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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
-3.14%
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
$11.6B
AUM Growth
-$1.11B
Cap. Flow
-$652M
Cap. Flow %
-5.6%
Top 10 Hldgs %
16.9%
Holding
1,965
New
102
Increased
773
Reduced
939
Closed
132

Top Buys

Rank Stock Value
1
JFR icon
Nuveen Floating Rate Income Fund
JFR
+$9.73M
2
EVRG icon
Evergy
EVRG
+$8.77M
3
QCOM icon
Qualcomm
QCOM
+$8.61M
4
COST icon
Costco
COST
+$8.44M
5
ADBE icon
Adobe
ADBE
+$8.41M

Top Sells

Rank Stock Value
1
MSFT icon
Microsoft
MSFT
+$108M
2
NVDA icon
NVIDIA
NVDA
+$91.3M
3
AMZN icon
Amazon
AMZN
+$55.5M
4
AAPL icon
Apple
AAPL
+$48.8M
5
GOOG icon
Alphabet (Google) Class C
GOOG
+$36.9M

Sector Composition

Rank Sector Weight
1 Technology 23.26%
2 Healthcare 10.31%
3 Industrials 8.02%
4 Consumer Discretionary 8.02%
5 Financials 7.7%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BWCAW
1951
DELISTED
Blue Whale Acquisition Corp I Warrant
BWCAW
– –
-499,020
Closed -$40.1K
BWC
1952
DELISTED
Blue Whale Acquisition Corp I Class A Ordinary Shares
BWC
– –
-1,047,992
Closed -$10.6M
ARBG
1953
DELISTED
Aequi Acquisition Corp
ARBG
– –
-999,157
Closed -$10.2M
ARBGW
1954
DELISTED
Aequi Acquisition Corp warrants
ARBGW
– –
-958,831
Closed -$24.1K
UNVR
1955
DELISTED
Univar Solutions Inc.
UNVR
– –
-21,532
Closed -$772K
NSL
1956
DELISTED
NUVEEN SENIOR INCM FD
NSL
– –
-558,164
Closed -$2.56M
AJRD
1957
DELISTED
Aerojet Rocketdyne Holdings
AJRD
– –
-6,496
Closed -$356K
LSI
1958
DELISTED
Life Storage, Inc.
LSI
– –
-55,414
Closed -$7.37M
ISEE
1959
DELISTED
IVERIC bio, Inc. Common Stock
ISEE
– –
-56,729
Closed -$2.23M
VECT
1960
DELISTED
VectivBio Holding AG Ordinary Shares
VECT
– –
-15,528
Closed -$262K
DSEY
1961
DELISTED
Diversey Holdings, Ltd. Ordinary Shares
DSEY
– –
-42,953
Closed -$360K
JSD
1962
DELISTED
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND
JSD
– –
-184,994
Closed -$2.14M
JRO
1963
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
– –
-561,173
Closed -$4.38M
75 76 77 78
79

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TRSOTSOK
Teachers Retirement System of the State of Kentucky Frankfort, Kentucky $12.9B AUM 31.03% 1-Year Est. Return
AIM
ARK Investment Management St. Petersburg, Florida $12.9B AUM 64.92% 1-Year Est. Return
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 Q3 2023 Portfolio in Review

As of Q3 2023, Guggenheim Capital held 1,965 positions worth $11.6B, down 8.7% from $12.7B the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Guggenheim Capital withdrew a net $652M in Q3 2023, closing 132 positions and reducing 939 holdings. Its most notable exit was AfterNext HealthTech Acquisition Corp, an estimated $18.6M position sold in full.

By sector, the portfolio is most concentrated in Technology at 23% of assets, down from 24% a quarter earlier, followed by Healthcare and Industrials.

Against the trend, Guggenheim Capital opened a new position in Trade Desk worth $7.67M.

  • Guggenheim Capital's largest Q3 2023 buy was Trade Desk: 98,090 shares worth $7.67M.
  • Guggenheim Capital added most to Nuveen Floating Rate Income Fund in Q3 2023, an estimated $9.73M increase.
  • Guggenheim Capital's biggest Q3 2023 reduction was Microsoft, cutting an estimated $108M.
  • Guggenheim Capital fully exited AfterNext HealthTech Acquisition Corp in Q3 2023, selling an estimated $18.6M.
  • Guggenheim Capital's ten largest holdings make up 17% of its $11.6B portfolio in Q3 2023.
  • Guggenheim Capital opened 102 new positions and closed 132 in Q3 2023.
  • Guggenheim Capital's portfolio value fell 8.7% quarter-over-quarter to $11.6B.

Based on Guggenheim Capital's 13F filing for Q3 2023, filed 14 Nov 2023.