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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
+7.55%
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
$27.9B
AUM Growth
+$4.08B
Cap. Flow
+$2.62B
Cap. Flow %
9.39%
Top 10 Hldgs %
6.03%
Holding
3,311
New
278
Increased
1,671
Reduced
1,018
Closed
254

Top Buys

Rank Stock Value
1
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$123M
2
TFCFA
Twenty-First Century Fox, Inc. Class A
TFCFA
+$39.9M
3
BSJF
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
+$36.6M
4
BMR
BIOMED REALTY TRUST INC
BMR
+$35.6M
5
ARE icon
Alexandria Real Estate Equities
ARE
+$34.5M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$111M
2
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$60.8M
3
GDP
GOODRICH PETROLEUM CORP(NEW)
GDP
+$49.7M
4
MDR
McDermott International
MDR
+$37.4M
5
ORCL icon
Oracle
ORCL
+$33.1M

Sector Composition

Rank Sector Weight
1 Financials 11.11%
2 Industrials 10.08%
3 Technology 9.94%
4 Healthcare 9.76%
5 Consumer Discretionary 9.43%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NX icon
2401
Quanex
NX
$997M
$555K ﹤0.01%
29,479
+3,519
+14% +$61.9K
BLC
2402
DELISTED
BELO CORP SER A
BLC
$555K ﹤0.01%
40,485
-271,954
-87% -$3.85M
LAZ icon
2403
Lazard
LAZ
$4.33B
$551K ﹤0.01%
15,298
-3,711
-20% -$132K
CBL
2404
DELISTED
CBL& Associates Properties, Inc.
CBL
$548K ﹤0.01%
28,693
-8,612
-23% -$181K
AHGP
2405
DELISTED
Alliance Holdings GP
AHGP
$548K ﹤0.01%
9,153
-5,780
-39% -$360K
FCNCA icon
2406
First Citizens BancShares
FCNCA
$25.3B
$544K ﹤0.01%
+2,646
New +$544K
ING icon
2407
ING
ING
$102B
$543K ﹤0.01%
47,847
+18,148
+61% +$196K
IXC icon
2408
iShares Global Energy ETF
IXC
$2.76B
$540K ﹤0.01%
13,191
+5,751
+77% +$232K
WPP icon
2409
WPP
WPP
$5.97B
$538K ﹤0.01%
5,223
+358
+7% +$33.7K
NTCT icon
2410
NETSCOUT
NTCT
$2.79B
$536K ﹤0.01%
20,967
-821
-4% -$21.2K
WNS
2411
DELISTED
WNS Holdings
WNS
$536K ﹤0.01%
25,270
+3,371
+15% +$66.5K
RCL icon
2412
Royal Caribbean
RCL
$86.1B
$532K ﹤0.01%
13,895
-6,780
-33% -$254K
ONTO icon
2413
Onto Innovation
ONTO
$15.1B
$531K ﹤0.01%
32,965
+4,410
+15% +$66.4K
SBGI icon
2414
Sinclair Inc
SBGI
$1.04B
$530K ﹤0.01%
15,791
+3,046
+24% +$85.9K
SWX icon
2415
Southwest Gas
SWX
$6.69B
$530K ﹤0.01%
+10,614
New +$515K
WIRE
2416
DELISTED
Encore Wire Corp
WIRE
$530K ﹤0.01%
+13,438
New +$524K
JOSB
2417
DELISTED
JOS A BANK CLOTHIERS INC
JOSB
$530K ﹤0.01%
12,050
+1,013
+9% +$42.4K
PHF
2418
DELISTED
Pacholder High Yield
PHF
$530K ﹤0.01%
65,809
-6,534
-9% -$55.3K
UHT
2419
Universal Health Realty Income Trust
UHT
$595M
$528K ﹤0.01%
12,617
+1,406
+13% +$59.7K
HSBC.PRA
2420
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$528K ﹤0.01%
21,393
-3,973
-16% -$98.1K
BSCH
2421
DELISTED
Guggenheim BulletShares 2017 Corporate Bond ETF
BSCH
$527K ﹤0.01%
23,302
-4,691
-17% -$105K
CST
2422
DELISTED
CST Brands, Inc.
CST
$525K ﹤0.01%
17,590
+8,194
+87% +$257K
AAN.A
2423
DELISTED
The Aaron's Company Inc Class A
AAN.A
$525K ﹤0.01%
18,967
-17,858
-48% -$494K
HY icon
2424
Hyster-Yale Materials Handling
HY
$661M
$523K ﹤0.01%
+5,834
New +$447K
TXNM
2425
TXNM Energy Inc
TXNM
$5.94B
$523K ﹤0.01%
+23,116
New +$526K
95 96
97
98 99

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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 2013 Portfolio in Review

As of Q3 2013, Guggenheim Capital held 3,311 positions worth $27.9B, up 17% from $23.8B the previous quarter. Its ten largest holdings account for 6% of the portfolio.

Guggenheim Capital deployed $2.62B of net new capital in Q3 2013, opening 278 new positions and adding to 1,671 existing holdings. Its largest new stake was State Street SPDR Dow Jones Industrial Average ETF Trust: 806,700 shares worth $122M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was Invesco QQQ Trust, an estimated $111M trimmed.

  • Guggenheim Capital's largest Q3 2013 buy was State Street SPDR Dow Jones Industrial Average ETF Trust: 806,700 shares worth $122M.
  • Guggenheim Capital added most to GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF in Q3 2013, an estimated $36.6M increase.
  • Guggenheim Capital's biggest Q3 2013 reduction was Invesco QQQ Trust, cutting an estimated $111M.
  • Guggenheim Capital fully exited PIMCO Enhanced Short Maturity Active Exchange-Traded Fund in Q3 2013, selling an estimated $60.8M.
  • Guggenheim Capital's ten largest holdings make up 6% of its $27.9B portfolio in Q3 2013.
  • Guggenheim Capital opened 278 new positions and closed 254 in Q3 2013.
  • Guggenheim Capital's portfolio value rose 17% quarter-over-quarter to $27.9B.

Based on Guggenheim Capital's 13F filing for Q3 2013, filed 14 Nov 2013.