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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
MCRI icon
1926
Monarch Casino & Resort
MCRI
$2.19B
$1.65M 0.01%
82,294
+44,171
+116% +$828K
RRGB icon
1927
Red Robin
RRGB
$156M
$1.65M 0.01%
22,431
-10,142
-31% -$767K
AFAM
1928
DELISTED
Almost Family Inc
AFAM
$1.65M 0.01%
51,017
+169
+0.3% +$4.16K
LHCG
1929
DELISTED
LHC Group LLC
LHCG
$1.65M 0.01%
68,558
+38,397
+127% +$865K
RUTH
1930
DELISTED
Ruth's Hospitality Group, Inc.
RUTH
$1.65M 0.01%
115,940
+103,051
+800% +$1.36M
CIR
1931
DELISTED
CIRCOR International, Inc
CIR
$1.64M 0.01%
+20,360
New +$1.48M
AKO.B icon
1932
Embotelladora Andina Series B
AKO.B
$4.94B
$1.64M 0.01%
58,181
+30,463
+110% +$950K
CMTL icon
1933
Comtech Telecommunications
CMTL
$51.5M
$1.64M 0.01%
52,108
-6,016
-10% -$180K
MDR
1934
DELISTED
McDermott International
MDR
$1.64M 0.01%
59,704
-142,019
-70% -$3.32M
HRB icon
1935
CALL
H&R Block
HRB
$5.82B
$1.63M 0.01%
+56,000
New +$1.59M
HMIN
1936
DELISTED
HOMEINNS HOTEL GROUP SPONSORED ADR
HMIN
$1.63M ﹤0.01%
37,258
-1,889
-5% -$72.9K
BHC icon
1937
Bausch Health
BHC
$2.21B
$1.63M ﹤0.01%
13,840
-7,130
-34% -$781K
CLB icon
1938
Core Laboratories
CLB
$513M
$1.62M ﹤0.01%
8,508
-1,778
-17% -$331K
WIBC
1939
DELISTED
WILSHIRE BANCORP INC
WIBC
$1.62M ﹤0.01%
148,562
+30,800
+26% +$290K
OPCH icon
1940
Option Care Health
OPCH
$3.54B
$1.62M ﹤0.01%
+54,798
New +$1.55M
HLX icon
1941
Helix Energy Solutions
HLX
$1.45B
$1.62M ﹤0.01%
69,940
-5,501
-7% -$128K
DST
1942
DELISTED
DST Systems Inc.
DST
$1.62M ﹤0.01%
35,746
+13,146
+58% +$559K
NEWP
1943
DELISTED
NEWPORT CORP
NEWP
$1.61M ﹤0.01%
89,356
-48,019
-35% -$786K
BCO icon
1944
Brink's
BCO
$4.65B
$1.61M ﹤0.01%
47,213
+11,729
+33% +$369K
PNK
1945
DELISTED
Pinnacle Entertainment Inc.
PNK
$1.61M ﹤0.01%
+62,014
New +$1.51M
IBKR icon
1946
Interactive Brokers
IBKR
$38.8B
$1.61M ﹤0.01%
263,236
-23,680
-8% -$132K
FEIC
1947
DELISTED
FEI COMPANY
FEIC
$1.61M ﹤0.01%
18,002
-1,603
-8% -$142K
ENS icon
1948
EnerSys
ENS
$6.83B
$1.61M ﹤0.01%
22,954
+18,259
+389% +$1.23M
UL icon
1949
Unilever
UL
$137B
$1.61M ﹤0.01%
34,663
-2,545
-7% -$114K
UEIC icon
1950
Universal Electronics
UEIC
$60.6M
$1.61M ﹤0.01%
42,151
+1,365
+3% +$50.9K
76 77
78
79 80

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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
APG Asset Management US New York $13B AUM 5.3% 1-Year Est. Return
WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
Aptus Capital Advisors Fairhope, Alabama $12.7B AUM 17.41% 1-Year Est. Return
ZIG
Zurich Insurance Group Zurich, Switzerland $12.7B AUM 53.57% 1-Year Est. Return

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.