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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
CVG
2251
DELISTED
Convergys
CVG
$979K ﹤0.01%
46,508
+7,985
+21% +$159K
ANK
2252
DELISTED
ATLANTIC TELE-NETWORK,INC
ANK
$978K ﹤0.01%
+17,283
New +$978K
SRDX
2253
DELISTED
Surmodics
SRDX
$977K ﹤0.01%
+40,041
New +$944K
ECON icon
2254
Columbia Emerging Markets Consumer ETF
ECON
$333M
$970K ﹤0.01%
36,117
-10,594
-23% -$285K
AF
2255
DELISTED
Astoria Financial Corporation
AF
$966K ﹤0.01%
69,839
-26,044
-27% -$349K
PNY
2256
DELISTED
PIEDMONT NATURAL GAS CO INC(NC
PNY
$966K ﹤0.01%
29,132
+14,516
+99% +$479K
AMAP
2257
DELISTED
AUTONAVI HLDGS LTD SPON ADR (CYM)
AMAP
$964K ﹤0.01%
67,641
-3,345
-5% -$51.3K
RWX icon
2258
State Street SPDR Dow Jones International Real Estate ETF
RWX
$267M
$963K ﹤0.01%
23,379
+17,029
+268% +$717K
EHTH icon
2259
eHealth
EHTH
$43.2M
$959K ﹤0.01%
20,634
-8,722
-30% -$364K
MFM
2260
Aberdeen Municipal Income Fund
MFM
$222M
$959K ﹤0.01%
153,414
-46,737
-23% -$289K
MUX icon
2261
McEwen Inc
MUX
$1.12B
$955K ﹤0.01%
48,714
+24,474
+101% +$500K
WOOF
2262
DELISTED
VCA Inc.
WOOF
$954K ﹤0.01%
30,397
-656
-2% -$19.1K
TV icon
2263
Televisa
TV
$1.5B
$953K ﹤0.01%
31,494
+3,165
+11% +$93.4K
FFIN icon
2264
First Financial Bankshares
FFIN
$4.97B
$952K ﹤0.01%
57,420
+40,252
+234% +$629K
FRED
2265
CALL
DELISTED
Fred's Inc
FRED
$950K ﹤0.01%
+51,100
New +$849K
ATML
2266
DELISTED
ATMEL CORP
ATML
$950K ﹤0.01%
121,316
-660,840
-84% -$4.84M
CRH icon
2267
CRH
CRH
$65B
$946K ﹤0.01%
37,037
-351
-0.9% -$8.69K
MLI icon
2268
Mueller Industries
MLI
$15.4B
$946K ﹤0.01%
+120,120
New +$892K
CPK icon
2269
Chesapeake Utilities
CPK
$3.2B
$940K ﹤0.01%
23,478
-2,163
-8% -$80.7K
BIP icon
2270
Brookfield Infrastructure Partners
BIP
$17.9B
$938K ﹤0.01%
60,241
+2,813
+5% +$43K
KOG
2271
DELISTED
KODIAK OIL & GAS CORP
KOG
$937K ﹤0.01%
83,592
+512
+0.6% +$6.13K
TROX icon
2272
Tronox
TROX
$1.11B
$935K ﹤0.01%
40,515
-6,117
-13% -$139K
LHO
2273
DELISTED
LaSalle Hotel Properties
LHO
$935K ﹤0.01%
30,295
+5,112
+20% +$156K
NMFC icon
2274
New Mountain Finance
NMFC
$723M
$934K ﹤0.01%
62,095
+41,750
+205% +$609K
EWC icon
2275
iShares MSCI Canada ETF
EWC
$6.26B
$933K ﹤0.01%
32,000
-4,130
-11% -$119K
89 90
91
92 93

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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.