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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
ROC
2101
DELISTED
ROCKWOOD HLDGS INC
ROC
$1.28M ﹤0.01%
17,834
+7,526
+73% +$512K
GIFI
2102
DELISTED
Gulf Island Fabrication
GIFI
$1.28M ﹤0.01%
55,123
+41,040
+291% +$1.01M
SUSS
2103
DELISTED
SUSSER HOLDINGS CORPORATION COMMON STOCK
SUSS
$1.28M ﹤0.01%
+19,530
New +$1.16M
WERN icon
2104
Werner Enterprises
WERN
$2.21B
$1.28M ﹤0.01%
51,646
-3,866
-7% -$91.8K
RH icon
2105
RH
RH
$3.56B
$1.27M ﹤0.01%
18,926
+9,922
+110% +$680K
ROCK icon
2106
Gibraltar Industries
ROCK
$1.51B
$1.27M ﹤0.01%
68,427
+16,970
+33% +$278K
NML
2107
Neuberger Energy Infrastructure and Income Fund Inc
NML
$571M
$1.27M ﹤0.01%
+66,560
New +$1.22M
WTW icon
2108
Willis Towers Watson
WTW
$31.6B
$1.27M ﹤0.01%
+10,698
New +$1.26M
FNGN
2109
DELISTED
Financial Engines, Inc.
FNGN
$1.27M ﹤0.01%
18,277
+14,439
+376% +$888K
SGI
2110
DELISTED
Silicon Graphics Intl.
SGI
$1.27M ﹤0.01%
94,507
-741
-0.8% -$10K
TGT icon
2111
PUT
Target
TGT
$66.8B
$1.27M ﹤0.01%
+20,000
New +$1.28M
IPCM
2112
DELISTED
IPC HEALTHCARE INC COM DTD
IPCM
$1.26M ﹤0.01%
+21,260
New +$1.21M
KBR icon
2113
CALL
KBR
KBR
$4.74B
$1.26M ﹤0.01%
+39,500
New +$1.31M
H icon
2114
Hyatt Hotels
H
$16.9B
$1.26M ﹤0.01%
25,429
+11,582
+84% +$546K
GSH
2115
DELISTED
Guangshen Railway Co. Ltd
GSH
$1.26M ﹤0.01%
54,406
-28,604
-34% -$724K
AVD icon
2116
American Vanguard Corp
AVD
$73.5M
$1.25M ﹤0.01%
51,634
+17,861
+53% +$482K
ICF icon
2117
iShares Select U.S. REIT ETF
ICF
$2.08B
$1.25M ﹤0.01%
33,502
-9,296
-22% -$359K
SPR
2118
DELISTED
Spirit AeroSystems
SPR
$1.25M ﹤0.01%
36,710
-13,651
-27% -$402K
RPT
2119
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
$1.25M ﹤0.01%
79,428
+8,479
+12% +$133K
MQT
2120
DELISTED
BlackRock MuniYield Quality Fund II
MQT
$1.25M ﹤0.01%
106,766
-32,556
-23% -$383K
SUNS
2121
DELISTED
SLR Senior Investment Corp. Common Stock
SUNS
$1.25M ﹤0.01%
68,415
+87
+0.1% +$1.59K
EMB icon
2122
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.7B
$1.24M ﹤0.01%
11,505
+8,323
+262% +$909K
VTN icon
2123
Invesco Trust for Investment Grade New York Municipals
VTN
$165M
$1.24M ﹤0.01%
94,932
-61,082
-39% -$818K
SMRT
2124
DELISTED
Stein Mart Inc
SMRT
$1.24M ﹤0.01%
92,074
-32,475
-26% -$469K
LEO
2125
BNY Mellon Strategic Municipals
LEO
$384M
$1.24M ﹤0.01%
162,777
-43,835
-21% -$337K
83 84
85
86 87

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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 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.