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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
KBR icon
1876
KBR
KBR
$4.74B
$1.78M 0.01%
55,946
-1,104
-2% -$36.7K
UAN icon
1877
CVR Partners
UAN
$1.34B
$1.78M 0.01%
10,836
+2,304
+27% +$401K
NGD
1878
DELISTED
New Gold Inc
NGD
$1.78M 0.01%
340,134
-75,233
-18% -$410K
CVI icon
1879
CVR Energy
CVI
$3.15B
$1.78M 0.01%
40,909
-222,873
-84% -$8.64M
EMCB icon
1880
WisdomTree Emerging Markets Corporate Bond Fund
EMCB
$98.8M
$1.77M 0.01%
23,865
-4,111
-15% -$309K
VLT icon
1881
Invesco High Income Trust II
VLT
$65.4M
$1.77M 0.01%
110,201
+50,937
+86% +$813K
MEOH icon
1882
Methanex
MEOH
$4.21B
$1.77M 0.01%
+29,830
New +$1.72M
APOL
1883
DELISTED
Apollo Education Group Inc Class A
APOL
$1.76M 0.01%
64,537
+21,167
+49% +$526K
CIT
1884
DELISTED
CIT Group Inc.
CIT
$1.76M 0.01%
33,829
-23,375
-41% -$1.16M
AIR icon
1885
AAR Corp
AIR
$5.89B
$1.76M 0.01%
62,860
-54,598
-46% -$1.59M
VC icon
1886
Visteon
VC
$2.75B
$1.76M 0.01%
21,496
-9,802
-31% -$757K
PDCE
1887
DELISTED
PDC Energy, Inc.
PDCE
$1.76M 0.01%
33,016
+25,540
+342% +$1.56M
CBRL icon
1888
Cracker Barrel
CBRL
$1.3B
$1.75M 0.01%
15,900
+3,609
+29% +$392K
RDA
1889
DELISTED
RDA MICROELECTRONICS INC SPONSORED ADR
RDA
$1.75M 0.01%
97,996
+79,391
+427% +$1.32M
SBRA icon
1890
Sabra Healthcare REIT
SBRA
$5.34B
$1.75M 0.01%
66,957
-13,951
-17% -$360K
TTMI icon
1891
TTM Technologies
TTMI
$14.2B
$1.75M 0.01%
+203,586
New +$1.88M
LPS
1892
DELISTED
LENDER PROCESSING SERVICES INC
LPS
$1.75M 0.01%
46,661
+33,035
+242% +$1.14M
SSP icon
1893
E.W. Scripps
SSP
$270M
$1.74M 0.01%
90,381
+40,472
+81% +$698K
OCSL icon
1894
Oaktree Specialty Lending
OCSL
$1.12B
$1.74M 0.01%
62,679
+20,478
+49% +$606K
PNG
1895
DELISTED
PAA NATURAL GAS STORAGE, L.P. COM UNIT LTD PARTNERSHIP
PNG
$1.74M 0.01%
75,465
+50,159
+198% +$1.14M
NRF
1896
DELISTED
NorthStar Realty Finance Corp.
NRF
$1.73M 0.01%
65,534
+51,012
+351% +$1.03M
OZK icon
1897
Bank OZK
OZK
$5.63B
$1.73M 0.01%
61,112
+14,946
+32% +$387K
CNI icon
1898
Canadian National Railway
CNI
$76.5B
$1.72M 0.01%
30,191
-14,697
-33% -$808K
CMD
1899
DELISTED
Cantel Medical Corporation
CMD
$1.72M 0.01%
50,598
+11,352
+29% +$393K
SHO icon
1900
Sunstone Hotel Investors
SHO
$2.1B
$1.72M 0.01%
127,892
+49,484
+63% +$651K
74 75
76
77 78

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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
Capital International Inc Los Angeles, California $13B AUM 31.88% 1-Year Est. Return
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.