2,285
+10% +$123K
HR
1840
DELISTED
Healthcare Realty Trust Incorporated
HR
$1.46M 0.01%
63,384
-99,776
-61% -$2.43M
MFIC icon
1841
MidCap Financial Investment
MFIC
$800M
$1.46M 0.01%
59,707
+1,398
+2% +$33.9K
PMM
1842
Franklin Managed Municipal Income Trust
PMM
$270M
$1.46M 0.01%
213,648
-33,431
-14% -$226K
TTC icon
1843
Toro Company
TTC
$9.35B
$1.46M 0.01%
53,760
+4,340
+9% +$110K
ENOC
1844
DELISTED
EnerNOC, Inc.
ENOC
$1.46M 0.01%
97,220
+9,553
+11% +$144K
HOPE icon
1845
Hope Bancorp
HOPE
$1.78B
$1.45M 0.01%
105,581
+15,382
+17% +$222K
SAVE
1846
DELISTED
Spirit Airlines, Inc.
SAVE
$1.45M 0.01%
42,308
+6,172
+17% +$204K
KNGT
1847
DELISTED
KNIGHT TRANSPORTATION INC
KNGT
$1.45M 0.01%
87,702
+24,043
+38% +$397K
WLT
1848
CALL
DELISTED
WALTER ENERGY INC COM STK (DE)
WLT
$1.45M 0.01%
+102,000
New +$1.3M
SSRI
1849
DELISTED
Silver Standard Resources
SSRI
$1.45M 0.01%
235,332
-8,504
-3% -$63.7K
MPO
1850
DELISTED
MIDSTATES PETE CO INC COM NEW
MPO
$1.44M 0.01%
+28,137
New +$1.5M
72 73
74
75 76

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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 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.