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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
OSPN icon
2451
OneSpan
OSPN
$607M
$492K ﹤0.01%
62,351
+8,715
+16% +$71.8K
PRA
2452
DELISTED
ProAssurance
PRA
$490K ﹤0.01%
10,874
-23,360
-68% -$1.17M
PRDO icon
2453
Perdoceo Education
PRDO
$2.13B
$490K ﹤0.01%
177,590
+15,730
+10% +$48.4K
MT icon
2454
ArcelorMittal
MT
$54.9B
$487K ﹤0.01%
15,575
-2,759
-15% -$82.8K
BEE
2455
DELISTED
STRATEGIC HOTELS & RESORTS, INC
BEE
$485K ﹤0.01%
55,843
-2,182
-4% -$19K
WIA
2456
Western Asset Inflation-Linked Income Fund
WIA
$186M
$484K ﹤0.01%
41,640
-1,392
-3% -$16.3K
BGY icon
2457
BlackRock Enhanced International Dividend Trust
BGY
$528M
$483K ﹤0.01%
62,708
+29,512
+89% +$226K
MLCO icon
2458
Melco Resorts & Entertainment
MLCO
$2.14B
$483K ﹤0.01%
15,163
-3,985
-21% -$106K
PNY
2459
DELISTED
PIEDMONT NATURAL GAS CO INC(NC
PNY
$481K ﹤0.01%
14,616
-99,834
-87% -$3.35M
NEOG icon
2460
Neogen
NEOG
$2.49B
$479K ﹤0.01%
31,572
+1,860
+6% +$26.6K
HA
2461
DELISTED
Hawaiian Holdings, Inc.
HA
$478K ﹤0.01%
+64,207
New +$459K
RGS icon
2462
Regis Corp
RGS
$70.2M
$477K ﹤0.01%
1,626
-121
-7% -$40.1K
EMCI
2463
DELISTED
EMC INS Group Inc
EMCI
$477K ﹤0.01%
+23,715
New +$453K
SMT
2464
DELISTED
SMART TECHNOLOGIES INC COM NEW
SMT
$477K ﹤0.01%
+16,986
New +$349K
FFIC
2465
DELISTED
Flushing Financial
FFIC
$476K ﹤0.01%
25,805
+5,441
+27% +$100K
NGZ
2466
DELISTED
Allianzgi Global Equity & Conv Inc Fund
NGZ
$476K ﹤0.01%
31,343
-2,814
-8% -$41.2K
FBRC
2467
DELISTED
FBR & Co. Common Stock
FBRC
$475K ﹤0.01%
17,720
+7,794
+79% +$219K
CLD
2468
DELISTED
Cloud Peak Energy Inc
CLD
$471K ﹤0.01%
32,061
+3,365
+12% +$54K
BIN
2469
DELISTED
PROGRESSIVE WASTE SOLUTIONS LTD COM
BIN
$471K ﹤0.01%
18,304
+4,949
+37% +$119K
DMC
2470
Del Monte Corp
DMC
$1.45B
$470K ﹤0.01%
15,866
-1,028
-6% -$29.9K
BERY
2471
DELISTED
Berry Global Group, Inc.
BERY
$470K ﹤0.01%
25,633
-6,418
-20% -$134K
BNNY
2472
DELISTED
ANNIES INC COMMON STOCK (DE)
BNNY
$470K ﹤0.01%
9,576
-27,720
-74% -$1.24M
ZTR
2473
Virtus Total Return Fund
ZTR
$339M
$469K ﹤0.01%
35,796
+3
+0% +$39
DDC
2474
DELISTED
Dominion Diamond Corporation
DDC
$468K ﹤0.01%
38,402
-46,794
-55% -$631K
NUV icon
2475
Nuveen Municipal Value Fund
NUV
$1.91B
$466K ﹤0.01%
51,036
-4,872
-9% -$44.4K
97 98
99
100 101

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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.